COMMON POSITION (EC) No 31/98 adopted by the Council on 23 March 1998 with a view to adopting Decision No .../98/EC of the European Parliament and of the Council concerning the fifth framework programme of the European Community for research, technological development and demonstration activities (1998 to 2002)
Date: 1998-03-23
Institutions: Council of the European Union
Subjects: EU programme, action programme, research and development, research programme, technological change, testing

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COMMON  POSITION  (EC)  No  31/98

adopted  by  the  Council  on  23  March  1998

with a view to adopting Decision No . . ./98/EC of the European Parliament and of the Council
concerning  the  fifth  framework  programme  of  the  European  Community  for  research,
technological  development  and  demonstration  activities  (1998  to  2002)

(98/C  178/03)

THE  EUROPEAN  PARLIAMENT  AND  THE  COUNCIL  OF
THE  EUROPEAN  UNION,

Having  regard  to  the  Treaty  establishing  the  European
Community,  and  in  particular  Article  130i(1)  thereof,

Having  regard  to  the  proposal  from  the  Commission (1),

Having regard to the opinion of the Economic and Social
Committee (2),

Having  regard  to  the  opinion  of  the  Committee  of  the
Regions (3),

Acting  in  accordance  with  the  procedure  laid  down  in
Article  189b  of  the  Treaty (4),

(1)  Whereas,  in  accordance  with  Articles  103f(3)  and
130i(1)  of  the  Treaty,  a  multiannual  framework
programme  covering  all  Community  activities  in
the field of research and technological development
including  demonstration  activities,  hereinafter
referred  to  as  RTD,  should  be  adopted;

development 

technological 

research, 
and
demonstration (1994 to 1998) (5), the Commission
is  required 
to  have  an  external  assessment
conducted  into  the  management  of  and  progress
with  Community  activities  carried  out  during  the
five  years  preceding  the  assessment,  prior  to
presenting  its  proposal  for  a  fifth  framework
programme;  whereas 
the
the  Commission’s
conclusions 
comments  have  been  communicated 
the
European  Parliament,  the  Council,  the  Economic
and  Social  Committee  and  the  Committee  of  the
Regions;

assessment, 

thereof 

that 

and 

to 

the 

research 

(4)  Whereas, in accordance with Article 130f(1) of the
Treaty, 
and
Community’s 
technological  development  policy  should  address,
as  a  matter  of  priority,  problems  of  society,
improving  the 
international  competitiveness  of
Community industry, sustainable development, job
creation,  the  quality  of  life  and  globalisation  of
knowledge,  contributing  to  the  development  and
implementation  of  the  Community’s  policies  and
the  role  of  the  Community  in  the  world  as  a  focal
point  of  scientific  and  technological  excellence;

(2)  Whereas  it  has  been  considered  appropriate  to
adopt a new framework programme for the period
1998  to  2002  in  order  to  ensure  continuity  of
Community  research;

(5)  Whereas  appropriate  steps  should  be  taken  to
promote  cooperation  and  coordination  between
Member  States;

(3)  Whereas, 

in  accordance  with  Article  4(2)  of
the  European
Decision  No  1110/94/EC  of 
Parliament  and  of  the  Council  of  26  April  1994
concerning  the  fourth  framework  programme  of
the  European  Community  activities  in  the  field  of

(1)  OJ  C  173,  7.6.1997,  p.  10,  and  OJ  C  291,  25.9.1997,

p.  15.

(2)  OJ  C  355,  21.11.1997,  p.  38,  and  OJ  C  73,  9.3.1998,

p.  133.

(3)  OJ  C  379,  15.12.1997,  p.  26.
(4)  Opinion  of  the  European  Parliament  of  18  December  1997
(OJ  C  14,  19.1.1998,  p.  171),  Council  Common  Position  of
23 March 1998 and Decision of the European Parliament of
. . .  (not  yet  published  in  the  Official  Journal).

(6)  Whereas  the  RTD  activities  undertaken  in  the
context  of  the  first  activity  referred  to  in  Article
130g  of  the  Treaty  should  focus  on  a  limited
number  of  topics;  whereas  those  activities,  in  the
context  of  indirect  actions,  should  be  implemented
through  ‘key  actions’,  which  bring  together  the
activities  (ranging  from  basic  research  through
applied  and  generic  research  to  development  and

(5)  OJ  L  126,  18.5.1994,  p.  1.  Decision  as  last  amended  by
Decision  No  2535/97/EC  (OJ  L  347,  18.12.1997,  p.  1).

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demonstration)  in  a  coherent  whole  in  order  to
target  them  strategically  on  a  common  European
challenge  or  problem;  research  and  technological
development  activities  of  a  generic  nature;  and
activities  designed  to  encourage  the  optimum  use
of  research  infrastructures  and  improve  access
thereto;

(7)  Whereas the activities undertaken in the context of
the  second  (cooperation  with  third  countries  and
international  organisations),  third  (dissemination
and  optimisation  of  RTD  results)  and  fourth
(training  and  mobility  of  researchers)  activities
referred  to  in  Article  130g  of  the  Treaty  should
complement,  support  and  interact  with  each  other
and  the  abovementioned  RTD  activities;

(8)  Whereas 

the
this  approach  presupposes 
potential  for  scientific  and  technological  excellence
existing  within  the  Community  is  maintained  and
reinforced, whilst taking full account of the efforts
made  by  its  main  international  partners;

that 

effective  participation 

(9)  Whereas  it  is  appropriate,  in  this  same  context,  to
place  special  emphasis  on  the  needs  of  small  and
medium-sized enterprises (SMEs), so as to promote
their 
in  Community
programmes and their ability to benefit from them;
on  the  dissemination  and  transfer  of  results;  on
innovation;  and  on  the  training  and  mobility  of
researchers,  thereby  encouraging  the  emergence  of
a  new  generation  of  enterprising  researchers  with
innovative ideas;

(10)  Whereas  research  and  technological  development
can  stimulate  economic  growth  and,  as  a  result,
lead  to  the  creation  of  lasting  employment;

(11)  Whereas  researchers, 

industry  and  users  have
the  definition  of
contributed  substantially 
actions  to  be  undertaken  in  the  fifth  framework
programme  and 
its
should  be 
implementation;

involved 

to 

in 

(12)  Whereas  the  formulation  and  implementation  of
the  Community’s  policies  and  actions  must  take
into  account  objectives  related  to  economic  and
social  cohesion;  whereas,  in  accordance  with  this
principle, 
framework  programme  must
contribute  to  the  harmonious  development  of  the
Community  while  encouraging  RTD  activities  of

the 

high  quality;  whereas  it  is  therefore  necessary  to
respect  the  complementary  roles  of  RTD  activities
and  the  action  undertaken  by  the  Community
through  other  relevant  instruments;

(13)  Whereas  it  is  necessary  to  promote  and  facilitate
in
the  participation  of  ultraperipheral  regions 
Community  RTD  actions  through  appropriate
mechanisms  adapted  to  their  particular  situation;

and 

the  Treaty, 
research 

(14)  Whereas,  in  accordance  with  the  principles  of
subsidiarity  and  proportionality  as  enshrined  in
the  objectives  of
Article  3b  of 
Community 
technological
development policy reflected in the fifth framework
programme  warrant  activities  at  Community  level
in  so  far  as  the  objectives  cannot  be  sufficiently
achieved  by  the  Member  States;  whereas  there  is  a
need  to  establish  a  ‘critical  mass’  in  human  and
financial 
the
combination  of  the  complementary  expertise  and
resources  available  in  the  various  Member  States;
whereas  these  objectives  can  therefore  be  better
this
achieved  at  Community 
Decision  does  not  go  beyond  what  is  necessary  to
achieve  these  objectives;

level;  whereas 

in  particular 

through 

terms, 

(15)  Whereas  the  Community’s  financial  participation
in  the  actions  of  the  framework  programme  may,
in  accordance  with  the  principles  set  out  in  this
framework  programme,  be  varied  at  the  level  of
the specific programmes according to the nature of
the  activities  concerned  and  the  proximity  to  the
market,  in  specific  and  duly  justified  cases  and  in
compliance  with  the  provisions  of  the  Community
research  and
framework 
development (1), in particular points 5.12 and 5.13
thereof,  and  with  international  rules;

state  aid 

for 

for 

(16)  Whereas  the  maximum  overall  amount  of  the  fifth
framework  programme  would  need  to  be  revised
should  new  Member  States  accede  before  the
framework  programme  expires;

(17)  Whereas  Community 

in 

participation 

the
framework  programme  should  correspond  to  the
financial  perspective  in  force  for  the  whole  period
of  the  programme;  whereas  account  should  be
taken  of  the  fact  that  a  new  financial  perspective
will  be  negotiated  during  the  course  of  the  fifth
framework  programme;  whereas,  if  the  maximum

(1)  OJ  C  45,  17.2.1996,  p.  5.

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for 

the 

overall  amount  were  inconsistent  with  the  amount
available 
financial
research  within 
perspective  then  in  force,  or  if  there  were  no
financial perspective in force, it would be necessary
to  decide  on  a  new  amount  under  the  conditions
provided  for  in  the  Treaty;  whereas  there  should
be  equivalent  arrangements 
specific
programmes;

the 

for 

(18)  Whereas  the  administrative  expenditure  arising
from  research  activities  has  to  be  financed  within
the  general  amount  allocated  to  the  framework
programme  and  should  be  included  in  the  budget
in  a  transparent  fashion;

(19)  Whereas the criteria which have been laid down to
choose  the  topics  covered  by  the  fifth  framework
scientific  and
programme  and 
technological  objectives  take 
into  account  the
abovementioned  principles;  whereas  those  criteria
should  also  be  applied  when  the  fifth  framework
programme  is  implemented,  in  order  to  ensure
consistency;

related 

the 

(20)  Whereas  the  Joint  Research  Centre  (JRC)  will
implement  direct  RTD  actions  through  research
and scientific and technical support activities of an
institutional  character  where  it  has  special  or  even
unique expertise and facilities in the Community or
where  it  is  entrusted  with  activities  necessary  for
the  farming  and  implementation  of  Community
policies  and  tasks  incumbent  on  the  Commission
pursuant  to  the  Treaty  which  require  the  JRC’s
impartiality; whereas in addition, it will participate
progressively  in  a  competitive  approach,  as  a
member  of  consortia,  in  carrying  out  research
activities  foreseen  by  way  of  indirect  actions;

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

(22)  Whereas 

the  Community  equal  opportunities
policy must be taken into account in implementing
the  fifth  framework  programme;

respect  of  transparency  and  sound  and  efficient
management, for the systematic examination of the
progress of the fifth framework programme and its
evaluation;

(24)  Whereas  it  is  necessary  to  increase  implementation
within  the  framework  programme  of  activities
currently  being  carried  out  on  the  basis  of  the
Treaty  establishing  the  European  Coal  and  Steel
Community,  which  expires  in  2002;

(25)  Whereas,  in  order  to  ensure  consistency  between
research  activities  undertaken  under  the  Treaty
establishing  the  European  Community  and  those
carried  out  under  the  Treaty  establishing  the
European Atomic Energy Community, the Decision
concerning  the  framework  programme  for  nuclear
research  and  training  activities  should  be  adopted
at  the  same  time  and  for  the  same  period  as  this
framework  programme;

(26)  Whereas  the  Scientific  and  Technical  Research

Committee  (CREST)  has  been  consulted,

HAVE  DECIDED  AS  FOLLOWS:

Article  1

framework  programme 

1. A  multiannual 
for  all
Community  activities,  including  demonstration  activities,
in  the  field  of  research  and  technological  development,
hereinafter 
framework
programme’,  is  hereby  adopted  for  the  period  1998  to
2002.

referred 

to  as 

‘fifth 

the 

2. The  fifth  framework  programme  shall,  in  accordance
with  Article  130g  of 
four
Community activities:

the  Treaty,  comprise 

(a)  implementation 

of 

research, 

technological

development  and  demonstration  programmes;

(b) promotion  of  cooperation  in  the  field  of  Community
and
research, 
demonstration  with  third  countries  and  international
organisations;

technological 

development 

(c)  dissemination  and  optimisation  of  the  results  of
technological

in  Community 

research, 

activities 
development  and  demonstration;

(23)  Whereas,  in  addition  to  the  annual  report  to  be
submitted  to  the  European  Parliament  and  the
Council  pursuant  to  Article  130p  of  the  Treaty,
arrangements  should  be  adopted,  in  accordance
in
with  recommendations  to  be 

implemented 

(d) stimulation of the training and mobility of researchers

in  the  Community.

The first Community activity shall relate to the following
four  themes:

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1.  quality  of  life  and  management  of  living  resources;

—  the  financial  perspective  indicates  the  share  of

2.  user-friendly  information  society;

3.  competitive  and  sustainable  growth;

4.  energy,  environment  and  sustainable  development.

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

1.  confirming  the 

international  role  of  Community

research;

2.  promotion  of 

innovation  and  encouragement  of

participation  of  SMEs;

3.  improving  human 

research  potential  and 

the

socio-economic  knowledge  base.

Activities undertaken  within the  thematic  programmes of
the  first  Community  activity  will  also  contribute,  in
coordination  and 
the  horizontal
programmes,  to  the  achievement  of  the  objectives  of
those  three  themes.

interaction  with 

Complementarity with  relevant  initiatives  of  the Member
States,  and  initiatives  such  as  COST  and  Eureka,  will  be
sought.

3. The  criteria  for  selecting  the  themes  referred  to  in
paragraph  2  and  the  related  objectives  are  set  out  in
Annex  I.  They  shall  apply  for  the  purposes  of  the
implementation  of  the  fifth  framework  programme.

4. The  general  outlines  of  the  Community  activities,
their  scientific  and  technological  objectives  and  the
related  priorities  are  set  out  in  Annex  II.

Article  2

1.  (a)  The  maximum  overall  amount  for  Community
participation  in  the  fifth  framework  programme
shall  be  ECU  12 740  million.

Of  this  amount:

to  ECU  3 100  million  is  for  the  period  1998  to

1999,

to  ECU  9 640  million  is  for  the  period  2000  to

2002.

(b) The  figure  of  ECU  9 640  million  shall  be  deemed
to  be  confirmed  if  it  is  consistent  with  the
financial perspective in force in the period 2000 to
2002. In the case of any new financial perspective
in  force,  this  condition  shall  be  met  only  if:

expenditure  available  for  research,  and

—  that share permits Community participation of
ECU  9 640  million  in  the  period  2000  to
2002.

(c)  If  the  figure  of  ECU  9 640  million 

is  not
consistent with the financial perspective in force in
the  period  2000  to  2002,  or  if  there  is  no
financial  perspective  in  force  in  those  years,  the
European  Parliament  and  the  Council  shall  set  a
new  maximum  overall  amount,  acting  under  the
conditions  provided  for  in  the  first  subparagraph
of  Article  130i  of  the  Treaty.

(d) The  annual  appropriations  shall  comply  with  the

priorities  set  in  this  Decision.

2. The  amount  referred  to  in  paragraph  1  shall  be
subject  to  revision  should  new  Member  States  accede
before  this  framework  programme  expires.

3. Annex  III  fixes  the  respective  amounts  earmarked  for
each  of  the  Community  activities  envisaged  in  Article  1
and  indicates  the  breakdown  between  the  themes  of  the
first  Community  activity  defined  in  Article  1(2).

4. All  administrative  expenditure  arising 
the
research  activities  shall  be  paid  from  the  overall  amount
of  the  programme.  It  shall  be  dealt  with  in  the  general
budget  of  the  European  Communities  according  to  the
usual  procedures  applicable 
to  other  comparable
administrative expenditure.

from 

Article  3

fifth 

shall 

framework 

programme 

1. The 
be
implemented  through  eight  specific  programmes,  four  of
which  correspond  to  the  four  themes  of  the  first
Community activity, three are linked to the second, third
and  fourth  Community  activities  respectively,  and  the
eighth  is  a  programme  specific  to  the  Joint  Research
Centre.  The  scientific,  industrial  and  user  communities
will  be  closely  involved  throughout  this  implementation
process.

its  precise
Each  specific  programme  shall  specify 
objectives  having 
and
technological  objectives  set  forth  in  Annex  II,  define  the
detailed rules for its implementation, fix its duration and
provide  for  the  means  deemed  necessary.

scientific 

regard 

the 

to 

Implementation  of  the  fifth  framework  programme
2.
may  give  rise,  where  necessary, 
to  supplementary
programmes  within  the  meaning  of  Article  130k  of  the
Treaty,  to  Community  participation  in  research  and

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development programmes undertaken by several Member
States  within  the  meaning  of  Article  130l  or  to  the
setting-up  of  joint  undertakings  or  any  other  structure
within the meaning of Article 130n. It may also give rise
to  cooperation  with  third  countries  or  international
organisations  within  the  meaning  of  Article  130m.

financial  resources  are  still  appropriate  to  the  changing
situation. Where appropriate, it shall submit proposals to
adapt  or  supplement  the  framework  programme  and/or
the  specific  programmes,  taking  account  of  the  results  of
this  assessment.

In  the  case  referred  to  in  Article  2(1)(c),  the  Council,
3.
acting  under  the  conditions  provided  for  in  Article
130i(4)  of  the  Treaty,  shall  adapt  the  amounts  deemed
necessary  for  the  specific  programmes,  so  as  to  ensure
their consistency with the new maximum overall amount.
the  specific
Pending  a  decision  by 
programmes  shall  not  be 
implemented  beyond  the
provision  in  the  first  indent  of  Article  2(1)(a).

the  Council, 

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
technological  development
concerning  research  and 
appropriations  set  out 
in  the  Financial  Regulation
applicable  to  the  general  budget  of  the  European
Communities (1),  as  supplemented  by  Annex  IV  to  this
Decision.

Article  5

2. Before  submitting  its  proposal  for  a  sixth  framework
programme,  the  Commission  shall  have  an  external
assessment  conducted  by  independent  highly  qualified
experts  into  the  implementation  and  achievements  of
Community  activities  carried  out  during  the  five  years
preceding  that  assessment  in  the  light  of  the  criteria  set
out  in  Annex  I  and  the  scientific  and  technological
objectives  set  out  in  Annex  II.  The  Commission  shall
communicate the conclusions thereof, accompanied by its
comments,  to  the  European  Parliament,  the  Council,  the
Economic  and  Social  Committee  and  the  Committee  of
the  Regions.

3. The  independent  qualified  experts  referred  to  in
paragraphs  1  and  2  shall  be  drawn  in  particular  from
scientific, industrial and user communities and chosen by
the Commission, which shall take account, in a balanced
fashion,  of  the  various  research  players.

Article  6

All  research  activities  conducted  pursuant  to  the  fifth
framework programme shall be carried out in compliance
with  fundamental  ethical  principles.

1. The  Commission  shall  continually  and  systematically
monitor each year, with the help of independent qualified
experts,  the  implementation  of  the  fifth  framework
programme  and  its  specific  programmes  in  the  light  of
the  criteria  set  out  in  Annex  I  and  the  scientific  and
technological  objectives  set  out  in  Annex  II.  It  shall
assess, in particular, whether the objectives, priorities and

Done  at  Brussels,  . . .

For  the  European  Parliament

For  the  Council

The  President

The  President

(1)  OJ  L  356,  31.12.1977,  p.  1.  Regulation  as  last  amended  by
Regulation  (EC)  No  2444/97  (OJ  L  340,  11.12.1997,  p.  1).

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ANNEX  I

CRITERIA  FOR  SELECTING  THE  THEMES  AND  OBJECTIVES  OF  COMMUNITY  ACTIVITIES

1.  The  European  Community’s  RTD  policy 

is  directed  towards  strengthening  the  scientific  and
technological  bases  of  Community  industry  and  encouraging  it  to  become  more  competitive  at
international  level,  while  promoting  all  the  research  activities  deemed  necessary  by  virtue  of  other
Chapters of the Treaty. Its implementation is based on the twin principles of scientific and technological
excellence  and  relevance  to  the  abovementioned  objectives.

Moreover, in pursuit of a cost-benefit approach dictated by concern for optimum allocation of European
public  funding  and  in  accordance  with  the  subsidiarity  principle,  themes  for  the  fifth  framework
programme  and  the  related  objectives  are  selected  on  the  basis  that  the  Community  shall  take  action
only  if  and  in  so  far  as  the  objectives  cannot  be  sufficiently  achieved  by  the  Member  States.

2.  In  application  of  the  foregoing  principles,  the  framework  programme  shall  be  defined  on  the  basis  of  a

set  of  common  criteria,  divided  into  three  categories:

—  Criteria  related  to  the  Community  ‘value  added’  and  the  subsidiarity  principle

—  need  to  establish  a  ‘critical  mass’  in  human  and  financial  terms,  in  particular  through  the
combination  of  the  complementary  expertise  and  resources  available  in  the  various  Member
States,

—  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  questions  connected  with  the  development  of  the  European  area,

so  as  to  select  only  objectives  which  are  more  efficiently  pursued  at  the  Community  level  by  means
of  research  activities  conducted  at  that  level.

—  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  scientific  and  technological  progress  are  opening  up,

offering  possibilities  for  dissemination  and  exploitation  of  results  in  the  medium  or  long  term,

in  order  to  contribute  to  the  harmonious  and  sustainable  development  of  the  Community  as  a
whole.

3.  The criteria referred to in paragraph 2 will be used, and where necessary supplemented, for the purposes
of  the  implementation  of  the  fifth  framework  programme,  in  order  to  define  the  specific  programmes
and  select  research  and  technological  development  activities,  including  demonstration  activities.  The
three categories of criteria will supply simultaneously and must all be met, although to a different extent
from  case  to  case.

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ANNEX  II

General  outlines  of  Community  activities,  scientific  and  technological  objectives  and  related  priorities

I.  THEMES  AND  ORGANISATION

With  regard  to  the  themes  and  organisation  of  the  fifth  framework  programme,  it  is  recalled  that,  in
accordance  with  Article  130g  of  the  EC  Treaty,  the  fifth  framework  programme  will  comprise  four
activities:

—  the  first  activity  covers  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  researchers.

1.  CONTENT  AND  ORGANISATION  OF  THE  FIRST  ACTIVITY

The  research,  technological  development  and  demonstration  programmes  will  comprise:

—  ‘key actions’,

—  research  and  technological  development  activities  of  a  generic  nature,

—  activities  in  support  of  research  infrastructures.

These programmes will, where appropriate, include studies and research activities on relevant ethical
and  legal  aspects,  within  a  context  of  fundamental  respect  for  human  values.

Within these programmes, particular account will be taken of the socio-economic implications of the
implementation,  use,  and  effects  of  the  technologies,  processes  and  scenarios  covered  by  each  of
these  programmes.  As  an  integral  part  of  actions  within  the  first  activity,  relevant  socio-economic
research  will  be  carried  out.  A  particular  effort  will  be  made  to  ensure  coherence  between  these
activities  in  order  to  optimise  the  exploitation  and  dissemination  of  results  by  users.  These  actions
will be complemented by socio-economic research on horizontal issues carried out within the fourth
activity.

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

Synergy  will  be  sought  with  other  relevant  Community  instruments.

(a)  ‘Key  actions’

Key  actions  will  be  problem-oriented  and  clearly  defined  corresponding  to  the  criteria  and
specifically  targeted  to  the  objectives  of  each  programme  and  to  the  desired  results,  taking  into
account the views of users. They will have a clear European focus. The ‘key action’ is regarded as
a cluster of small and large, applied, generic and, as appropriate, basic research projects directed
towards  a  common  European  challenge  or  problem  not  excluding  global  issues.

The  research  activities  carried  out  in  this  context  will  integrate  the  entire  spectrum  of  activities
and  disciplines  needed  to  achieve  the  objectives,  and  range  from  basic  research  through
development  to  demonstration.  Appropriate  links  with  relevant  national  and  international
initiatives  (including  complementary  European  RTD  frameworks)  will  be  given  proper
attention.

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(b) Research  and  technological  development  activities  of  a  generic  nature

These activities, which are essential to achieve the objectives of the thematic programmes, will be
carried  out  in  a  limited  number  of  areas  not  covered  by  the  key  actions.  They  will  complement
the key actions. Their main aim is to help the Community maintain and improve its scientific and
technological  capability  in  those  areas  of  research  and  enabling  technologies  which  should  be
used widely.

(c)  Support  for  research  infrastructures

Since  the  construction  and  operation  of  research  infrastructure  is  the  responsibility  of  national
authorities,  Community  support  for  research  infrastructures  in  line  with  the  objectives  of  the
thematic programmes should contribute to cover two essential requirements at Community level:
(1)  the  need  for  an  optimum  use  of  existing  research  infrastructures  and  (2)  the  need  for
the  rational  and  cost-effective  development  of  research
transnational  cooperation 
infrastructures.

in 

The  role  of  the  Community  should  be  to  provide  added  value,  complementary  to  national  or
multinational  initiatives.  Community  support  may  enhance  access  to  infrastructures  and  will  in
particular  be  provided  for  research  infrastructure  networks  leading  to  further  complementarity,
pooling  of  efforts  and/or  specialisation  at  the  European  level  (including  the  compatibility  of
databases).

2.  CONTENT  AND  ORGANISATION  OF  THE  SECOND,  THIRD  AND  FOURTH  ACTIVITIES

The  horizontal  themes  are  at  the  crossroads  of  the  Community’s  research  policy  and  its  policies  for
external  relations,  innovation,  SMEs  and  human  resources,  and  for  social  and  employment  issues.

Each  of  them  comprises:

—  specific activities — including, where necessary, key actions — linked to the general objectives of
the  Community’s  policy  with  regard  to  external  relations,  innovation,  SMEs  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.

In coordination and interaction with the horizontal programmes, the thematic programmes will take
the necessary measures to make an active contribution, in the context of their own activities, towards
the  achievement  of  the  general  objectives  of  the  horizontal  programmes.

Community support for research infrastructures in the context of the fourth activity will concentrate
in  particular  on  measures  enhancing  access  to  such  infrastructures.

3.  THE  JOINT  RESEARCH  CENTRE

The  direct  RTD  actions  to  be  implemented  by  the  Joint  Research  Centre  (JRC)  will  comprise
research  and  scientific  and  technical  support  activities  of  an  institutional  character.  The  JRC  may
provide  support  where  it  has  special  or  even  unique  expertise  and  facilities  in  the  Community  or
where  it  is  entrusted  with  activities  necessary  for  the  framing  and  implementation  of  Community
policies  and  tasks  incumbent  on  the  Commission  pursuant  to  the  Treaty  which  require  the  JRC’s
impartiality (for example in the case of standardisation). The JRC will carry out its activities in close
cooperation  with  the  scientific  community  and  enterprises  in  Europe.

The  JRC  is  also  progressively  involved  in  competitive  activities.

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II.  SCIENTIFIC  AND  TECHNOLOGICAL  OBJECTIVES

1.  FIRST  ACTIVITY

THEME  1

QUALITY  OF  LIFE  AND  MANAGEMENT  OF  LIVING  RESOURCES

Improving  the  quality  of  life  and  health  is  a  major  challenge  and  the  Community  plans  to
tackle  it  by  helping  to  increase  knowledge  and  develop  technologies  in  the  field  of  the  life
sciences.

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,  in  which  rapid  progress  continues  to  be  made.

(a)  Key  actions

(i)  F o o d ,   n u t r i t i o n   a n d   h e a l t h

The  aim  of  this  key  action  is  to  promote  the  development  of  knowledge,  technologies  and
methods, including prenormative aspects, based on multidisciplinary approaches to produce
a  safe,  healthy,  balanced  and  varied  food  supply  for  consumers  covering  the  whole  food
chain.  This  requires  as  a  priority:

—  the  development  of  safe,  flexible  and  new  and/or  improved  manufacturing  technologies
to  improve  food  quality  and  consumer  acceptability,  while  guaranteeing  traceability  of
raw  materials  and  final  products,

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

throughout  the  food  chain,

—  research  into  the  role  of  food  in  promoting  and  sustaining  health  with  respect  to  diet
and nutrition, toxicology, epidemiology, environmental interaction, consumer choice and
public  health.

(ii)  C o n t r o l   o f   i n f e c t i o u s   d i s e a s e s

The  priority  objectives  of  this  key  action  are  the  fight  against  and  control  of  infectious
diseases,  both  human  and  animal,  including  zoonoses,  of  increasing  impact,  whether
established,  newly  emerging  or  in  resurgence,  based  on  research  seeking  a  better
understanding  of  the  immune  system.  Close  attention  is  to  be  paid  to:

—  the  development  of  improved  or  novel  mono-component,  multi-purpose  and  combined
vaccines,  especially  against  viral  diseases,  including  the  support  of  multi-centre  clinical
trials,

—  new  and  improved  strategies  to  identify  and  control  infectious  diseases,  directed  at
treatment and prevention and based on studies on pathogenesis, emergence of resistance
and  immunological  control,

—  aspects  connected  with  public  health  and  care  delivery  systems,  notably  management,
infectious  diseases

prevention,  surveillance,  behavioural  aspects  and  response  to 
(including  modelling  of  human  diseases).

(iii) T h e   ‘ c e l l   f a c t o r y ’

This  key  action  is  aimed  at  helping  the  Community’s  enterprises  to  exploit  the  advances
made  in  life  sciences  and  technologies,  particularly  in  the  fields  of  health,  environment,
agriculture, agro-industries and high value-added products, such as chemicals. It is aimed at
developing  multidisciplinary  technologies  based  on  the  exploitation  of  the  properties  of

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micro-organisms, plants and animals, in particular at the cellular and sub-cellular levels. The
objective  is  to  understand  the  functioning  of  cells  in  order  to  develop  bio-molecules  and
bio-processes  with  high  added-value  capable  of  enhancing  the  quality  of  life  and  health,
including:

—  new  and  innovative  health  processes  and  products,  particularly  from  molecular
including

(for  example  diagnostics,  antibiotics,  anti-cancer  agents, 

engineering 
plant-produced  therapeutics),

—  energy-efficient  bio-remediation  and  waste  bio-treatment  processes,

—  new biological processes and products, new processing technologies on the basis of new
plant  and  animal  characteristics  for  agri-food  and  agri-industry  and  high  value-added
chemical applications.

This  key  action  should  also  aim  at  RTD  to  make  cell  cultures  available  as  models  for
medicine,  pharmacology,  toxicology  and  environmental  monitoring  to  substitute  for  animal
testing  and  for  prenormative  purposes.

(iv)  E n v i r o n m e n t   a n d   h e a l t h

The  aim  of  this  key  action  is  to  achieve  a  better  understanding  of  the  interactions  between
the  genetic,  physiological,  environmental  and  social  factors  involved  in  sustaining  good
health  and  so  to  help  reduce  the  adverse  impact  on  health  of  changes  in  the  environment
and the workplace. It covers in particular issues such as prevention and the effects 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:

—  multi-disciplinary  approaches  for  achieving  a  better  understanding  of  the  interaction
between  the  social  and  physical  environment  and  health,  including  diseases  and
allergies,

—  epidemiological  studies  and  pathogenesis  research,

—  the  development  of  new  methods  of  diagnosis,  risk  assessment  and  prevention,

—  the  development  of  processes  to  identify  and,  where  possible,  reduce  harmful  effects  on

health  and  the  causes  thereof.

(v)  S u s t a i n a b l e   a g r i c u l t u r e ,  

f i s h e r i e s   a n d  

f o r e s t r y ,  

i n c l u d i n g  

i n t e g r a t e d

d e v e l o p m e n t   o f   r u r a l   a r e a s

The  aim  is  to  develop  the  knowledge  and  technologies  needed  for  the  production  and
exploitation  of  living  resources,  including  forests,  covering  the  whole  production  chain,
adapted to recent adjustments in the common agricultural and fisheries policies, whilst also
providing the scientific basis for Community regulations and standards. Similarly, the aim is
to promote the multi-purpose role of forests and the sustainable management and utilisation
of  forest  resources  as  an  integral  factor  of  rural  development.  Priority  areas  include:

—  new  and  sustainable  systems  of  production  and  exploitation  in  agriculture,  forestry,
fishing and aquaculture, taking into account profitability, the sustainable management of
resources,  product  quality  and  employment  as  well  as  animal  health  and  welfare,

—  the  integrated  production  and  exploitation  of  biological  materials  (non-food  uses),

—  sustainable  and  multi-purpose  utilisation  of 

forest 

resources; 

the 

integrated

forestry-wood  chain,

—  development  of  methods  of  control,  surveillance  and  protection,  including  protection  of

land  and  prevention  of  soil  erosion,

—  pre-legislative  research  designed  to  provide  a  scientific  basis  for  Community  legislation,

—  the  production  of  new  tools  and  models  for  the  integrated  and  sustainable  development
of  rural  and  other  relevant  areas  based  on  optimisation  of  the  specific  potential  of  each
area,  including  at  regional  level,  diversification  of  activities  and  land  use,  and
involvement  of  the  people  concerned.

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(vi)  T h e   a g e i n g   p o p u l a t i o n

This  key  action  aims  to  help  Europe  meet  the  challenge  of  the  growing  ageing  population
through  RTD  to  underpin  the  development  of  policies  and  interventions  to  extend  the
quality  of  life  and  independence  of  older  people,  and  to  reduce  the  need  for  long-term  care
and  its  consequential  costs.  It  gives  priority  to  multidisciplinary  RTD  relating  to  processes
leading  to  healthy  ageing,  including  demographic,  social  and  economic  aspects,  and  to
interventions  leading  to  the  postponement  and  improved  management  of  disability.  It  aims
to generate competitive advantage for a wide range of health related industries and sectors.
Priority  areas  include:

—  RTD  concerning  age-related  illnesses  and  health  problems  of  high  morbidity (1)  where

there  is  a  real  prospect  for  significant  prevention,  treatment  or  delay  in  onset,

—  RTD  concerning  biological,  psychological,  social  and  economic  determinants  of  healthy
ageing  and  of  the  mechanisms  leading  to  disability  and  the  postponement  of  disability,

—  demographic  and  epidemiological  research  on  ageing  and  disability  trends  to  enable
prediction  of  the  size  and  nature  of  the  ageing  population  as  a  basis  for  policy  and
planning,

—  RTD  to  provide  a  basis  for  new  approaches  to  delaying  the  onset  of  disability,  to
reducing  the  challenge  to  older  people  of  their  social  and  physical  environment  (e.g.  in
housing  and  transport)  and  to  supporting  mental  and  physical  functioning,

—  RTD concerning effective and efficient delivery of health and social care services to older
people,  including  comparative  research  on  the  financing  of  long-term  care  and
pensions.

(b) Research  and  technological  development  activities  of  a  generic  nature

—  Chronic and degenerative diseases (in particular cancer and diabetes), cardio-vascular diseases

and  rare  diseases:

Major challenges in biomedical research are the elucidation of the aetiology and pathogenesis
of  diseases  for  which  there  is  more  than  one  interacting  cause  (genetic,  environmental,
lifestyle)  of  high  (e.g.  cardio-vascular  diseases,  cancer,  diabetes)  or  low  (e.g.  rare  diseases)
morbidity.  There  is  an  urgent  need  to  improve  diagnosis,  treatment,  prevention  and
surveillance  through  epidemiology  and  applying  advances  in  modern  technology,  requiring  a
multinational approach.

—  Research  into  genomes  and  diseases  of  genetic  origin:

The aim of this activity is to identify the physiological functions of genes and to improve the
understanding of the meaning of sequence information. The new knowledge and technologies
deriving from this generic action should promote the exploitation of genomic information to
the  benefit  of  European  health,  industry  and  the  environment.  The  organisation  of
collaboration  in  this  area  will  underpin  the  development  of  expression  systems  to  facilitate
the  study  of  genes  of  industrial  and  agronomic  interest  as  well  as  the  design  of  effective
molecular  and  gene-based  preventive  and  therapeutic  strategies  for  human  and  animal
disease.

—  Neurosciences:

This activity should provide new insights and understanding of the mechanisms governing the
interrelationship  of  biological  and  psychological  processes,  to  promote  new  diagnostic  (e.g.
imaging)  and  therapeutic  approaches  to  neurological  and  psychiatric  disorders  and  to
underpin  opportunities  for  innovation  in  health  care  industries.

(1)  Long  and  serious  illness,  entailing  a  high  burden  on  society,  families,  individuals  and  their  carers.

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—  Research  relating  to  public  health  and  health  services:

Improvement  of  health  systems:  to  improve  the  health  of  European  citizens  and  the
effectiveness  and  cost-effectiveness  of  health  promotion  and  health-care  technologies  and
interventions,  to  enhance  health  and  safety  at  work,  to  evaluate  health-care  models,  to
develop the evidence base for clinical practice and health policy and to study health variations
across  Europe.

Fighting  drug-related  problems:  To  prevent  and,  where  appropriate,  control  drug-related
health  problems  through  establishing  the  psychological  and  socio-economic  factors  involved
in  drug-taking  and  drug  abuse,  developing  better  understanding  of  the  long-term  health  and
social  consequences  of  abuse,  and  developing  more  effective  treatment  strategies.

—  The study of problems relating to biomedical ethics and bioethics in the context of respect for

fundamental  human  values (1).

—  The study of the socio-economic aspects of development of the life sciences and technologies
within  the  perspective  of  sustainable  development  (impact  on  society,  the  economy  and
employment)

(c)  Support  for  research  infrastructures

In accordance with the general objectives outlined above, activities should focus, for example, on
databases  and  collections  of  biological  material,  centres  for  clinical  research  and  trials  and
facilities  for  fishery  and  aquaculture  research.

THEME  2

USER-FRIENDLY  INFORMATION  SOCIETY

The  convergence  between  information  processing,  communications  and  content  is
increasingly  pervading  most  industrial  and  social  activities  and  is  increasingly  critical  to
Europe’s  competitiveness  and  quality  of  life.  The  advent  of  the  information  society  is
opening  up  the  possibility  of  a  wide  range  of  new  activities  for  both  individuals  and
companies  in  the  Community,  e.g.  in  the  fields  of  commerce,  work,  transport,  the
environment, education and training, health and culture. Continuous efforts in relation to
research,  technological  development  and  technology  take-up  and  demonstration  are
necessary  to  realise  the  full  potential  of  the  Information  Society.  The  technological  range
of  the  key  actions  allows  the  possibility  of  a  dynamic  concentration  and  a  flexible
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  and  standardisation,  as  well  as  socio-economic
impact.

(1)  In accordance with the declaration of the European Council of Amsterdam on the banning of human cloning, research
conducted  at  Community  level  will  be  carried  out,  taking  account  of  the  opinions  of  the  competent  authorities,  in
particular  the  European  Group  on  Ethics  in  Science  and  New  Technologies  and  the  Human  Embryo  and  Foetus
Protection  Group,  as  well  as  the  opinions  of  relevant  international  organisations,  whilst  respecting  the  principles  laid
down in the Helsinki Declaration and the relevant resolutions of the World Health Organisation (WHO) and in other
relevant  international  Conventions.
No research activity which modifies or is intended to modify the genetic heritage of human beings by alteration 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 in the sense of
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,  a  cell  from  an  embryo  or  a  cell  coming  from  a  late  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.
(The  practical  effects  of  this  will  be  further  elaborated  in  the  specific  programmes).

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(a)  Key  actions

(i)  S y s t e m s   a n d   s e r v i c e s   f o r   t h e   c i t i z e n

The aim of this key action is to meet policy and user needs and to ease access at the lowest
cost to quality general-purpose services, boost the industry providing these services and pave
the  way  to  ‘digital  communities’  both  in  rural  and  urban  areas.  In  this  context,  it  will  be
based  on  the  following  priorities:

—  as  regards  health:  on  computerised  clinical  systems,  on  secure  high-capacity  health

networks  and  telemedicine,

—  as  regards  persons  with  special  needs,  including  the  disabled  and  the  elderly:  on
advanced  interfaced  and  on  tele-systems  to  integrate  the  elderly  and  the  disabled  into
society,

—  as regards public administration: advanced multimedia systems to facilitate access to and

provision  of  services  of  public  interest,

—  as regards the environment: on intelligent systems for analysis, surveillance, management
and  early  warning  and  support  systems  for  the  detection  and  clearance  of  landmines,

—  as  regards  transport  and  tourism:  on  the  advanced  intelligent  systems  needed  for

management  and  associated  tele-services.

(ii)  N e w   m e t h o d s   o f   w o r k   a n d   e l e c t r o n i c   c o m m e r c e

The  aim  of  this  key  action  is  to  develop  technologies  to  help  companies  operate  more
efficiently  and  to  make  commerce  in  goods  and  services  more  efficient,  and  to  facilitate
improvements  in  working  conditions  and  the  quality  of  work.  The  priority  topics  will  be:

—  flexible,  mobile  and  remote  working  methods  and  tools  for  individuals  and  for
cooperative  and  group  working  and  working  methods  based  on  simulation  and  virtual
reality  —  including  the  related  training,

—  management  systems  for  suppliers  and  consumers, 

including  systems  supporting

mass-customisation  and  interoperable  and  secure  payment  systems,

—  information  and  network  security,  including  cryptography,  techniques  for  combating
computer  crime,  the  technical  means  for  authentication  and  the  protection  of  integrity
and  intellectual  property  and  ‘privacy  enhancing  technologies’.

(iii)  M u l t i m e d i a   c o n t e n t   a n d   t o o l s

The aim of this key action is to facilitate lifelong learning, to stimulate creativity, to enable
linguistic  and  cultural  diversity  and  to  improve  the  functionality  of  future  information
products  and  services,  taking  account  of  user-friendliness  and  acceptability.  The  research
emphasises  intelligent  systems  for  education  and  training  with  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;  personalised  dissemination  of  information  and  accessing  scientific,  cultural
and  other  items  through  networking  of  libraries,  archives  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,  including  interfaces,  which  help  to  make  information  and

communications  systems  more  user-friendly,

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—  advanced  technologies  for  accessing,  filtering,  analysing  and  handling  information  to
help  manage  the  information  explosion  and  facilitate  the  use  of  multimedia  contents,
including  geographical  information  systems.

(iv)  E s s e n t i a l   t e c h n o l o g i e s   a n d   i n f r a s t r u c t u r e s

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:

—  technologies  for  and  management  of  information  processing,  communications  and
implementation,

including  broad-band  ones, 

together  with 

their 

networks, 
interoperability  and  application,

—  technologies  and  engineering  for  software,  systems  and  services,  including  high-quality

statistics,

—  real-time  and  large-scale  simulation  and  visualisation  technologies,

—  mobile and personal communications and systems, including satellite-related systems and

services,

—  interfaces  making  use  of  the  various  senses,

—  peripherals,  subsystems  and  microsystems,

—  micro-electronics  (technologies,  tools,  equipment  and  hardware  necessary  for  the  design
and  manufacture  of  circuits  and  components  and  the  development  of  applications).

(b) Research  and  technological  development  activities  of  a  generic  nature

In  order  to  develop  from  a  visionary  perspective  future  and  emerging  technologies  with  a
potential  industrial  impact,  research  topics  could  include,  in  a  non-prescriptive  way:

—  technologies  for  the  representation,  creation  and  handling  of  knowledge,

—  nano-scale,  quantum,  photonic,  bio-electronic  technologies,  including  future  generation

integrated  circuits,  ultra-high  performance  computers  and  super-intelligent  networks.

(c)  Support  for  research  infrastructures

The  priority  is  to  provide  support  to  facilitate  the  rapid  implementation  and  interoperability  of
Europe-wide  advanced  high-speed  computer  and  communication  systems  needed  for  research  in
all  fields  of  science  and  technology,  in  the  context  of  the  global  evolution  of  the  internet.

THEME  3

COMPETITIVE  AND  SUSTAINABLE  GROWTH

The objective is to produce and disseminate the knowledge and technologies needed to design
and  develop  processes  and  produce  high-quality,  environment-  and  consumer-friendly
products which will be competitive on tomorrow’s market, to help increase growth and create
new  jobs  in  Europe  and  to  sustain  the  continuing  innovation  effort  of  manufacturing  firms
(including  SMEs)  so  as  to  improve  their  competitiveness.

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

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(a)  Key  actions (1)

(i) 

I n n o v a t i v e   p r o d u c t s ,   p r o c e s s e s   a n d   o r g a n i s a t i o n

The  aim  of  this  key  action  is  to  facilitate  the  development  of  high-quality  innovative
products and services which meet the needs of the citizen and the market and new methods
of  production  and  manufacture,  including  innovation  in  and  modernisation  of  traditional
industries,  which  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,  including  micro-  and  nano-scale  technologies
and engineering,

—  deployment, 

integration  and  adaptation  of  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  improve  quality  control  and  for  clean  and  eco-efficient  processes,
including synthesis and separation techniques, aiming at reducing resource utilisation and
promoting  the  use  of  renewable  resources,  re-use  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  and  developing  skills

(including  socio-economic  analyses),  also  in  traditional  industries.

(ii)  S u s t a i n a b l e   m o b i l i t y   a n d   i n t e r m o d a l i t y

The aim is to ensure the development of fully integrated policy and operational options for
an integrated interoperable European rail and road, air and waterborne transport system on
a  broadly  intermodal  basis  to  ensure  the  mobility  of  people  and  goods,  whilst  at  the  same
time improving transport efficiency, safety and reliability and reducing congestion and other
environmental  disbenefits.  This  requires  as  a  matter  of  priority:

—  the  development,  validation  and  demonstration  of  rational  modal  and  intermodal
transport  management  systems,  including  better  use  of  second-generation  satellite
navigation  and  positioning  systems,  and  advanced  traveller  and  operator  information
services,

—  research  into  transport  infrastructures  and  their  interfaces  with  transport  means  and
systems,  while  reducing  any  adverse  environmental  and  safety  impacts  and  taking
account  of  accessibility  and  the  integration  of  regional  planning  and  transport  policies,

—  the  development  of  technical  and  socio-economic  scenarios  for  the  sustainable  mobility

of  people  and  goods.

(iii)  L a n d   t r a n s p o r t   a n d   m a r i n e   t e c h n o l o g i e s

The  aim  is  to  encourage,  whilst  preserving  the  environment  and  improving  safety,  the
development  and  integration  of  knowledge  and  technologies  specific  to  land  transport  and
sea-based  activities.  It  will  enable  the  Community  to  develop  technologies  to  maintain  and
consolidate  the  competitive  position  of  the  European  automotive  and  rail  industry  by
developing  innovative  technologies  and  new  materials,  modes  and  systems  for  sustainable
and  efficient  land  transport  means  and  to  fully  exploit  the  sea’s  potential  and  improve  the
competitiveness of marine industry. This action will be complementary to the key actions on
sustainable mobility and intermodality and sustainable marine ecosystems. Action will cover
as  a  matter  of  priority:

—  development  of  technologies  for  economic,  clean,  safe,  efficient,  energy-saving  and
transport

integrated 

total 

the 

in 

intelligent  road  and  rail  vehicles  operating 
environment,

(1)  Coordination  will  be  ensured  between  the  various  key  actions  and  generic  technologies  on  rail  and  road  transport

means.

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—  innovative  vehicle  concepts  using  new  materials  and  construction  techniques  with
improved  safety  (including  weight  reduction  and  crashworthiness),

emphasis  on 
recyclability  and  reduction  of  whole  life-cycle  costs,

—  human/vehicle  interaction  in  road  and  rail  vehicles  and  innovative  methods  for  the

adaptation  of  rail-based  systems  to  new  needs,

—  development  of  advanced  ships  which  are  safe,  environmentally  friendly  and  efficient,

—  the  use  of  the  sea  and  inland  waterways  as  economic  and  safe  means  of  transporting
goods  and  passengers  (including  advanced  port  infrastructure)  by  maximising  vessel
performance  and  interoperability  in  conjunction  with  the  key  action  on  ‘sustainable
mobility  and  intermodality’,

—  technologies for the study and observation of the seas and sustainable exploitation of the
seas’  energy  and  mineral  resources,  including  off-shore  and  sub-sea  technologies,  and
unmanned  vehicles  and  submarine  acoustics.

(iv)  N e w   p e r s p e c t i v e s   i n   a e r o n a u t i c s

The aim of this key action is to help the 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:

—  the  development  and  demonstration  of  advanced  technologies  for  integrated  design  and
production,  and  for  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  including  advanced  systems  and  sub-systems,

—  the  development  of  technologies  to  improve  operational  safety  and  efficiency,  including
on-board  integration  of  air-traffic  management  technologies,  in  coordination  with  other
transport-related  key  actions.

(b) Research  and  technological  development  activities  of  a  generic  nature

The effort will be focused on the priority research needed to reinforce European competitiveness
and  quality  of  life:

—  by  supporting  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;  surface  and  interface  engineering,  as  well  as  nano-scale  and  beam
technologies,

—  by  ensuring 

that  European  standards  and 

laboratories  provide  consistent
measurements  and  tests  which  are  equivalent  to  similar  measurements  made  by  Europe’s
major  trading  partners;  by  making  available  technical  tests,  certified  reference  materials  and
measuring  instruments  for  use  in  Member  States  in  order  to  assure  compliance  with
Community  directives;  by  supporting  standardisation  and  certification,  including  action  to
combat  fraud  and  ensure  the  quality  of  products  and  services,

testing 

—  by  developing  new  and  improved  materials  and  production  technologies  in  the  steel  field.

(c)  Support  for  research  infrastructures

In accordance with the general objectives outlined above, activities should focus, for example, on
computing  centres  for  research,  high-power  wind  tunnels,  laboratories  and  facilities  for
measurements  and  tests,  as  well  as  specialised  databases.

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THEME  4

ENERGY,  ENVIRONMENT  AND  SUSTAINABLE  DEVELOPMENT

Research  and  technological  development  in  the  field  of  the  environment,  energy  and  the
sustainable  management  of  ecosystem  resources  is  essential  for  the  implementation  of  Union
policies. Making use of the knowledge and technologies needed will make it possible to meet
a  wide  range  of  needs.  The  results  of  this  research  will  provide  the  basis  for  the  framing  of
policies  at  Community  level  or  deriving  from  international  treaties.

This  objective  goes  hand  in  hand  with  economic  development  and  industrial  competitiveness
that respects the environment and quality of life. It necessitates clean, efficient, economic and
diversified  energy  systems  and  services,  including  the  introduction  of  new  and  renewable
energy  technologies.  In  particular,  these  should  contribute  to  a  substantial  reduction  in
emission  of  CO2  and  other  greenhouse  gases.

Although research and technological development in the field of environment and energy are closely
related, 
financial  and  administrative
arrangements.

they  remain  distinct  areas,  each  requiring  specific 

A.  Environment  and  sustainable  development

(a)  Key  actions

(i)  S u s t a i n a b l e   m a n a g e m e n t   a n d   q u a l i t y   o f   w a t e r

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  to  prevent  pollution,  to  purify  water  and  to
use  and/or  re-use  water  rationally  (including  closed  loops;  reliability  of  distribution
networks);  integrated  approach  to  management  of  water  resources  and  wetlands,

—  technologies  for  monitoring  and  preventing  pollution  and  the  protection  and
management  of  ground-water  and  surface-water  resources,  including  ecological
quality aspects,

—  surveillance,  early  warning  and  communication  systems,

—  technologies  for  the  regulation  and  management  of  stocks  and  technologies  for  arid

and  semi-arid  areas  and  generally  water-deficient  regions.

(ii)  G l o b a l   c h a n g e ,   c l i m a t e   a n d   b i o d i v e r s i t y

The  aim  of  this  key  action  is  to  develop  the  scientific  and  technological  basis  and  tools
necessary  to  underpin 
implementation  of  Community  policies,  notably  the  EC
Environmental  Action  Programmes  and  the  Biodiversity  Strategy,  and  to  support  the
research obligations stemming from international treaties and conventions signed by the
European  Community  and  its  Member  States.  Overall,  the  key  action  seeks  to  increase
understanding in these areas in order to help deliver the Community goal of sustainable
development,  where  possible  in  interaction  with  industry.  In  this  context  priorities  are:

—  to  understand,  detect,  assess  and  predict  global  change  processes,  with  an  emphasis
on  the  European  and  sub-regional  causes  and  impacts,  with  respect  to  both  natural
and  anthropogenic  phenomena  and  in  the  context  of  the  sustainable  use  of  natural
resources. The natural, the socio-economic and, where relevant, the cultural sciences
will  be  used,

—  to  foster  better  understanding  of  the  terrestrial  and  marine  ecosystems  and  the

interactions  between  them  and  other  ecosystems,

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—  to  develop  scenarios  and  strategies  for  the  prevention  and  mitigation  of  and
adaptation  to  global  change,  climate  change  and  conservation  of  biodiversity  in  the
context  of  sustainable  development,

—  to  support  the  development  of  a  European  component  of  the  global  observing
systems  for  climate,  terrestrial  ecosystems  (including  biodiversity)  and  oceans  (for
example, Euro-GOOS).

(iii)  S u s t a i n a b l e   m a r i n e   e c o s y s t e m s

The  aim  of  this  key  action  is  to  promote  sustainable  integrated  management  of  marine
resources  and  to  contribute  to  the  marine  aspects  of  the  fifth  action  plan  on  the
environment. Synergy with other relevant activities of the framework programme will be
ensured  through  a  specific  coordinating  mechanism.

Research  will  be  directed  towards:

—  developing  the  necessary  scientific  knowledge  base  on  marine  processes,  ecosystems

and  interactions  for  sustainable  use  of  the  marine  environment  and  resources,

—  reducing  the  impact  of  human  activity  upon  the  biodiversity  and  sustainable
functioning  of  marine  ecosystems  and  developing  the  technologies  required  to
facilitate  safe  and  economic,  yet  sustainable,  exploitation  of  marine  resources,

—  monitoring  and  managing  coastal  processes  in  order  to  alleviate  pollution,  flooding
and erosion, in particular of fragile coastlines, and to facilitate land reclamation from
the  sea,

—  enabling the operational forecasting of environmental constraints on safe sustainable
offshore  operations,  including  the  necessary  components  of  an  appropriate  marine
observing system.

(iv)  T h e   c i t y   o f   t o m o r r o w   a n d   c u l t u r a l   h e r i t a g e

from  a  global, 

The  aim  of  this  key  action  is  the  harmonious  development  of  the  citizens’  urban
environment 
in  an
environmentally sound manner, using advanced models of organisation bringing together
in  particular  the  improvement  of  the  quality  of  life,  the  restoration  of  social  equilibria
and  the  protection,  conservation  and  enhancement  of  the  cultural  heritage  for  the
sustainable  exploitation  of  its  socio-economic  potential  for  employment  and  tourism.
Action  will  focus  as  a  matter  of  priority  on:

innovative  and  resource-saving  viewpoint 

—  new models for the sustainable development of European cities and city regions, the
elaboration  of  medium-  and  long-term  socio-economic  scenarios  and  research,
development  and  demonstration  activities  focusing  in  particular  on  supporting  and
accompanying  economic  competitiveness,  town  planning  and  architecture,  social
integration, safety, energy efficiency and energy saving (in particular in buildings and
in  urban  transport)  and  information  networks  (the  concept  of  ‘digital  cities’),

—  development  and  demonstration  of  technologies  and  products  for  diagnosis,
protection,  conservation,  restoration  and  sustainable  exploitation  of  the  European
cultural  heritage,  focusing  on  both  movable  and  immovable  cultural  assets  with  a
view  to  promoting  their  value  and  the  quality  of  life,

—  development  and  demonstration  of  technologies  for  economic,  clean,  effective  and
sustainable  preservation,  recovery,  renovation  and  construction,  in  particular  for
large  groups  of  buildings,

—  comparative  assessment  and  cost-effective 

implementation  of  strategies 

for

sustainable  transport  systems  in  an  urban  environment.

(b) Research  and  technological  development  activities  of  a  generic  nature

—  the  fight  against  major  natural  and  technological  hazards  through  the  development  of

forecasting,  prevention,  impact  assessment  and  mitigation  techniques,

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—  the  development  of  generic  Earth  observation  technologies,  notably  satellite-borne
technologies (1)  for  environmental  monitoring  and  resource  and  ecosystem  management
applications,

—  the  study  of  the  socio-economic  aspects  of  development  of  environmental  change  within
the  perspective  of  sustainable  development  (impact  on  society,  the  economy  and
employment).

(c)  Support  for  research  infrastructures

In accordance with the general objectives outlined above, activities should focus, for example,
on  databases,  marine-research  facilities  and  computer  centres  for  climate  studies.

B.  Energy

(a)  Key  actions (2)

(i)  C l e a n e r   e n e r g y   s y s t e m s ,   i n c l u d i n g   r e n e w a b l e s

The aim of this key action is to minimise the environmental impact of the production and
use  of  energy  in  Europe.  Action  will  be  taken  to  investigate  cleaner,  most  notably
renewable, energy sources, as well as to help reduce the environmental impact of existing
fossil  fuel  use.  Work  will  focus  by  way  of  priority  on:

—  large-scale generation of electricity and/or heat with reduced CO2  emissions from coal,

biomass  or  other  fuels,  including  combined  heat  and  power,

—  development  and  demonstration, 

including  for  the  purposes  of  decentralised
generation,  of  the  main  new  and  renewable  energy  sources,  in  particular  biomass,
fuel-cell,  wind  and  solar  technologies,

—  integration  of  new  and  renewable  energy  sources  into  energy  systems,

—  cost-effective  environmental  abatement  technologies  for  power  production.

(ii) E c o n o m i c   a n d   e f f i c i e n t   e n e r g y   f o r   a   c o m p e t i t i v e   E u r o p e

The  aim  of  this  key  action  is  to  provide  Europe  with  a  reliable,  efficient,  safe  and
economic  supply  for  the  benefit  of  its  citizens,  the  functioning  of  society  and  the
competitiveness  of  its  industry.  Action  will  need  to  be  taken  at  every  stage  of  the  energy
cycle  —  production,  distribution  and  final  use  —  to  improve  efficiency  and  reduce  costs.
Work  will  focus  by  way  of  priority  on:

—  technologies  for  the  rational  and  efficient  end-use  of  energy,

—  technologies  for  the  transmission  and  distribution  of  energy,

—  technologies  for  the  storage  of  energy  on  both  the  macro  and  the  micro  scales,

—  improved  exploration,  extraction  and  production  efficiency  for  hydrocarbons,

—  improving  the  efficiency  of  new  and  renewable  energy  sources,

—  the  elaboration  of  scenarios  on  supply  and  demand  in  economy/environment/energy
systems  and  their  interactions,  and  the  analysis  of  the  cost-effectiveness  (based  on
whole-life  costs)  and  efficiency  of  all  energy  sources.

(b) Research  and  technological  development  activities  of  a  generic  nature

—  The  study  of  the  socio-economic  aspects  of  energy  within  the  perspective  of  sustainable

development  (impact  on  society,  the  economy  and  employment).

(1)  There will be specific coordination of the activities relating to ‘space technology’ application carried out within each of

the  thematic  programmes.

(2)  The activities carried out in this area will be closely coordinated, as appropriate, with the activities of the fifth Euratom
framework  programme  for  research  and  training,  while  fully  respecting  the  legally  independent  nature  of  these  two
programmes.

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2.  SECOND  ACTIVITY

HORIZONTAL  THEME  ‘CONFIRMING  THE  INTERNATIONAL  ROLE  OF  COMMUNITY
RESEARCH’

The  main  purposes  of  this  horizontal  theme  are  to  promote  scientific  and  technological
cooperation  internationally;  to  reinforce  Community  capacities  in  the  fields  of  science  and
technology; to provide general support for the achievement of scientific excellence within the
wider international framework; and to contribute to the implementation of the Community’s
external  policy  also  with  the  accession  of  new  Member  States  in  mind.

The  general  objectives  of  international  scientific  cooperation  are:

—  to  promote  scientific  and  technological  cooperation  between  undertakings,  organisations  and
researchers from third countries and from the Community, which is likely to produce significant,
mutual  and  balanced  benefits,  taking  into  account  the  different  needs  and  circumstances  of
individual  groups  of  countries  and  regions  whilst  respecting  the  protection  of  intellectual
property,

—  to  facilitate  access  for  research  centres  and  undertakings  established  in  the  Community  to
scientific  and  technological  knowledge  available  outside  the  Community  which  serves  the
Community’s  interests,

—  to  enhance  the  position  and  role  of  Community  research  in  the  international  scientific  and

technological  arena  and  promote  a  European  scientific  and  technological  culture,

—  to prepare for the accession of new Member States e.g. by encouraging their full association with
the framework programme; to contribute to the stabilisation of the RTD potential of the CEECs
in general and of the Newly Independent States of the former Soviet Union (NIS), to support and
develop  the  Euro-Mediterranean  partnership  and  to  contribute  to  the  sustainable  economic,
social  and  scientific  development  of  developing  countries,

—  to help European research players acquire information and gain experience of research capacity,
activity and priorities of industrialised third countries and ‘emerging economy’ countries, so as to
make  Community  industry  more  competitive  and  enhance  its  presence  on  new  markets.

International  scientific  and  technological  cooperation  will  be  implemented  on  the  basis  of
cooperation  agreements,  where  these  exist,  and  through  this  horizontal  international  cooperation
programme, as well as through activities undertaken within the other programmes of this framework
programme.

A.  Specific  actions  in  the  ‘international  cooperation’  programme

On the basis of the cooperation policies in specific areas which the Community pursues with its
various  potential  partners,  three  categories  of  action  will  be  implemented  with  a  specific
international  dimension,  linked  to  specific  problems  facing  these  countries  and  not  addressed  by
the other activities of the framework programme. Only these actions will be financed through the
specific  ‘international  cooperation’  programme.

(a)  Cooperation  with  certain  categories  of  third  country

—  States in the pre-accession phase: promotion of their centres of excellence, accompanying
in  the  other  programmes  of  the  framework

measures  to  facilitate  participation 
programme,  including  through  cooperation  networks,

—  NIS  and  CEECs  not  in  the  pre-accession  phase:  support  for  their  research  and
technological development potential (including through INTAS for the NIS, provided that
a  new  agreement  is  reached  between  its  members  on  its  continuation),  cooperation  in
areas  of  mutual  interest  (including  satellite  applications,  regional  problems  linked  to  the
environment  and  health),

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—  Mediterranean  partner  countries:  improving  through  joint  activities  their  RTD  capacities
and  promoting  innovation;  cooperation  in  areas  of  mutual  interest,  notably  regional
aspects  of 
for
socio-economic development, including the urban dimension, transition to the information
society  and  preservation  of  cultural  heritage,  accompanying  measures  to  facilitate
participation  in  the  other  programmes  of  the  framework  programme,  including  through
cooperation  networks,

environmental  aspects, 

the  Mediterranean, 

including 

support 

—  developing  countries:  a  policy  dialogue  on  RTD  needs  and  priorities  with  groups  of
countries  and  regions  will  be  developed.  Cooperation  activities  will  be  envisaged,  in
particular in the following areas: mechanisms and conditions for sustainable development;
sustainable  management  and  use  of  natural  resources,  including  agricultural  production,
environmental  and  energy  aspects;  health,  nutrition  and  food  security,

—  emerging  economy  and  industrialised  countries:  Exchanges  of  scientists;  organisation  of
workshops;  accompanying  measures  to  promote  partnerships  and  to  enhance  mutual
access to each other’s RTD activities including, where appropriate, through scientific and
technological  cooperation  agreements.

(b) Training  of  researchers

A  system  of  fellowships  will  be  set  up  to  give  young  researchers  from  developing  countries,
Mediterranean  and  ‘emerging  economy’  countries  the  opportunity  of  collaborating  in
laboratories  in  the  Community  on  specific  projects  of  the  framework  programme.  Another
fellowship scheme will be provided for a limited number of young Community researchers so
as to enable them to work in industrially-oriented laboratories of the highest quality in third
countries  in  areas  of  particular  interest  to  the  Community.

(c)  Coordination

Coordination  with  COST  actions,  and  support  for  COST  administration,  coordination  with
EUREKA and with international organisations involved in research activities; coordination of
activities  pursued  through  the  other  programmes  of  the  framework  programme  —  with  one
another,  with  those  pursued  through  the  Community’s  other  cooperation  actions  (notably
PHARE,  TACIS  and  MEDA)  and  with  the  Member  States’  cooperation  activities.

B.  International  cooperation  pursued  through  the  other  framework  programme  activities

Participation  by  entities  of  third  countries  in  the  specific  programmes  may  take  basically  two
forms:

—  programme  participation  based  on  full  association  with  the  framework  programme:
participation for third-country entities under similar conditions to Member State entities. Full
association  of  States  in  the  pre-accession  phase  could  be  facilitated  through  appropriate
degressive financing mechanisms, making use, where so decided, of other relevant Community
instruments (e.g. PHARE). For other States in the pre-accession phase which indicate that full
participation  in  the  framework  programme  is  not  yet  feasible  for  them,  partial  association
with  one  or  more  complete  specific  programmes  could  be  envisaged,

—  participation  in  specific  programmes  on  a  project-by-project  basis:  if  a  bilateral  or  a
multilateral  cooperation  agreement  is  necessary  in  the  Community’s  interest  in  order  to
provide  access  to  high-quality  third-country  programmes  and  suitable  IPR  arrangements,
project-by-project  participation  will  be  subject  to  the  conclusion  of  such  an  agreement.
Participating  entities  of  third  countries  will  in  principle  not  benefit  from  funds  under  these
programmes,  except  in  cases  duly  justified  as  being  in  the  Community’s  interest.

The  detailed  conditions  under  which  entities  from  third  countries  and  international
organisations  involved  in  research  activities  may  participate  in  the  framework  programme,
including  the  financial  arrangements,  will  be  specified  in  the  decision  which  will  be  adopted
pursuant  to  Article  130j  of  the  Treaty.

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3.  THIRD  ACTIVITY

HORIZONTAL THEME ‘PROMOTION OF INNOVATION AND ENCOURAGEMENT OF SME
PARTICIPATION’

Innovation  is  a  key  factor  in  industrial  competitiveness,  sustainable  social  and  economic
development  and  job  creation.  The  aim  is  to  promote  innovative  activities,  including  the
creation  of  innovative  enterprises,  and  to  facilitate  the  dissemination  and  exploitation  of
research  results  and  support  technology  transfer.

Small  and  medium-sized  businesses  are  important  vectors  and  actors  in  innovation.  The
development  of  SMEs  can  make  a  vital  contribution  to  economic  and  social  development,
new  economic  activities,  job  creation  and  competitiveness.  SMEs  should  be  provided  with
easy access to the advanced technologies which they need, and to the opportunities offered by
the  Community’s  as  well  as  the  Member  States’  research  programmes.

Promotion  of  innovation  and  SME  participation,  although  not  synonymous,  are  closely  linked.  As
far  as  possible,  this  theme  will  therefore  be  implemented  by  means  of  joint  action  covering  both
areas.  Furthermore,  the  activities  carried  out  in  this  programme  will  be  complementary  to  activities
undertaken  within  Member  States  and  to  activities  to  promote  innovation  and  encourage  SME
participation  carried  out  elsewhere  in  the  framework  programme,  and  will  therefore  support,
supplement  and,  as  appropriate,  give  direction  to  these  various  efforts.

A.  General objectives

(a)  Promotion  of  innovation

—  to  help  implement  innovation  policies  in  the  European  Union,  in  particular  by

contributing  to  the  creation  of  an  environment  conducive  to  innovation,

—  to  enhance  public  awareness  of  the  benefits  of  innovation,

—  to  improve  the  economic  and  social  impact  of  framework  programme  research  activities
by  ensuring  better  dissemination  and  exploitation  of  their  results,  as  well  as  the  transfer
and  dissemination  of  technology  from  various  sources,  taking  account  of  the  needs  of
customers  and  users,

—  to  facilitate  access  of  programme  participants  (particularly  SMEs),  through  provision  of

information  and  advice,  to  instruments  which  support  innovation.

(b) Encouraging  SME  participation

—  to  stimulate  SME  participation  in  the  research  programmes  and  technology  transfer  to
SMEs  —  both  SMEs  active  in  research  and  high  technology  and  those  with  little  or  no
research capability but with substantial technological needs and a capacity to absorb new
technologies; to help SMEs throughout the European Union to develop their technological
capabilities,  taking  into  account  also  specific  problems  of  SMEs  in  less-favoured  regions,

—  to  assist  SMEs  in  setting  up  transnational  networks  and  partnerships  for  the  absorption

and  diffusion  of  new  technologies,

—  to  encourage  the  development  of  transnational  links  between  SMEs,  large  companies,

research  centres  and  universities.

B.  Actions  specific  to  the  horizontal  programme

(a)  Promotion  of  innovation

—  identification and dissemination, in concert with the other programmes of the framework
programme,  of  adequate  mechanisms  to  facilitate,  in  the  life-cycle  of  projects,  the

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exploitation,  private  financing  and  transfer  of  technologies  and  results  produced,  while
guaranteeing  protection  of  the  knowledge  acquired,

—  development,  validation  and  implementation  of  methodologies  for  technology  transfer
actions  integrating  the  technological,  economic  and  social  aspects  of  innovation  and,
where  necessary,  transnational  dissemination  and  exploitation  of  results  not  stemming
from  the  thematic  programmes  (taking  account  of  the  particular  characteristics  of  each
sector  of  activity),

—  coordination  of  studies  and  analyses  carried  out  in  various  fora  and  integration  of  their
results  with  a  view  to  establishing  a  common  reference  framework  in  the  area  of
innovation policy.

(b) Encouraging  SME  participation

—  management  of  a  single  complementary  entry  point  for  SMEs  —  for  all  the  research
programmes  —  in  the  Commission’s  departments,  making  use  of  existing  support
networks  in  Member  States;  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’,  specialised  Intranets  to
stimulate SME participation in innovation, etc.); provision of information on programmes
and 
the
consultation/assessment  process  of  the  SMEs  concerned;  ensuring  a  structured  and  rapid
feedback  system  for  all  applicants;  assistance  for  the  establishment  of  consortia,

preparation; 

involvement 

increasing 

proposal 

training 

on 

in 

—  assistance  to  SMEs  in  identifying  their  current  and  future  technological  needs  and

provision  of  information  and  advice  with  a  view  to  meeting  those  needs.

(c)  Joint  actions  for  innovation/SMEs

—  actions  at  Community  level  for  the  rationalisation  and  coordination  of  networks
providing  information  and  assistance  on  the  Community’s  research  and  innovation
activities;  management,  in  concert  with  the  other  programmes  of  the  framework
programme,  of  the  support  network  for  innovation  and  technology  transfer,  making  best
use  of  the  innovation  relay  centres  and  the  CRAFT  focal  points;  consolidation  of
mechanisms  for  gathering  and  disseminating 
information,  such  as  the  CORDIS
information service,

—  provision  of  information  and  advice,  as  well  as  pilot  activities,  in  the  areas  of:

—  intellectual  property  rights,

—  access  to  private  finance,  notably  venture  capital  funds,

—  the creation of innovative start-ups, principally via European organisations and funds
(European  Investment  Fund,  European  Investment  Bank,  and  the  Eurotech  Capital
scheme).

The  objective  of  the  pilot  activities  will  be  to  improve  the  existing  capacities  for
information,  advice  and  analysis  and  to  facilitate  access  to  existing  public  and  private
instruments  at  national  or  Community  level  without  providing  financial  subsidies  to
enterprises  or  creating  a  competing  financial  instrument;

—  identification  and  promotion,  in  concert  with  the  other  programmes  of  the  framework

programmes,  of  best  practices  in  innovation.

C.  Interaction  with  related  actions  in  the  other  framework  programme  activities

(a)  Promotion  of  innovation

—  encouraging  preparation  for  the  exploitation  and  dissemination  of  results  during  the

research  phase;

—  ensuring  consistency  between  activities  to  foster  innovation  under  the  other  programmes

and  those  carried  out  in  this  programme,

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—  coordination  of  the  activities  of  the  ‘innovation  units’  to  be  set  up  under  the  thematic
programmes,  with  the  aim  of  supplementing  the 
innovation  dimension  of  the
implementation  of  programmes  (e.g.  in  the  selection  and  monitoring  of  projects)  and
securing,  as  appropriate,  the  follow-up  of  technology  transfer,  including  technology
transfer  projects  with  a  demonstration  effect.

(b) Encouraging  SME  participation

Support  for  SME  participation  in  RTD  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  jointly  to  entrust  the  resolution  of  their  common  technological
problems  to  third  legal  entities  with  appropriate  research  capacities,

—  activities  to  support  and  encourage  SME  participation  in  collaborative  and  cooperative
research projects (for example on the basis of ‘exploratory awards’ respecting the needs of
SMEs  for  a  flexible  and  easily  accessible  support  system.

Support  for  ensuring  and  improving  dissemination  and  exploitation  of  results  within  the
thematic  programmes.

4.  FOURTH  ACTIVITY

HORIZONTAL  THEME: 

‘IMPROVING  HUMAN  RESEARCH  POTENTIAL  AND  THE

SOCIO-ECONOMIC  KNOWLEDGE  BASE’

The  world  is  increasingly  based  on  knowledge.  The  Community’s  prime  asset  in  this  area  is
the  quality  of  its  researchers,  engineers  and  technicians.  The  aim  is  to  preserve  and  help
develop  this  knowledge  potential  through  greater  support  for  the  training  and  mobility  of
researchers  and  by  enhancing  access  to  research  infrastructures.

The Community also has a solid tradition of research in social and economic science and the
humanities,  which  needs  to  be  mobilised  to  identify  economic  and  social  trends  and
requirements,  both  current  and  future,  in  order  to  contribute  to  the  Community’s
competitiveness  and  the  quality  of  life  of  its  citizens.

A.  General objectives

The general objectives of this activity, to be realised in concert with related actions elsewhere in
the  framework  programme,  are  centred  on  two  main  areas  of  activity,  namely  improving  the
human  research  potential  and  strengthening  the  socio-economic  knowledge  base.  To  this  end,
actions  will  be  undertaken:

—  to  develop  the  Community’s  human  research  potential,  making  special  efforts  to  ensure
equality  of  access  and  a  better  balance  between  men  and  women,  notably  through  the
training and mobility of researchers so as to contribute, inter alia, to efforts for creating new
jobs,

—  to  enhance  access  to  research  infrastructures,

—  to help make the Community an attractive location for researchers and to promote European
research  in  the  international  arena  and  to  promote  a  European  scientific  and  technological
culture,

—  to strengthen, through a specific key station, the socio-economic knowledge base for a better

understanding  of  key  problems  facing  European  society,

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—  to  help  develop  scientific  and  technological  policies  and  other  Community  policies.

B.  Actions  specific  to  the  horizontal  programme

(a)  Improving  human  research  potential

S u p p o r t i n g   t r a i n i n g   a n d   m o b i l i t y   o f   r e s e a r c h e r s

Actions  will  cover:

—  the  establishment  of  research  training  networks  on  high-quality  projects,  including  those
in emerging fields of research, on topics freely chosen by the researchers. The accent will
be  placed  on  the  training  and  development  of  young  researchers  at  pre-doctoral  and  at
post-doctoral  level,

—  the establishment of a coherent system of ‘Marie Curie’ fellowships centred on individual
fellowships  for  young  high-quality  researchers  with  the  necessary  research  experience,
awarded  for  topics  chosen  by  the  researchers  themselves.

Additional  and  complementary  schemes  include:

—  industrial  host  fellowships  awarded  to,  and  jointly  funded  by,  enterprises  (including

SMEs)  for  the  training  of  young  researchers;

—  development  host  fellowships  to  help  develop  high-level  research  capacity  in  the  less

favoured  regions  of  the  Community;

—  experienced  researchers’ 

fellowships 

to  promote  mobility  between 

industry  and

academia;

—  support  for  short  stays  by  doctoral  students  at  training  sites.

E n h a n c i n g   a c c e s s   t o   r e s e a r c h   i n f r a s t r u c t u r e s

The  main  aim  is  to  enhance  access  to  research  infrastructures  (large  facilities,  networks  of
distributed  facilities,  infrastructural  centres  of  competence)  to  the  extent  that  such  measures
are  not  undertaken  by  other  activities  of  the  framework  programme.  To  this  end,  measures
are  envisaged  to  help  researchers  with  transnational  access  to  infrastructures  which  are  of
Community-wide  interest  on  account  of  their  rarity  and/or  specialisation,  including,  where
relevant,  complementary  measures  to  support  the  setting  up  of  networks  between
infrastructure  operators  and  related  research  projects.

P r o m o t i n g   s c i e n t i f i c   a n d   t e c h n o l o g i c a l   e x c e l l e n c e

The  objective  here  is  to  stimulate,  through  exchange,  scientific  and  technological  excellence
and  to  make  the  most  of  the  achievements  of  research.  Activities  will  build  on  and
complement  national  activities  and  will  include  support  for  high-level  scientific  conferences,
the  networking  of  Community  researchers  active  outside  the  Community  with  their
Community  colleagues,  distinctions  for  high-level  research  work  and  actions  to  raise  public
awareness  and  making  information  on  important  scientific  issues  available  to  the  public  at
Community  level,  including  via  electronic  networks.

(b) Key  action:  improving  the  socio-economic  knowledge  base

The  aim  of  this  key  action  is  to  define  the  base  for  employment-generating  social,  economic
and cultural development and for building a European knowledge society. It covers a number
of  subjects  linked  to  the  general  objectives  of  the  framework  programme.  Work  will  focus
on:

—  analysing  structural,  demographic  and  social  changes,  including  the  phenomena  of
xenophobia, racism and migration in Europe, and their impact on economic development,
social  integration  and  social  protection,

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—  the  relationship  between  technological  development,  employment  and  society,  including
working  conditions  and  workforce  skills  and  on  innovation  in  education  and  training,
including  for  newly  emerging  professions,

—  analysing  the  changing  role  of  European  institutions,  systems  of  governance  and
citizenship  in  the  process  of  European  integration,  taking  account  of  the  impact  of
culture,  the  media  and  the  social  and  legal  environment,

—  validating  new  development  models,  fostering  growth,  employment,  social  and  economic
cohesion  and  the  quality  of  life,  taking  account  of  the  development  of  services  and  the
non-tangible  economy.

(c)  Other  activities  will  be  undertaken  in  support  of  the  development  of  science  and  technology

policies.

The  aim  is  to  support  the  development  of  the  specific  knowledge  base  needed  by
policy-makers  and  other  users  on  European  science  and  technology  policy  issues.  Building
upon  and  complementing  national  and  international  activities,  this  action  will  cover  the
development  of  appropriate  and  comparable  indicators,  technology  watch  and  assessment,
strategic  analysis  of  specific  policy  issues  and,  where  appropriate,  promotion  of  exchange  of
information  and  experience  between  policy-makers  and  researchers.

C.  Interaction  with  related  actions  in  the  other  framework  programme  activities

This  activity  will  include  the  coordination,  support  and  accompanying  actions  needed  to  ensure
consistency  with  actions  undertaken  elsewhere  in  the  framework  programme  on  the  aspects
related  to  the  objectives  and  activities  of  this  programme.  The  programme  will  also  ensure,
through  appropriate  monitoring  and  coordinating  mechanisms,  the  adequate  incorporation  of
socio-economic  and  strategic  considerations  into  the  research  activities  of  the  thematic
programmes.

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ANNEX  III

FIFTH  FRAMEWORK  PROGRAMME  (1998  TO  2002)

AMOUNTS  AND  BREAKDOWN

Indirect  actions:

—  First activity

—  Second activity

—  Third activity

—  Fourth  activity

Direct  actions (1)

ECU  million
(current  prices)

10 039

458

350

1 205

688

(1)  To  be  carried  out  by  the  JRC.

Maximum  overall  amount

12 740

Indicative  breakdown  between  the  themes  of  the  first  activity:

—  quality  of  life  and  management  of  living  resources

—  user-friendly  information  society

—  competitive  and  sustainable  growth

—  energy,  environment  and  sustainable  development

—  environment  and  sustainable  development

—  energy

(in  ECU  million)

2 239

3 363

2 389

1 044

1 004

10 039

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ANNEX  IV

RULES  FOR  FINANCIAL  PARTICIPATION  BY  THE  COMMUNITY

The  Community  will  contribute  financially  to  the  research  and  technological  development  activities,
including  demonstration  activities,  hereinafter  referred  to  as  ‘indirect  RTD  actions’,  carried  out  under  the
specific programmes implementing the framework programme. In addition, it will carry out directly research
and  development  activities  in  the  areas  covered  by  the  framework  programme,  hereinafter  referred  to  as
‘direct  TRD  actions’.

1.  Indirect  RTD  actions

The indirect RTD actions will comprise: shared-cost actions, which will be the principal mechanism for
implementing  the  specific  programmes,  as  well  as  training  fellowships,  support  for  networks,  concerted
actions  and  accompanying  measures.

(a)  Shared-cost  actions

—  Research  and 

technological  development  projects,  demonstration  projects,  combined

RTD/demonstration  projects:

—  research and technological development projects: projects designed to obtain new knowledge
likely  to  be  useful  either  to  develop  new  or  significantly  to  improve  existing  products,
processes  and/or  services  and/or  to  meet  the  needs  of  Community  policies,

—  demonstration  projects:  projects  designed  to  prove  the  viability  of  new  technologies  which

offer  a  potential  economic  advantage  but  which  cannot  be  commercialised  directly,

—  combined  RTD/demonstration  projects:  projects  with  both  a  research  and  technological

development  component  and  a  demonstration  component.

—  Enhancing  access  to  research  infrastructures:

In  addition  to  measures  in  support  of  research  infrastructure  within  the  other  indirect  RTD
actions,  support  for  enhancing  access  to  research  infrastructures  will  be  granted  towards  the
additional  costs  of  receiving  Community  researchers  and  making  facilities  available.

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

‘Cooperative research’ projects: projects enabling at least three mutually independent SMEs from
at least two Member States to entrust the resolution of their common technological problems to
third  legal  entities  with  appropriate  research  capacities  jointly.

‘Exploratory  awards’  to  support  the  exploratory  phase  of  a  project.  This  might  consist  of
feasibility  studies,  project  validation  and  preparation  and  partner  search,  during  a  period  not
exceeding  12  months.

(b) Training fellowships

Training  fellowships  are  defined  in  the  context  of  the  fourth  activity  (Marie  Curie  fellowships).
Fellowships  awarded  under  the  first,  second  or  fourth  activities  will  provide  an  allowance  for  the
fellow  which  will  include  provision  for  proper  social  welfare  expenses  and  a  contribution  to  costs
involved  in  mobility.  There  will  also  be  a  contribution  to  the  eligible  costs  of  the  host  institution
when  it  is  in  the  Community.

(c)  Support  for  research  training  networks  and  thematic  networks

—  Research training networks in the context of the fourth activity. Support will be granted towards

the  additional  eligible  costs  connected  with  setting  up  and  maintaining  the  network.

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—  Thematic  networks:  networks  bringing  together,  for  instance,  manufacturers,  users,  universities,
research  centres,  organisations  and  research  infrastructures  around  a  given  scientific  and
technological  objective,  so  as  to  facilitate  coordination  of  activities  and  transfer  of  knowledge.
Support  will  be  granted  towards  the  additional  eligible  costs  of  coordinating  and  implementing
the  network.

(d) Concerted  actions

Concerted actions will be designed to coordinate 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.

(e)  Accompanying measures

Accompanying  measures  will  contribute  to  the  implementation  of  the  specific  programmes  or  the
preparation  of  future  activities,  with  a  view  to  enabling  them  to  achieve  their  strategic  objectives.
They will also seek to prepare for or to support other indirect RTD actions. Measures devoted to the
commercialisation  of  products,  processes  or  services,  marketing  activities  and  sales  promotion  are
excluded.

The  Decisions  adopting  the  specific  programmes  may  spell  out  in  more  detail  the  indirect  RTD
actions  described  above,  supplement  them  or  subject  them  to  additional  conditions  or  limitations.

The  rules  for  the  participation  of  undertakings,  research  centres  and  universities  in  indirect  RTD
actions  and  for  the  dissemination  of  results  will  be  specified  in  the  Council  Decision  to  be  adopted
pursuant to Article 130j of the Treaty. Eligible costs will be defined in that Decision and specified in
detail  in  particular  in  the  contracts.

In addition to the direct RTD actions described below, the JRC will progressively compete for funds
for  the  indirect  RTD  actions  of  the  framework  programme.

2.  Direct  RTD  actions

The  direct  RTD  actions  to  be  implemented  by  the  Joint  Research  Centre  (JRC)  will  cover  research  and
scientific  and  technical  support  activities  of  an  institutional  character.  The  JRC  may  provide  support
where  it  has  special  or  even  unique  expertise  and  facilities  in  the  Community  or  where  it  is  entrusted
with  activities  necessary  for  the  framing  and  implementation  of  Community  policies  and  tasks
incumbent  on  the  Commission  pursuant  to  the  Treaty  which  require  the  JRC’s  impartiality.  The  JRC
will  carry  out  its  activities  in  close  cooperation  with  the  scientific  community  and  enterprises  in
Europe.

3.  Rates  of  participation

In  the  Decisions  adopting  the  specific  programmes  implementing  the  fifth  framework  programme  there
can  be  no  derogations  from  the  financial  participation  rates  set  out  below,  with  the  exception  of  duly
justified  special  cases.

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Activity

Rate  of  framework  programme  participation

Indirect  RTD  actions

RTD  projects
Demonstration  projects
Combined  RTD/demonstration  projects

50 %  of  the  total  eligible  costs (1) (2)
35 %  of  the  total  eligible  costs (1) (2)
35  to  50 %  of  the  total  eligible  costs (1) (2) (3)

Support  for  access  to  research  infrastructures

Maximum  of  100 %  of  additional  eligible  costs

‘Cooperative  research’  projects

50 %  of  the  total  eligible  costs (1)

‘Exploratory awards’

Training fellowships

75 %  of  the  total  eligible  costs

Maximum  of  100 %  of  the  additional  eligible
costs (4)

Research  training  networks

Maximum  of  100 %  of  additional  eligible  costs

Thematic  networks

Concerted  actions

Maximum  of  100 %  of  additional  eligible  costs

Accompanying measures

Maximum  of  100 %  of  the  total  eligible  costs

Direct  RTD  actions

100 %  of  the  costs

(1)  These rates may need to be adjusted in individual cases to comply with the Community framework for State aid for
research  and  development  and  with  Article  8  of  the  Agreement  on  subsidies  and  countervailing  measures  of  the
WTO agreement.

(2)  In the special case of legal entities which do not keep analytical accounts, the additional eligible costs generated as

a  result  of  the  research  will  be  financed  at  the  rate  of  100 %.

(3)  35 %  for  the  demonstration  part,  50 %  for  the  RTD  part.
(4)  In  the  case  of  industrial  host  fellowships,  this  will  normally  approximate  to  50 %  of  the  total  eligible  costs.

4.  Joint  undertakings,  etc.

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

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STATEMENT  OF  THE  COUNCIL’S  REASONS

I. 

INTRODUCTION

On  2  May  1997  the  Commission  submitted  its  proposal  for  a  European  Parliament  and
Council Decision concerning the fifth framework programme of the European Community
for  research,  technological  development  and  demonstration  activities  (1998  to  2002),  a
modified  proposal  being  submitted  on  11  August  1997.

This  proposal  is  based  on  Article  130i(1)  of  the  EC  Treaty (1).

The  European  Parliament  delivered  its  opinion  on  the  proposal  on  18  December  1997.

The  Commission  submitted  a  second  modified  proposal  on  16  January  1998.

II.  COMMON  POSITION  OF  THE  COUNCIL

The  Council  adopted  its  common  position  on  the  proposal  for  the  fifth  framework
programme  of  European  Community  RTD  activities  on  23  March  1998 (2).

The  Council  has  sought  to  incorporate  to  the  largest  extent  possible  the  suggestions  from
the  European  Parliament,  with  a  view  to  formulating  a  text  which  reflects  a  consensus
between  the  two  legislative  bodies  whilst  respecting  the  general  approach  of  the
Commission’s  proposal.  To  this  end,  the  Council  has  followed  certain  guiding  principles:

1.  the  need  for  a  more  focused  and  concentrated  Community  research  effort  based  on

greater  efficiency  and  added  value;

2.  the  role  of  the  framework  programme  as  an  instrument  for  the  realisation  of  major
Community  objectives,  in  particular:  improving  the  competitiveness  of  European
industry vis-à-vis its international competitors, stimulating growth and employment and
improving  the  quality  of  life  of  Europe’s  citizens;

3.  a realistic approach in setting objectives and defining activities, taking into account that
the  Union’s  priorities  are  evolving  in  the  framework  of  Agenda  2000  and  that  a  new
financial  perspective  will  be  negotiated  during  the  lifetime  of  the  fifth  framework
programme;

4.  the need for simplicity and clarity of the text, thereby avoiding details best suited to the

specific programmes.

Part  A  of  these  reasons  clarifies  the  Council’s  position  as  regards  the  main  aspects  of  the
Commission’s proposal. Part B sets out the Council’s reaction to the amendments proposed
by  the  European  Parliament.

(1)  The  Commission  also  submitted  at  the  same  time  a  proposal  for  a  Council  Decision  concerning  a  fifth
framework  programme  of  Community  activities  in  the  field  of  research  and  training  for  the  European
Atomic  Energy  Community  (1998  to  2002),  based  on  Article  7  of  the  EAEC  Treaty.

(2)  At  the  same  time  it  registered  agreement  on  the  text  of  the  EAEC  research  and  training  framework
programme,  on  the  understanding  that  the  final  adoption  of  the  Decision  would  take  place
simultaneously with the adoption of the EC framework programme Decision. This text is transmitted to
the  European  Parliament  for  information.

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A.  Main  aspects  of  the  framework  programme

1.  Structure  and  content  of  the  framework  programme

The Council generally supported the Commission’s approach based on concentration
of  activities  around  a  limited  number  of  programmes.  However,  the  Council  agreed
with  the  European  Parliament  on  the  need  for  an  additional  thematic  programme
devoted  to  energy  and  environment  research,  not  least  because  of  the  commitments
entered  into  by  the  Community  at  the  Kyoto  Climate  Conference.  The  Council’s
common  position,  therefore,  includes  a  fourth  thematic  programme  ‘Energy,
Environment  and  Sustainable  Development’  with  a  consequential  transfer  of  certain
key actions from the thematic programmes ‘Quality of life’ and ‘Competitive growth’
to  this  new  programme  (Amendments  29,  33,  73  to  81  and  133).

The  Council  also  accepted  the  European  Parliament’s  proposal  that  the  fourth
thematic  programme  should  be  divided  into  two  sub-programmes  on  environment
and energy, respectively, each with a separate budgetary allocation (amendment 125,
second  part).  Moreover,  the  Council  agreed  with  the  European  Parliament’s
suggestion to split the energy sub-programme into two key actions, giving also more
emphasis  to  renewables  (Amendments  73  and  74).

The  Council  approved,  for  the  most  part,  the  key  actions  proposed  by  the
Commission  but  agreed  with  Parliament  on  the  need  for  new  key  actions  on  the
ageing  population  (Amendment  116),  on  global  change  (Amendment  76)  and  a
combined  key  action  on  land  transport  and  marine  technologies  (Amendments  72
and  168),  all  of  which  are  incorporated  in  the  common  position.

Moreover,  the  Council  introduced  a  new  key  action  on  marine  sciences  in  the
environment  programme.

As  regards  the  horizontal  activities,  whilst  supporting  the  broad  lines  of  the
Commission’s  proposal,  the  Council’s  common  position,  very  much  in  line  with  the
European Parliament’s opinion, introduces some changes to Activities 3 and 4 so as
to pay greater attention to SMEs and the socio-economic dimension, in particular by
introducing a new key action on socio-economic research in Activity 4 (see points 4
and  5  below).

On Activity 2, the Council’s common position seeks to establish a broad framework
of  cooperation  with  all  the  Community’s  international  partners,  taking  account  of
the specificities of regions and groups of third countries. With the future enlargement
of  the  Union  in  mind,  particular  measures  to  facilitate  participation  in  the
framework  programme  of  States  in  the  pre-accession  phase  have  also  been
incorporated.

2.  Overall amount

The  fifth  framework  programme  comes  at  a  time  when  the  Union  is  re-assessing  its
priorities in the run-up to monetary union and the future enlargement of the Union.
The  Council’s  decision  on  the  overall  amount  of  the  framework  programme  is,
therefore, set against the background of Agenda 2000 and takes into account that a
new  financial  perspective  will  be  negotiated  during  the  lifetime  of  the  fifth
framework  programme.  The  Council  places  great  importance  on  value  for  money
and  considers  that  the  more  focused  structure  of  the  framework  programme  will
allow  for  savings  to  be  made.  In  this  context  also,  the  Council  considers  that
efficient and lean management will contribute to cost saving and notes with approval
the  European  Parliament’s  amendments  (Amendments  162  and  163)  regarding
transparency  of  administrative  costs  which  the  Council  has  largely  accepted.

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Whilst  noting  therefore  the  European  Parliament’s  proposal  for  an  increase  in  the
overall  amount  (Amendment  31  (a)),  the  Council  has  had  to  balance  different
priorities. The Council has therefore decided on the figure of ECU 12 740 million (1)
which  it  considers  to  be  a  realistic  compromise.

In view of the fact that the current financial perspective expires at the end of 1999,
the  Council  decided  to  give  a  distribution  of  the  overall  amount  between  the  first
and  second  periods  of  the  framework  programme.  The  Council  shares  the  view  of
the  European  Parliament  that  there  is  a  need  to  ensure  that  the  overall  amount  is
consistent with the financial perspective in the period 2000 to 2002. To this end, the
Council has accepted and further developed the ideas set out in European Parliament
Amendments  16  and  31(b),  by  providing  for  a  new  decision  by  the  European
Parliament and Council in the case where the overall amount should not prove to be
compatible  with  the  new  financial  perspective  in  the  years  2000  to  2002,  or  in  the
absence  of  a  financial  perspective.

In order to ensure compliance with this provision, the Council would further suggest
that  a  joint  declaration  of  the  three  institutions  might  be  made  on  the  following
lines:

‘The  European  Parliament,  the  Council  and  the  Commission  declare  that  the
financial amounts for the fifth framework programme shall not prejudge the future
allocation  of  expenditure  between  the  different  categories  of  the  financial
perspective  at  the  time  of  their  revision.  They  undertake  to  indicate,  in  any  new
financial  perspective,  the  share  of  expenditure  available  for  research.’

Finally,  the  Council  agrees  with  the  European  Parliament  (Amendments  17  and  32)
that the overall amount will need to be revised in case of accession of new Member
States  during  the  lifetime  of  the  fifth  framework  programme.

3.  Breakdown  of  funds  (Amendment  125)

The  Council  notes  with  satisfaction  that  there  is  a  broad  consensus  between  the
European  Parliament,  Council  and  Commission  on  the  relative  priorities  within  the
framework  programme.

Regarding  the  breakdown  of  funds  between  the  four  activities  of  the  framework
programme,  the  Council  considered  that  the  Commission’s  proposal  was  broadly
acceptable.  However,  the  Council  shares  the  European  Parliament’s  view  that  a
somewhat higher priority should be given to Activities 2 (International cooperation)
and  3  (Innovation  and  SMEs).  The  common  position,  therefore,  provides  for  a
proportionately  higher  share  for  these  areas  than  in  the  Commission’s  proposal.  In
the  context  of  measures  to  stimulate  growth  and  employment,  the  Council  attaches
considerable importance to the training and mobility of young researchers, in view of
the  need  to  develop  the  Community’s  research  potential,  as  well  as  to  the
socio-economic  dimension.  It,  therefore,  decided  to  maintain  the  relative  share  of
Activity  4  at  the  level  proposed  by  the  Commission  (10 %),  whilst  reducing  slightly
the  share  of  Activity  1  to  offset  the  increases  in  Activities  2  and  3.

Within  the  first  activity  there  has  been  a  redistribution  of  funds  to  take  account  of
the additional thematic area ‘Energy and Environment’, for which the Council agrees
with  the  European  Parliament  that  a  specific  budget  allocation  must  be  made  for
energy and environment respectively. In the energy field, the Council has, moreover,
sought  to  achieve  an  appropriate  balance  between  non-nuclear  and  nuclear  energy

(1)  The  Council  has  agreed  on  an  additional  ECU  1 260  million  for  the  Euratom  framework  programme.

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research, taking into account the probable prolongation of ITER-EDA and the need
to  pursue  research  into  cleaner,  more  efficient  energies  as  well  as  renewable
energies.

The  Council  did  not,  however,  consider  it  appropriate  to  set  at  this  stage  a  fixed
percentage  for  the  key  actions,  preferring  to  leave  this  to  the  specific  programmes.

Regarding  the  JRC,  the  Council  considers  that  the  JRC  should  intensify  its  efforts
towards a more competitive approach. The Council, therefore, welcomes the reforms
announced  by  the  Commission  regarding  the  organisation  and  status  of  the  JRC.
The  Council’s  common  position  reflects  this  approach  as  regards  the  budget  of  the
JRC.

4.  SMEs

The Council places considerable importance on reinforcing the participation of SMEs
in  the  framework  programme.  It  has,  therefore,  introduced  a  number  of  changes  to
the  Commission’s  proposal  aimed  in  particular  at  facilitating  the  access  of  SMEs  to
the  programmes.  These  changes  reflect  a  number  of  concerns  expressed  by  the
European  Parliament  (in  particular  Amendments  7,  40,  89,  112  and  122).

5.  Socio-economic  dimension  of  research

The Council shared the European Parliament’s view that greater attention should be
paid to the socio-economic dimension throughout the framework programme. It has,
therefore,  incorporated  a  specific  key  action  on  socio-economic  research  in  the
fourth  activity  ‘Improving  human  research  potential  and  the  socio-economic
knowledge base’ as well as enhancing the socio-economic aspects of the first activity.
The  common  position  of  the  Council  incorporates  a  large  number  of  the  proposals
made  by  Parliament  on  the  socio-economic  aspects  (Amendments  48(a)  and  123).

6.  General  objectives  and  selection  criteria

The  Council  noted  the  European  Parliament’s  amendments  aimed  at  amplifying  the
general  objectives  and  selection  criteria  (Amendments  14  and  42).  The  Council
considered,  however,  that  its  common  position  represents  a  better  balance  between
the  various  aims  and  priorities.  The  Council  further  notes  that  the  text  of  its
common  position  is  fully  in  line  with  the  modified  proposal  of  the  Commission  on
this  point.

7.  Implementaton  and  management

The  Council  notes  that  the  European  Parliament  has  introduced  a  number  of
amendments regarding implementation, management and monitoring of the research
programmes.  Whilst  sharing  a  number  of  the  concerns  expressed  by  the  Parliament
regarding  the  need  for  efficient  and  transparent  implementation  and  management,
the  Council  recalls  that  this  is  largely  a  question  to  be  dealt  with  in  the  specific
programme decisions.

B.  Specific  amendments  of  the  European  Parliament (1)

1.  General  provisions:  —  preamble  to  and  Articles  of  the  Decision;  selection  criteria
(Annex I); general scientific and technological objectives (introductory part of Annex
II);  modalities  of  financial  participation  (Annex  IV).

(1)  Where  reference  is  made  to  parts  of  amendments  only,  sub-numbering  (e.g.  (a),  (b),  (c),  etc.)  has  been

introduced  for  reasons  of  clarity.

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The  Council’s  common  position  incorporates  a  large  number  of  the  European
Parliament  amendments,  in  whole  or  in  part,  and  sometimes  in  a  modified  form  or
in  a  different  place:

Nos  1,  17,  32 

adaptations  in  case  of  accession  of  new  Member  States (1)

Nos  3,  9

No  4(a)

Nos  5,  38(b)

Nos  7,  40

No  8

cooperation  and  coordination  between  Member  States

international  competitiveness  of  Community  industry

involvement  of  the  scientific  and  user  communities  and
industry

needs  and  participation  of  SMEs (1)

stimulating  growth  and  employment

Nos  10,  11,  12

young,  enterprising  researchers

No  15

modalities  of  financial  participation

Nos  16,  31(b)

compatibility  with  the  financial  perspective (1)

No  19

deletion  of  superfluous  recital

Nos  22,  114

equal  opportunities  for  men  and  women

Nos  29,  33

four  thematic  programmes (1)

Nos  36(a),  37

annual  examination  and  five-year  evaluation

Nos  44,  46

RTD  activities  of  a  generic  nature

No  99(a)

economic  advantages  of  demonstration  projects

No  109(a)  and  (b)

research  infrastructures

Nos  48,  127(a)

socio-economic  research  in  Activity  1 (1)

No  49(a)  and  (b)

JRC:  role  in  standardisation;  cooperation  with  enterprises
and  the  scientific  community

No  127(b)

ethical  questions

Nos  162,  163

administrative  expenditure (1).

Several  other  amendments,  although  not  explicitly  taken  up,  were  considered  as
already  adequately  covered  by  the  Council’s  text  in  their  general  idea  and
intention:

No  6

No  20

No  21

Nos  24,  47

No  28

No  41

RTD  efforts  of  international  partners

strengthening  Europe’s  scientific  and  technical  base

environmental objectives

links  with  structural  and  regional  funds,  PHARE  and
TACIS

objectives  of  EU  research

animal welfare

Nos  43,  112

less  favoured  regions

Nos  14,  42

selection  criteria (1)

No  110

protection  of  IPR

(1)  See  also  Part  A  of  these  reasons.

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The  following  amendments  were  not  considered  appropriate  for  incorporation:

No  2

No  4(b)

No  13

No  18

No  23

No  26

allocation  for  Category  3  in  the  next  financial  perspective
(This  cannot  be  decided  in  the  framework  programme.)

deletion  of  references  to  quality  of  life  and  globalisation  of
knowledge
(Important  aspects  which  the  Council  wishes  to  retain.)

scientific  excellence 
through  the  structural  funds
(Outside  the  scope  of  the  framework  programme.)

in  relation  to  actions  undertaken

simpler  rules  for  participation
(The  Council  agrees  with  this  idea  but  it  is  for  the  specific
programmes 
rules  of
participation.)

the  decision  on 

and 

the 

regional  technology  centres
(Detail  better  reserved  for  the  specific  programme).

statute  of  fellows  and  researchers
(Outside  the  scope  of  the  framework  programme,  to  be
decided  in  the  framework  of  other  Community  policies  —
education,  fiscal,  etc.)

Nos  25,  27,  33(b),  34,
36(b),  38(a)  and  (c),
39

implementation  and  management
(See  Part  A  of  these  reasons).

No  29(b)

No  35

No  42(d)

No  109(c)

Nos  99(b),  100,  124

No  165

titles  of  thematic  programmes
(Not  sufficiently  generic.)

COST  and  EUREKA
(Modalities  of  cooperation  to  be  decided  in  the  specific
programmes.)

weapons  manufacture
(EC  Treaty  does  not  cover  military  research.)

experimental  platforms  and  modular  demonstrators
(Too  detailed;  to  be  dealt  with  in  the  specific  programme,
as  appropriate.)

special  rates  of  funding  for  SMEs  and  technology  take-up
activities
(Whilst  not  favouring  special  rates  for  SMEs,  which  would
be  complicated  to  operate,  the  Council  agrees  with  the
Commission  that  specific  needs  of  SMEs  could  be  catered
for under the ‘duly justified special cases’ referred to in Part
3  of  Annex  IV.)

mid-term  review
(In  view  of  the  totally  new  approach  of  this  framework
programme,  some  time  will  be  required  to  gain  experience
and  to  assess  the  results.  It  does  not,  therefore,  appear
realistic to envisage a reassessment of priorities and content
after  a  period  of  only  two  to  three  years.)

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No  101

imposed  by  European  Parliament  and

tasks  of  JRC 
Council
(European  Parliament  and  Council  have  no  competence
regarding  the  JRC.)

2.  Scientific  and  technological  objectives  and  content  (Annex  II)

A  number  of  amendments  proposed  by  the  European  Parliament  were  very  similar
to  modifications  introduced  during  the  Council’s  examination  of  the  Commission’s
proposal  and  are,  therefore,  covered  by  the  Commission’s  proposal  and  are,
therefore,  covered  by  the  common  position.  In  some  cases,  although  not  explicitly
taken  up,  amendments  are  covered  in  their  general  idea  and  intention.

No  62

No  71(b)

information society: need to tackle universal issues, such as
access,  ease  of  use,  cost-effectiveness,  interoperability  and
standardisation,  as  well  as  socio-economic  impact

Space  applications  and  satellite  technologies  (although
in  the  environment/earth
Council  has 
observation  programme)

included  these 

Nos  73,  74

two separate key actions in the energy sub-programme with
more  emphasis  on  renewable  energies (1)

No  75

No  76

Nos  78,  79

Nos  82,  83

No  86(a)

No  108

Nos  89,  122

key  action  ‘city  of  tomorrow’  transferred  to  environment
programme  with  corresponding  adaptation  of  text (1)

new  key  action  on  global 
biodiversity (1)

change, 

climate  and

new  thematic  programme  and  energy  and  environment (1)

S/T international cooperation: general aims and principle of
mutual  and  balanced  benefits/reciprocity

financial assistance for CEECs in the pre-accession phase to
facilitate 
framework
programme (1)

full  participation 

their 

the 

in 

cooperation  with  emerging  economy  and  industrialised
countries

promotion  of  innovation  and  technology  transfer,  taking
into  account  the  characteristics  of  each  sector  of  activity;
innovative  start-ups;  actions  at
assistance  with 
regional/local level

IPR; 

Nos  94,  111

training  fellowship  schemes

No  95

advanced  high-speed  computer  systems  and 
(covered 
‘information  society’)

Internet
‘infrastructure’  part  of  Theme  2

the 

in 

No  116

new  key  action  on  ageing (1)

A  number  of  other  amendments  were  accepted  and  integrated  into  the  Council’s
common  position,  in  whole  or  in  part,  and  sometimes  in  a  modified  form  or  in  a
different  place.

(1)  See  also  Part  A  of  these  reasons.

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Official  Journal  of  the  European  Communities

10.6.98

No  50(b)

No  51(b)

No  52

No  53

continuation  of  rapid  progress  in  life  sciences

tests and processes throughout the food chain; role of food
in  health,  including  research  into  diseases  and  allergies

better  understanding  of  the  immune  system;  emphasis  on
identification  as  well  as  control  of  rare  and  infectious
diseases

understanding  the  functioning  of  cells;  innovative  health
processes

Nos  59(b),  97

ethical  questions

Nos  166,  136

No  118

Nos  64,  138

integration 
in  society  of  persons  with  special  needs,
including  the  disabled  and  elderly;  access  to  and  provision
of  services  of  public  interest;  and  tourism

research 
landmines

to  support 

the  detection  and  clearance  of

technologies  to  help  companies  to  operate  more  efficiently;
improvement  of  working  conditions  and  quality  of  life;
security  of  payment  systems;  cryptography  and  techniques
for  combating  piracy  of  computer  sites

Nos  66(d),  69,  120

micro-  and  nano-scale 
traditional  industries

technologies  and  engineering;

No  105

No  68(d)

Nos  70,  107

Nos  72,  168

No  133

No  80

broad-band  interoperable  network  technologies

the 

sustaining 
of
manufacturing  firms,  in  particular  SMEs,  to  improve  their
competitiveness

innovation 

continuing 

effort 

advanced 
transport  of  people  and  goods

information  services 

for 

the  mobility  and

combined  key  action  on 
technologies (1)

land  transport  and  marine

integrated  water  management  with  emphasis  on  water
re-use  and  prevention  of  pollution

generic  activity  covering  socio-economic  aspects  in  the
environment  and  energy  field;  earth  observation;  major
risks

No  92

new  emerging  professions

Nos  93,  121

equal  opportunities  for  men  and  women

The  following  amendments  were  not  considered  appropriate  for  incorporation:

No  54

new  key  action  on  chemical  and  molecular  biology  bases
(This  was  considered  to  be  adequately  covered  under  other
key  actions,  e.g.  ‘cell  factory’.)

(1)  See  also  Part  A  of  these  reasons.

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C  178/87

Nos  50(a),  57

fusion  of  key  action  ‘food  and  health’  and  ‘environment
and  health’
(Council preferred to keep these key actions separate on the
grounds  that  the  emphasis  of  the  research  undertaken  in
each  area  is  rather  different.)

No  58

No  60

No  61

No  129

transfer  of  key  action  ‘rural  and  coastal  areas’  to  the
environment  programme
(Council  preferred  to  retain  this  key  action  in  the  theme
‘quality of life’) since it largely covers agricultural research;
Council  also  extended  it  to  cover  forestry.  The  coastal
aspects  have  been  included  in  the  new  marine  sciences  key
action.)

definition  of  human  cloning
(The  Council  considers  the  principle  to  be  adequately
covered  already;  the  detailed  definition  needs  to  be
elaborated  within  the  specific  programme.)

databases  and  experimental  platforms  to  test  new  life
science  technologies,  in  coordination  with  the  Council’s
structural  funds
(Too  detailed; 
programme,  as  appropriate.)

to  be  examined  within 

the  specific

establishment  of  a  centre  for  cancer  research
(Council  notes  that  a  number  of  such  centres  already  exist
in  Member  States,  with  the  function  of  coordinating
European  research.)

Nos  161,  131

non-conventional  therapies  and  diseases  related  to  mental
health
(Need  to  retain  focus.  To  the  extent  included,  detail  better
reserved  for  the  specific  programme.)

No  130

No  65

No  117

effects  on  health  of  electrical  and  electro-magnetic  fields
(Detail  better  reserved  for  the  specific  programme.)

transformation  of  scientific  findings  into  practice  through
interactive  further  education  programmes
(The transfer of results is dealt with generally in Activity 3;
vocational  training  is  not  within  the  ambit  of  the  RTD
framework  programme.)

new  key  action  on  social  changes  resulting  from  new
information  and  communication  technologies
(Council  considers  a  separate  key  action  in  this  area  to  be
unnecessary,  on  the  grounds  that  the  socio-economic
impact  of  research  and  technology  must  be  taken  into
account in all the activities of the thematic programmes and
not  dealt  with  in  isolation.)

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Official  Journal  of  the  European  Communities

10.6.98

No  67

Nos  68(c),  71(b)

No  77

No  81

Nos  84,  85

No  86(b)

No  87

No  88

No  90

No  91

national  ICT  networks  and  infrastructures  and  support
from  the  structural  funds
(Outside  the  scope  of  the  framework  programme.)

Astronautical  technology
(The  Council  considers  this  to  be  too  sector-specific  and
beyond  the  scope  of  the  framework  programme.)

generic  activity  for  satellite  monitoring  and  surveillance  of
traffic
(Too  detailed;  satellite  technologies  are  in  any  case  partly
covered  within  the  environment  programme.)

listing  of  areas  where  support  for  research  infrastructures
should  be  granted
(Detail  better  reserved  for  the  specific  programme.)

actions  to  be  carried  out  within  the  second  activity
(The  Council  had  a  somewhat  different  order  of  priorities
for  these  actions.)

use  of  Copernicus  to  facilitate  association  of  CEECs  with
the  framework  programme
(The  Council  envisages  other  types  of  measures  for  this
purpose.  The  further  use  of  Copernicus  is  to  be  examined
in  the  context  of  the  specific  programme.)

new  objective  on  biological  and  chemical  disarmament
(Council,  whilst  recognising 
this
importance  of 
objective,  considers  that  it  falls  outside  the  scope  of  the
RTS  framework  programme.)

the 

definition  of  SMEs
(This  question  is  to  be  dealt  with  in  the  decision,  under
Article  130j  of  the  Treaty,  on  the  rules  of  participation.)

virtual  centres  of  excellence
(Detail  better  reserved  for  the  specific  programme.)

reducton  from  three  to  two  of  the  number  of  SMEs
required  to  participate  in  cooperative  research  projects
(Council  considers  that  the  experience  gained  under
previous  programmes  favours  a  reduction  in  the  threshold;
however, a reduction in the threshold; however, a reduction
to  only 
two  SMEs  would  not  guarantee  genuinely
cooperative  research  with  broad  Community  interest.)

No  96

European  science  prize  and  RTD  Euronews
(Detail  better  reserved  for  the  specific  programme.)