1999/170/EC: Council Decision of 25 January 1999 adopting a specific programme for research, technological development and demonstration on energy, environment and sustainable development (1998 to 2002)
Date: 1999-01-25
Institutions: Council of the European Union
Subjects: EU programme, energy policy, environmental policy, research programme, sustainable development, technological change

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COUNCIL DECISION

of 25 January 1999

adopting a specific programme for research, technological development and demonstration
on energy, environment and sustainable development (1998 to 2002)

(1999/170/EC)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European
Community, and in particular Article 130i(4) thereof,

Having
regard
Commission (1),

to

the

proposal

from the

Having regard to the opinion of
Parliament (2),

the European

Having regard to the opinion of the Economic and
Social Committee (3),

of

fifth

framework

programme

(1) Whereas by Decision No 182/1999/EC (4), the
European Parliament and the Council adopted
the
the
European Community (hereinafter referred to as
the fifth framework programme) for research,
technological development and demonstration
(hereinafter
activities
for the period 1998 to 20002 setting out the
general outlines and scientific and technological
objectives of the activities to be carried out in
the fields of energy, environment and sustainable
development;

referred to as RTD)

the

framework
through

programme
specific

(2) Whereas Article 130i(3) of the Treaty stipulates
be
shall
that
programmes
implemented
developed within each activity under
the
framework programme, and that each specific
programme shall define the detailed rules for
implementing it, fix its duration and provide for
the means deemed necessary;

(3) Whereas,

Decision No 1110/94/EC of

in accordance with Article 4(2) of
the European

(1) OJ C 260, 18.8.1998, p. 48.
(2) Opinion delivered on 15 December 1998 (not yet

published in the Official Journal).

(3) OJ C 407, 28.12.1998, p. 123.
(4) OJ L 26, 1.2.1999, p. 1.

research,

technological development

the Council Decisions on the

Parliament and of the Council of 26 April 1994
concerning the fourth framework programme of
the European Community activities in the field
of
and
demonstration (1994 to 1998) (5) and Article 4(2)
of
specific
programmes implementing the fourth framework
programme, the Commission has arranged for an
external assessment to be conducted which it has
transmitted to the European Parliament,
the
Council,
the Economic and Social Committee
and the Committee of the Regions together with
its conclusions and comments;

(4) Whereas, in accordance with Article 130j of the
1999/65/EC of
Treaty, Council Decision
22 December 1998 concerning the rules for the
participation of undertakings, research centres
and universities and for the dissemination of
research results for the implementation of the
the European
fifth framework programme of
(hereinafter
Community
for participation
referred to as
rules
to this
and dissemination’) applies
specific
rules allow the
these
programme; whereas
participation of the Joint Research Centre in the
indirect
specific
covered
programme;

(1998 to 2002) (6)

actions

(cid:28)the

this

by

(5) Whereas, for the purpose of implementing this
programme, in addition to cooperation covered
by the Agreement on the European Economic
Area or by an Association Agreement, it may be
appropriate
international
engage
cooperation activities, in particular on the basis
of Article 130m of
the Treaty, with third
countries or international organisations;

to

in

(6) Whereas implementation of this programme will
also comprise activities and mechanisms aimed
stimulating, disseminating and exploiting
at
in particular vis-a` -vis small and
RTD results,
medium-sized enterprises (SMEs), and activities
to stimulate
the mobility and training of
researchers;

(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).

(6) OJ L 26, 1.2.1999, p. 46.

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it

that

is
and

important
user

the scientific,
(7) Whereas
industrial
should
contribute substantially to the definition of
activities
to be undertaken and should be
involved, as appropriate, in the implementation
of this programme;

communities

(8) Whereas

fifth
research activities under
framework programme should also be geared
towards innovation in order to contribute, inter
alia, to the objectives of the first action plan for
innovation;

the

Article 2

In accordance with Annex III

1.
to the fifth
framework programme, the amount deemed necessary
for carrying out the specific programme is EUR 2 125
million,
the
Commission’s administrative expenditure.

including a maximum of 6,5 % for

An indicative breakdown of this amount is given in
Annex I.

2. Of the amount in paragraph 1

(9) Whereas special emphasis should be placed on

encouraging the participation of SMEs;

— EUR 446 million is for the period 1998 to 1999,

(10) Whereas the equal opportunities policy of the
Community must be taken into account in the
implementation of this programme;

and

(11) Whereas efficient and transparent management
contributes to a more effective and user-friendly
programme;

(12) Whereas administrative expenditure should be
included in the Community budget
in a
transparent fashion;

— EUR 1 679 million is for the period 2000 to 2002.

In the case referred to in Article 2(1)(c) of the fifth
framework programme, the Council shall adapt the
latter figure in accordance with Article 2(1)(c), second
indent of the fifth framework programme. Pending a
decision by the Council, this specific programme shall
not be implemented beyond the provision of the first
indent.

(13) Whereas the implementation of this programme
should be monitored with a view to adapting it,
where appropriate, to scientific and technological
developments; whereas
there
should also be an assessment of progress with
the programme by independent experts;

in due

course

(14) Whereas the Scientific and Technical Research
Committee has been consulted on the scientific
and
specific
content
programmes,

technological

the

of

HAS ADOPTED THIS DECISION:

Article 1

the

In accordance with Article 3(1) of the fifth framework
specific programme on energy,
programme,
environment and sustainable development (hereinafter
referred to as the specific programme) is adopted for
the period from 25 January 1999 to 31 December
2002.

The budgetary authority shall,

3.
in compliance
with the scientific and technological objectives and
the
laid down in this Decision,
priorities
appropriations for each financial year taking into
account
resources within the
multiannual financial perspective.

the availability of

set

Article 3

the

The

general

outlines,

and
1.
technological objectives and the priorities
for the
specific programme are set out in Annex II. They are
consistent with the principles and the three categories
of selection criteria indicated in Annex I to the fifth
framework programme.

scientific

2.
In accordance with these principles and criteria
the selection criteria indicated in Article 10 of the
rules for participation and dissemination shall be
applied for the selection of the RTD activities to be
carried out.

In addition, any participation of industrial entities in
industrially-orientated shared-cost actions should, as a
general rule, be appropriate to the nature and purpose
of the activity.

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All
these criteria shall be complied with in the
implementation of the programme, including the work
programme referred to in Article 5(1), although they
may be weighted differently.

(d) where necessary,

the selection criteria and the
arrangements for applying them for each type of
indirect RTD action.

The rules for participation and dissemination

3.
shall apply to the specific programme.

4.
The detailed rules for financial participation by
the Community in the specific programme are those
referred to in Article 4 of
the fifth framework
programme.

indirect RTD actions

The
specific
programme are defined in Annexes II and IV to the
fifth framework programme.

under

the

The work programme shall

2.
take account of
relevant interests, in particular the scientific, industrial
and user communities. It shall serve as a basis for
implementing the indirect RTD actions according to
the procedures set out in the rules for participation
and dissemination.

3.
The work programme shall be updated where
appropriate and be made available by the Commission
to all
in a user-friendly form,
including in electronic form.

interested parties

Specific rules for implementing the programme are set
out in Annex III to this Decision.

Article 6

Article 4

In the light of the criteria referred to in Article 3, and
and
the
priorities set out in Annex II, the Commission:

technological

objectives

scientific

and

(a) shall monitor, with appropriate assistance from
independent external experts, the implementation
of the specific programme and, where appopriate,
for adapting it,
submit proposals
to Council
in accordance with Article 5(1) of
the fifth
framework programme;

in Article 5(2) of

(b) shall arrange for the external assessment provided
fifth framework
conducted concerning the
in the fields covered by

for
programme
activities carried out
the specific programme.

to be

the

The Commission shall be responsible for the

1.
implementation of this specific programme.

The procedure laid down in Article 7 shall apply

2.
for the adoption of the following measures:

— the drawing-up and updating of

the work
programme referred to in Article 5(1), including
regarding the content of calls for proposals,

— approval of RTD actions proposed for funding,
including participation by entities
from third
the
countries, where the estimated amount of
Community contribution under this programme is
equal to or more than EUR 0,6 million,

— the drawing-up of the terms of reference for the
external assessment provided for in Article 5(2) of
the fifth framework programme,

Article 5

— any adjustment to the indicative breakdown of the

amount as set out in Annex I.

The Commission shall draw up a work

1.
programme specifiying:

(a) in greater detail, the objectives and RTD priorities

of Annex II;

(b) the indicative timetable for the implementation of

the specific programme;

(c) the coordination arrangements set out in Annex III
and arrangements to secure the objectives, related
to innovation and the participation of SMEs,
of
the fifth framework
programme;

the third activity of

Article 7

1.
The Commission shall be assisted by two
programme committees (hereinafter referred to as (cid:28)the
committees’), one committees for the subprogramme
(cid:28)Environment and sustainable development’ and one
for the subprogramme (cid:28)Energy’, each composed of
representatives of the Member States and chaired by a
representative of the Commission.

2.
representative of

In the cases referred to in Article 6(2),
the Commission shall submit

the
to

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the committee a draft of measures to be taken. The
committee shall deliver
its opinion on the draft
measures referred to above within a time limit which
the Chairman may lay down according to the urgency
of the matter. The opinion shall be delivered by the
majority laid down in Article 148(2) of the Treaty in
the case of decisions which the Council is required to
adopt on a proposal from the Commission. The votes
of the representatives of the Member States within the
committee shall be weighted in the manner set out in
that Article. The Chairman shall not vote.

3 (a) The Commission shall adopt

the measures
envisaged if they are in accordance with the
opinion of the committee.

(b) If the measures envisaged are not in accordance
with the opinion of the committee, or if no
opinion is delivered,
the Commission shall,
without delay, submit to the Council a proposal
relating to the measures
to be taken. The
Council shall act by a qualified majority.

If, on expiry of a period of nine weeks from the
referral of the matter to the Council, the Council
has not acted, the proposed measures shall be
adopted by the Commission.

4.
committees

The Commission shall

of

the

overall

regularly inform the
the

progress

of

implementation of the specific programme, and shall
in particular provide them with information about the
progress of all RTD actions
this
programme.

funded under

Article 8

In accordance with Article 5(4) of the fifth framework
programme, the Commission shall regularly inform
the
the Council and the European Parliament of
overall progress of
the
implementation of
the
programme, including on the participation of SMEs
and the simplification of admininistrative procedures.

Article 9

This Decision is addressed to the Member States.

Done at Brussels, 25 January 1999.

For the Council

The President

J. FISCHER

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ANNEX I

INDICATIVE BREAKDOWN OF THE AMOUNT DEEMED NECESSARY

Type of activity

A. Environment and sustainable development

(a) Key actions

(i)

Sustainable management and quality of water

(ii) Global change, climate and biodiversity

(iii) Sustainable marine ecosystems

(iv) The city of tomorrow and cultural heritage

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

(c) Support for research infrastructures

(million EUR)

Amount

254

301

170

170

119

69

Subtotal

1 083

B. Energy

(a) Key actions

(i) Cleaner energy systems, including renewables

(ii) Economic and efficient energy for a competitive Europe

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

Subtotal

Total

479

547

16

1 042

2 125

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ANNEX II

THE GENERAL OUTLINES, THE SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES AND
THE PRIORITIES

INTRODUCTION

Research, technological development and demonstration (RTD) in the fields of environment, energy
and sustainable development is essential for the social well-being of Europe’s citizens and the
implementation of Union policies. Making use of the knowledge and technologies developed by this
programme will make it possible to meet a wide range of social and economic needs so reconciling
economic development with environmental sustainability. New markets will bring growth and
employment; reliable and competitive supply of energy will be ensured and energy requirements will
be met. The results will provide the basis for policies formulated at Community level or deriving from
international environmental commitments — in particular, the implementation of the Kyoto Protocol
requires urgent support for RTD on a number of issues.

This programme will encourage integrated multidisciplinary approaches seeking to solve problems
with a European dimension for which scientific and technological developments are needed. People are
a key interactive component of the ecosystem and, therefore, a fair balance between scientific and
socioeconomic disciplines must be found in project implementation.

Harnessing the full spectrum of these RTD activities, ranging from basic research to demonstration
projects, and using all suitable instruments, including supporting proposals spanning the spectrum of
RTD activities, are envisaged to tackle the major issues at stake, in order to meet the need for a better
understanding of natural processes and patterns and the interactions with human activities through to
the development of new technologies and instruments ensuring further steps towards sustainable
development.

they remain distinct areas. For

Although research and technological development in the field of environment and energy are closely
related,
they will be implemented through two
this reason,
subprogrammes, (cid:28)Environment and sustainable development’ and (cid:28)Energy’, each with its own budget
and programme committee. Exchange of information between the two committees will be ensured as
appropriate.

Strategic objective of the programme

The strategic goal is to contribute to sustainable development by focusing on key activities crucial for
social well-being and economic competitiveness in Europe.

An innovative approach based on two main elements will make it possible to address complex
social-driven issues:
involving wherever
integrated multidisciplinary and multisectoral activities
possible the principal stakeholders, private-public sector partnerships, and end-users from the business,
industrial and policy-making sectors, and concentrating on finding solutions to strategic problems, and
supporting only proposals which are of substantive regional, European and global significance. Europe
has established a leading RTD role in many areas — this must be sustained and remain at the
cutting-edge. In other areas improvements are needed for the future benefit of society, as well as the
business and industrial sectors.

Social objectives Society is making increasing demands for better living conditions, better safety, and
better use of scarce resources including secure and economic energy supplies and services. Availability

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of a sufficient and economic energy supply must be assured to promote industrial competitiveness and
to maintain the quality of life for Europe’s citizens. At the same time, the environmental impact of
energy production and use must be reduced. Water is of economic, environmental and social strategic
value. Rising population and per-capita use of resources, globalisation of economic markets and
natural variability in earth systems are causing or exacerbating major environmental problems. The sea
is essential for trade and transport in Europe, a source of numerous resources and a major resource for
tourism, but it is also the ultimate repository for many by-products of human activity. Cities together
with their cultural heritage are the centre of social, cultural and economic life for 80 % of Europe’s
citizens. These key societal issues will only be solved if in addition to developing technologies the
socioeconomic context is appropriately analysed and taken into account.

European added-value and subsidiarity. Environmental problems, energy systems, networks and
services and the associated environmental impacts, as well as sustainable development issues must be
approached in the global context. In this respect, the European level is the most appropriate: most
problems and challenges are common to all Member States and most activities to be addressed in the
programme are not only European, but also global, in scale. By mobilising resources and focusing on
key targets, the programme will form a key part of the European contribution to global initiatives and
programmes. Knowledge generated through collaborative RTD at the European level, together with
the coordination of fragmented European knowledge, is essential to address the very serious problems
including prenormative research, will confer genuine European
facing the Union. These efforts,
added-value to the efforts to develop appropriate regulatory frameworks,
for example in the
post-Kyoto process.

Economic development and scientific and technological prospects. The promotion of sustainable
development will not be possible unless economic objectives relating to technological development,
competitiveness and growth are reconciled with societal goals such as quality of life, employment,
security, health and a high quality environment. This challenge must be met in the context of
significant structural and demographic changes, and globalisation of the economy. Improving our
quality of life and decoupling economic growth from environmental degradation will contribute to
European competitiveness and employment. Secure and economic energy supplies and services are vital
for all aspects of economic activity. The need for energy equipment suppliers and operators to be
competitive in the global market is vital for employment. Enormous potential will exist for global
exploitation from several areas of
the programme, strengthening economic competitiveness and
creating new jobs, such as in the water industry, renewable energy technologies, rational use of energy
and reuse of resources, as well as technologies to improve energy efficiency and the water and/or
energy industries.

LINKS AND COMPLEMENTARITY WITH THE OTHER PROGRAMMES

Collaboration, coordination and complementarity will be fostered within and between key actions in
this and other programmes, including the activities of the JRC. This is of particular significance here
given the Community’s commitments on integrating environment protection requirements into other
policy areas. Coordination with other thematic programmes will be based on the following principles:
activities in the quality of life and management of living resources programme will concentrate on
epidemiology research arising from environmental and climate changes, whereas this programme will
focus on the consequences for human health from climate change; activities within the information
society programme will concentrate on the development of information society technologies, and
activities in this programme on the integration and adaptation of these technologies in applications;
and activities in the programme for promoting competitive and sustainable growth will concentrate on
the design and development of materials and technologies for generic use and treatment of industrial
waste within the production centre but in this programme the activities will concentrate on the
integration, application and demonstration of technologies and materials for energy or urban use,
including their design and development where specifically needed for urban or cultural heritage use
and the management of industrial waste outside the production centre.

Major examples of collaboration with key actions in other programmes where action to avoid
duplication is essential will be found with health, food and environmental factors (climate change and
air pollution), sustainable agriculture and fisheries (marine ecosystems), systems and services for the
citizen (earth observation technologies and energy distribution networks), land transport and marine

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technologies (marine ecosystems,
transport and offshore hydrocarbon exploitation), sustainable
mobility and intermodality (urban environment) and innovative products, processes and organisation
of production (urban waste, materials and industrial processes). Complementarity and coordination
will also be assured with the horizontal activities of the framework programme.

from third countries

— Global international cooperation with international organisations and the scientific, business and
industrial communities
inescapable to address many cross-border
is
environmental issues central to implementing international conventions and programmes, as well
as the environmental consequences of energy policies and cross-border supply interdependency.
Close links will be maintained with the pre-accession States to collaborate on tackling some of the
research needed to meet common challenges and common objectives corresponding to the
programme priorities and as such will be open to third country and international organisations.
The focus will continue to be fields of mutual concern and cooperation, particularly on global
change and related issues through the development and implementation of mechanisms such as the
European network for research on global change. There will also be coordination with the
programme (cid:28)Confirming the international role of Community research’ which will address
activities of specific regional relevance to the third countries concerned. Legal entities from third
countries and international organisations may participate in this programme according to the
priorities set out herewith, in line with the objectives outlined in the programme (cid:28)Confirming the
international role of Community research’ and with the rules for participation and dissemination.
Full use will be made of the possibilities offered by COST and Eureka and by cooperation with
international organisations to foster synergy between actions and projects in this programme and
nationally funded research activities.
In the case of cooperation with Eureka, projects
corresponding to themes of common interest with the framework programme may be developed in
the context of the key actions, in conformity with the selection criteria and procedures of the
framework programme,

— Activities related to innovation and participation of small and medium-sized enterprises (SMEs)
will be given a particular emphasis to help bridge the gap between research results and their
effective exploitation in potential applications by the business and policy-making sectors. The
participation of SMEs in all RTD activities will be stimulated and encouraged. Their important
potential to contribute to the innovation process is fully recognised. Exploratory awards will be
available to facilitate the participation of SMEs in collaborative RTD, as well as in cooperative
RTD in the case of SMEs without relevant research facilities of their own. An (cid:28)innovation unit’
will target promotion activities on the deployment and use of the results of this programme; it will
also help to ensure complementarity and an interface with the innovation activities implemented in
the context of the programme on innovation and participation of SMEs,

— Improving the know-how, skills and qualifications of European researchers and the understanding
of the socioeconomic impact of research in the fields covered by this programme is essential to
ensure sufficient availability of appropriate expertise and to establish tangible and lasting impacts.
Training and socioeconomic research will therefore form an integral part of this programme,
complemented by appropriate links with the horizontal programme (cid:28)Improving the human
research potential and the socioeconomic knowledge base’. Training activities in this programme
will include support to fellowships, which will take the form of Marie Curie fellowships following
the definitions and rules set out in the horizontal programme, and advanced study and specialised
courses.

A. ENVIRONMENT AND SUSTAINABLE DEVELOPMENT

The strategic goal of this part of the programme is to promote environmental science and technology
so as to improve our quality of life and boost growth, competitiveness and employment, while meeting
the need for sustainable management of resources and protection of the environment in line with the
goals and objectives of the fifth action programme on the environment as well as other Community
policies relating to the environment.

The RTD and demonstration projects will concentrate through four key actions on tackling the issues
of sustainable water management and water quality; global change, climate and biodiversity;

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sustainable integrated management of marine resources; and city of tomorrow and cultural heritage as
well as generic activities concerning the fight against major hazards, the development of earth
observation technologies, and socioeconomic aspects of environment within the perspective of
sustainable development (the impact on society, the economy and employment). Specific attention will
also be given to the need for an optimum use of existing European research infrastructures and for
transnational cooperation in the rational and cost-effective development of European research
infrastructures to support cutting-edge research in environmental activities.

(a) KEY ACTIONS

(i) Sustainable management and quality of water

O b j e c t i v e s a n d R T D p r i o r i t i e s

The overall goal of this key action is to produce the knowledge and technologies needed for the
rational management of water resources, for tackling important problems such as water scarcity, and
for networks for domestic needs and those of industry and agriculture, while maintaining the integrity
of ecosystems. Research will focus on:

— Development of treatment and purification technologies to prevent pollution, to purify water, to
prevent and mitigate salination of water resources and to use and/or reuse water rationally as well
as the development of an integrated approach for the management of water resources and
wetlands

resources;

to match water

supply with demand and achieve

The aim is to develop the knowledge and the technologies needed for the rational management of
water
cost-efficiency and
sustainability; to improve the science base (including on habits, attitudes and cultural patterns),
methodologies and management tools to provide a better understanding of the phenomena and
allow integrated management and sustainable use of water and wetlands at catchment scale,
within constraints of availability, environmental quality and socioeconomic cost-benefits;
to
develop technologies to prevent and treat pollution of water bodies and groundwater stocks, to
purify water and to use and/or reuse water rationally (including closed loop approaches and
reliability of collection and distribution networks).

tools and methodologies for cost-effective and sustainable integrated water
RTD priorities:
resources and wetlands management; effective transfer of knowledge and skills to water users;
development of real scale applications across Europe with a view to supporting EU policy;
optimisation of technologies to treat and purify drinking water and to minimise use and pollution
of water; process-integrated treatment of waste water at source; rational reuse of water;
application of closed loop technologies; development of integrated procedures to assess the state of
water systems; development of advanced processes to prevent and alleviate salination,

— Technologies

for monitoring and prevention of pollution, protection and management of

groundwater and surface water resources, including ecological quality aspects

The aim is to characterise and to assess the state and evolution of the quality and quantity of
surface and groundwaters as well as the functioning of aquatic and wetland ecosystems as the
include the development of technologies for
basis for more rational management. This will
assessing and treating pollution originating from contaminated sites and waste disposal sites as
well as the development of biological assessment methods for monitoring water quality.

RTD priorities: improved methods of measuring and monitoring water quality and quantity and
techniques for analysing pollutant flows and development of technologies for integrated assessment
of soil pollution treatment methods; nutrients from diffuse sources; predictive models and
advanced pollution impact assessment methodologies; updated water quality criteria and indicators
for water policies,

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— Surveillance, early warning and communication systems

The aim is to develop systems able to react on different time and space scales,
early-warning predictive systems with direct feedback to pollution sources.

including

RTD priorities: surveillance systems for point and diffuse pollution sources and for the various
environmental
including leakage
detection and stormwater management and systems for floods and drought assessment,

recipient systems; control and data management systems,

— Technologies for the regulation and management of stocks and technologies for arid and semi-arid

regions and generally water-deficient regions

The aim is to improve and protect water resources and aquatic ecosystems, to optimise water
management systems in arid regions, and to better manage water crises.

RTD priorities: integrated approaches at catchment and collection point level incorporating the
various political,
for
management of water resources and their use at EU, national, regional and local level to assist
decision making.

social, economic and environmental

improved systems

interactions;

(ii) Global change, climate and biodiversity

O b j e c t i v e s a n d R T D p r i o r i t i e s

The aim of this key action is to develop the scientific, technological and socioeconomic basis and tools
necessary for the study and understanding of changes in the environment. Aiming for an integrated
approach, the priorities are:

— To understand, detect, assess and predict global change processes

The aim is to focus mainly on European and subregional causes and impacts of specific global
change problems, such as climate change, ozone depletion, biodiversity loss, loss of fertile land and
habitats, disruptions
to ocean circulation. Attention will be given to both natural and
anthropogenic phenomena, in the context of the sustainable use of natural resources.

RTD priorities: variability and change in and between: atmospheric composition, ozone depletion
and UVB radiation; biogeochemical and hydrological cycles, biodiversity, climate, ocean processes,
sea level;
link between climate change and the frequency and scale of extreme events;
socioeconomic interactions and impacts on natural resources and human health,

— To foster better understanding of the terrestrial and marine ecosystems and the interaction between

them and other ecosystems

The emphasis will be on ecosystem interactions with land surfaces and land use, soil, water,
atmosphere and ocean; role of biodiversity and climate change; interactions between ecosystems,
biogeochemical cycles, large-scale land degradation and desertification.

RTD priorities: global change scenarios and their impact on terrestrial, freshwater and marine
ecosystems and the consequences thereof for food security and resource utilisation; assessment of
biodiversity, including losses; assessment of global change and climate change impacts on, and
risks to, key sensitive systems or areas; identification and quantification of ecosystem role in
biogeochemical cycles; land use modelling, soil degradation and desertification trends,

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

The aim is to provide a sound scientific basis for the development of tangible management
strategies and actions to address the adverse consequences outlined in the key action.

RTD priorities:
formulation and evaluation of options, assessing their scientific, economic,
technical and policy feasibility, and their social acceptability; conditions for decoupling economic
growth and environmental deterioration; assessment and enhancement of institutional capabilities
for implementation of international treaties,

— To support the development of the European component of the global observation systems for

climate, terrestrial systems and oceans

The aim is to identify and help fill key gaps in existing observation system capacity in order to
ensure that the necessary data are available to address the prediction, impact assessment and
response options to global change.

RTD priorities: development of
instruments, systems and methods to establish and process
long-term consolidated data sets of key variables by both in-situ measurements and remote sensing
techniques. This will cover, as required, the atmosphere, oceans (using, inter alia, Euro-GOOS),
land, hydrosphere, cryosphere and biosphere.

(iii) Sustainable marine ecosystems

O b j e c t i v e s a n d R T D p r i o r i t i e s

The aim of this key action is to promote the development of sustainable integrated management of
marine resources and to contribute to the marine aspects of environment and sustainable development
policies of the EU.

This action will contribute to better coordination of national marine policies, and therefore a
continued commitment is required, all the more so because the European seas are among the most
heavily used in the world. Synergy with other relevant activities of the framework programme will be
ensured through a specific coordinating mechanism. The research objectives are:

— To develop the scientific knowledge on marine processes, ecosystems and interactions

The aim is to facilitate the sustainable use of the marine environment and resources while fully
respecting its overall integrity and functioning.

RTD priorities: effects of physical forces, environmental factors and interactions at the ocean
boundaries on ecosystem functioning and natural variability; extreme environments and their
communities:
sedimentary systems and their
contribution to the sustainable management and use of shelf, slope and deepsea floor; origin,
delivery and cycling of contaminants, key elements and nutrients, and their impact on ecosystem
functioning,

functioning and potential

exploitation;

for

— To reduce the anthropogenic impact on biodiversity and the sustainable functioning of marine
ecosystems through analysis of its causes, consequences and possible solutions and through
development of safe, economic and sustainable exploitation technologies

The aim is to reduce the impact of human activity on the biodiversity and sustainable functioning
of marine ecosystems and to develop the technologies required to facilitate safe and profitable
economic yet sustainable exploitation of marine resources.

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RTD priorities: effects of anthropogenic activities, including exploitation, tourism and urbanisation
along the coast, and those of species introduction and biogeochemical cycling on ecosystems;
mechanisms of marine biodiversity evolution to reverse trends in its reduction; processes that
mitigate impact of contaminants and eutrophication, recovery of degraded systems. Development
of technologies for (i) the characterisation and monitoring of marine environments; (ii) sample
(iv)
resources
(iii)
collection;
communication,
imaging, modelling and monitoring systems, deepsea
instrumentation and exploratory platforms,

exploration of
surveying analysis,

for biotechnological

applications;

living

— To develop the capacity for monitoring and managing coastal phenomena

The aim is to alleviate pollution, flooding and erosion, in particular of fragile coastlines, and to
facilitate land reclamation from the sea.

RTD priorities: long-term coastal morphological changes, interactions between ecology (including
vegetation and fauna), morphology, erosion and impact of human activities; extreme events, risk
analysis, sea state propagation from offshore to the coast; tidal inlets and river mouths dynamics
interaction; fate of pollutants;
and stability; estuarine morphodynamics and estuarine-coastal
natural coastal defence mechanisms,
impact assessment of structures on marine environment,
adaptation of innovative engineering techniques for minimising disturbances of the ecosystems;
instrumentation, data management and modelling for effective monitoring,

— To enable operational forecasting of environmental constraints on offshore activities

The aim is to facilitate safe, sustainable offshore operations within the given environmental
constraints and to develop the necessary components of an appropriate marine observation system.

RTD priorities: development of pilot systems for monitoring, prediction and management, with a
view to safe offshore operations: (i) observation and measurement techniques and tools for
systematic acquisition of ocean parameters, (ii) improve forecasting techniques through refinement
of mathematical models capable of predicting impact of natural and human-induced variations on
marine ecosystems and resources, (iii) methodologies to assess the pertinence of environmental
parameters, and (iv) best practice compatible with requirements of international regulations and
conventions.

(iv) The city of tomorrow and cultural heritage

O b j e c t i v e s a n d R T D p r i o r i t i e s

this key action is

The overall goal of
sustainable economic development and
competitiveness, improved urban management and integrated planning policy, and help safeguard and
improve the quality of life and cultural identity of citizens. It will focus on the provision of an
integrated socioeconomic knowledge-base, and products, services, tools and technologies for better city
management and on the environmental challenges, particularly in relation to reducing pollutant
emissions.

to support

— Integrated approaches aiming at sustainable development of cities and rational management of

resources

The aim is to create new models for the sustainable development of European cities and city
regions and prepare medium- and long-term socioeconomic scenarios and research, development
and demonstration activities focusing,
in particular, on supporting and stimulating economic
competitiveness, town planning and architecture, social integration, safety, energy efficiency and
conservation (in particular
in buildings and in urban transport) and the exploitation of
information networks (the concept of (cid:28)digital cities’).

RTD priorities: urban development scenarios and integrated planning tools; developing strategies
for job creation and socioeconomic integration, also taking into account safety and multicultural

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aspects; impact of technologies, infrastructure, noise and air pollution from all sources on social
development, changes in urban surface use, resource utilisation, health and the environment;
demand management, safety and security of supply of essential resources (e.g. energy, land and
water); integrated approaches to better use and conservation of resources and reduced pollution
and waste taking into account social and environmental sustainability,

— Protection, conservation and enhancement of European cultural heritage

The aim is to develop sound management of cultural resources of cities and urban regions to
improve citizens’ quality of life, tourism and job creation.

RTD priorities: products, methodologies and technologies for diagnosis, protection, conservation,
restoration and the sustainable use of the European cultural heritage, focusing on promotion of
both movable and immovable cultural assets and the quality of life; measures for protecting
cultural heritage against
including risk
assessment, for harmonious and effective integration of cultural heritage into the urban setting,

technological and natural hazards; methodologies,

— Development and demonstration of

safe, economic, clean, effective and
sustainable preservation, recovery, renovation, construction, dismantling and demolition of the
built environment, in particular for large groups of buildings

technologies

for

The aim is to conserve, renovate, enhance, protect and develop the built environment in a manner
which responds to citizens’ and cultural needs, in a framework of long-term sustainability and
improved quality of life.

RTD priorities: effective technologies
safe and environment-friendly design,
for economic,
maintenance, repair, modernisation, conversion, construction, dismantling and demolition of the
built environment, in particular for large groups of buildings; essential services to combat hazards
and deterioration; more efficient management of resources (materials, energy, water, etc.); safety,
security and social dimensions; optimum use and reuse of land (above and beneath the ground),
including rehabilitation of contaminated sites; reliable environmental impact assessment; indoor
environmental management,

— Comparative assessment and cost-effective implementation of strategies for sustainable transport

systems in an urban environment

The aim is to promote sustainable cost-effective and user-oriented transport strategies and
solutions, integrated within the overall urban context, in order to reduce radically pollution levels
(noise and emissions) and urban congestion at affordable prices for users, while guaranteeing
effective operation, the quality of life, including socioeconomic aspects, and conservation of the
cultural heritage.

RTD priorities: comparative assessment and demonstration of strategic approaches and of
technical solutions for innovative and sustainable, collective and individual, transport systems and
methodologies and related infrastructure in a specific urban context.

(b) RESEARCH AND TECHNOLOGICAL DEVELOPMENT ACTIVITIES OF A GENERIC
NATURE

— The fight against major natural and technological hazards

O b j e c t i v e s a n d R T D a c t i v i t i e s

The aim is, through a better understanding of processes, mechanisms and events generating natural
impact
and technological hazards,
assessment,
to improved
risk forecasting, prevention, evaluation and mitigation. Support
decision-making systems, including evaluation and validation tools for assessing hazards and for
emergency management would be provided.

to develop technologies and methods for environmental

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RTD priorities: identification and analysis of factors which increase the level of natural risks;
development and improvement of methods, models and tools for hazard vulnerability and risk
assessment including quantification of the present and future levels of risk; development of
effective tools and methods for information management; development of innovative methods and
technologies to combat disasters and alleviate their consequences; improvement of the operational
safety of hazardous installations,

— Development of earth observation satellite technologies (1)

O b j e c t i v e s a n d R T D a c t i v i t i e s

The strategic aim is to provide a sustainable European capability in operational services for
monitoring the earth from space, leading to improvements in our understanding of the planet,
more effective conservation of our natural heritage, enhanced management of resources, and
mitigation of major hazards. The RTD action will provide applications, products and services
based on earth observation, linked to environmental monitoring and management of resources,
land use and ecosystems. The focus will be on meeting the needs of a wide range of users,
particularly those in Member State authorities. In this way, earth observation will naturally be
integrated with other relevant technologies as required, such as airborne remote sensing, space
telecommunications, navigation and global information systems.

The following research priorities will be implemented in line with the objectives of the Centre for
Earth Observation initiative:

RTD priorities: innovative pilot applications and focused methodological research to improve the
effectiveness of activities in priority areas for EU policies; investigations into technical, legal and
economic aspects; requirement and feasibility studies to help specify new services and missions;
new scenarios to prepare for self-sustaining operational services; promotion, education and
training to make better use of existing and planned earth observation data and information
sources,

— Socioeconomic aspects of environmental change in the perspective of sustainable development (the

impact on society, the economy and employment)

O b j e c t i v e s a n d R T D a c t i v i t i e s

The overall aim is to develop a sound scientific basis for, and advance the application and use of,
models for sustainable development and to facilitate the integration of sustainability considerations
into key EU sectoral policies (industry, transport, tourism, etc.) and into the key actions of the
fifth framework programme.

This integration is to be achieved by identification and assessment of the key interrelations
between socioeconomic driving forces of technological change, economic globalisation, societal
behaviour and environmental change, and their socioeconomic impacts. Effective utilisation of this
knowledge in policy formulation depends on the development and testing of improved methods
and policy tools.

institutions, demography, production and consumption,

identification and evaluation of the key relationships between socioeconomic
RTD priorities:
development and environmental change; driving forces and impacts are to be assessed in terms of
policies,
technological development,
distribution, security, culture and ethics. Development and application of methods and tools for
the integration and promotion of economic, social and environmental objectives; descriptive and
performance measures of sustainable development and for environmental accounting, development
footprints. Design and
of
including rational use of
comparative assessments of various approaches to eco-efficiency,

indicators and analysis of ecological

sustainable development

(1) Space-related activities are subject to central coordination across the various programmes.

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resources and industrial ecology;
governance principles for sustainability.

sustainable production and consumption; environmental

(c) SUPPORT FOR RESEARCH INFRASTRUCTURE

Objectives

To encourage the transnational use of public or private facilities which address critical needs in order
to further improve their exploitation while avoiding unnecessary duplication, and to cover emerging
priority needs.

Activities

In order to reinforce the European added-value and optimise the efforts made, the Community support
will be directed towards:

— transnational coordination, integrated management of specific aspects of operation, access to and

improvement of existing facilities,

— coordination and complementarity of national or multinational

initiatives to support facilities

needed at the European level,

— networking of communities of researchers and users through research projects and specific training
activities centred on appropriate infrastructures, or cooperation of several partners to form an
integrated service provider,

— increasing the compatibility of dispersed systems aiming to provide rapid and effective integration

of facilities and resources.

Infrastructure

Supporting infrastructure for assessing and observing the earth systems (e.g. ocean),
improve prediction of natural hazards and global changes will include more specifically:

in order to

— climate and global change research facilities: centres for climate prediction, super-computer
facilities; archiving facilities; centres for integrated assessment; climate and global change
databases; simulation chambers, ground-based stations and aircraft
for the observation of
atmosphere; devices and networks for observation of palaeo-environmental information; support
to taxonomy,

— marine research facilities: marine databases; collection of marine samples, support to taxonomy;
test basins; research vessels; platforms and centres for forecasting of ocean state; manned, robotic,
and automatic observation systems,

— natural hazards research facilities: facilities and key operational networks for data on earthquakes,

floods, tidal waves and storms, landslides, volcanoes and forest fires.

B. ENERGY

The strategic goal of this part of the programme is to develop sustainable energy systems and services
for Europe and contribute to a more sustainable development worldwide, leading to increased security
and diversity of supply, the provision of high-quality, low-cost energy services, improved industrial
competitiveness and reduced environmental impact.

The RTD and demonstration projects will concentrate through two key actions on tackling the issues
of cleaner energy systems including renewable energies and economical and efficient energy for a

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competitive Europe as well as generic activities concerning the socioeconomic aspects of energy within
the perspective of sustainable development (the impact on society, the economy and employment).

(a) KEY ACTIONS

(i) Cleaner energy systems, including renewables

O b j e c t i v e s a n d R T D p r i o r i t i e s

The aim of this key action is to develop and demonstrate technologies and associated measures which
will help minimise the environmental impact of the production and use of energy in Europe and be
consistent with the energy policy objectives, including the reduction of the Community’s dependence
on imported energy. These will help preserve the ecosystem by reducing emissions at local and global
levels and increasing the share of new and renewable energies. Accordingly 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 on:

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

or other fuels, including combined heat and power

The aim is to obtain substantial improvements in efficiency with reduction of the cost, external
dependence and environmental impact of energy conversion processes, whether based on fossil
fuels or renewable energy sources.

RTD priorities: combustion and other thermochemical conversion processes (e.g. gasification,
pyrolysis); generation of electricity and/or heat with reduced CO2 emissions from coal, biomass,
waste or other fuels; improving the efficiency of gas turbines; combined heat and power,

— Development and demonstration, including for decentralised generation, of the main new and
renewable energy sources, in particular biomass, wind and solar technologies, and of fuel cells

The aim is to enable the deployment of new and renewable energies in grid connected and (cid:28)stand
alone’ applications where there are prospects of a substantial contribution to energy supplies.

RTD priorities: fuel cells, for both stationary and transport applications; clean conversion and
cost-effective use of biomass in the context of energy generation systems for heat and power; wind
energy, in both on-shore and off-shore applications; solar technologies, photovoltaics and solar
thermal technologies; other renewable energy options that can contribute significantly to overall
programme objectives,

— Integration of new and renewable energy sources into energy systems

The aim is to overcome the problems associated with integrating new energy sources into
established energy systems, develop new applications and overcome barriers to the greater uptake
of renewable energies.

RTD priorities: overcoming the technical problems associated with the integration of renewable
energy sources into energy grids and processes; hybrid systems, combining different renewables or
renewables with conventional systems; improving acceptability of renewables e.g. reducing visual
intrusion and noise; identifying, and seeking ways to remove, non-technical barriers to integration
of renewables,

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— Cost-effective environmental abatement technologies for power production

The aim is to reduce the environmental
polluting energy streams.

impact of power production focusing on the most

RTD priorities: emission abatement technologies for power stations (e.g. for reducing emissions of
CO2, SOx, NOx and other pollutants); hot gas cleaning; including understanding of basic scientific
phenomena.

(ii) Economic and efficient energy for a competitive Europe

O b j e c t i v e s a n d R T D p r i o r i t i e s

The aim of this key action is to provide Europe with a reliable, clean, efficient, safe and economic
energy supply for the benefit of its citizens, the functioning of society and the competitiveness of
industry. A more efficient use of energy is required with technologies capable of achieving substantial
overall cost reductions and reduction of energy intensity, environmental
impact and external
dependence. Action will need to be taken at all stages of the energy cycle, production, distribution and
final use, to improve efficiency and reduce costs. Work will focus on:

— Technologies for the rational and efficient end use of energy

The aim is to make a major step towards a sustainable energy system by substantially reducing the
energy intensity of demand and making more effective, sustainable use of energy in the built
environment, transport and industry (including agriculture). This requires the development and
deployment of new technologies,
improving existing technologies and dissemination and
demonstration aimed at modifying user behaviour. RTD will focus on areas with the greatest
potential to deliver sustainable use of energy.

RTD priorities: particular emphasis will be given to cross sectoral technologies, such as process
control, and an integrated approach to improving energy efficiency in the built environment,
transport and industry,
lighting, space heating and cooling and the
improved energy and environmental performance of
integration of renewables into buildings;
vehicles and the corresponding infrastructure,
including fuels, energy storage, conversion,
combustion and transmission; reduction of energy intensity of industrial processes where emphasis
will be given to process integration, separation and drying,

including agriculture;

— Technologies for the transmission and distribution of energy

The aim is to achieve the full potential of intelligent energy networks in optimising the efficiency
of the whole energy system through improving the flexibility, reliability and competitiveness of
energy transmission and distribution systems while reducing costs,
transmission losses and
environmental impact. Emphasis will be given to facilitate the integration of new sources of supply
into European energy networks and to contribute to management of, and support to, liberalised
energy markets.

RTD priorities: intelligent energy transmission and distribution systems; long-distance transmission
of gas and electricity; optimised network management and control systems; optimal system
efficiency for electricity, gas, and district heating and cooling systems; superconductivity,

— Technologies for the storage of energy on both macro and micro scale

The aim is to improve the efficiency and reduce the environmental impact of energy storage; at the
macro scale in order to optimise the benefits of intermittent sources of renewable energy, at the
medium-size scale to permit the development of zero-emission vehicles and at the micro scale to
enable further downsizing of electronic devices.

RTD priorities: reliable and cost efficient energy storage technologies, including liquefied natural
gas and liquefied petroleum gas, H2, advanced batteries, both macro and micro, for stationary and
mobile applications,

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— More efficient exploration, extraction and production technologies for hydrocarbons

The aim is to allow more efficient identification of the energy resources available within the EU
and to optimise their exploitation, reducing the costs and environmental
their
production with the development of technologies which will be more competitive in global
markets.

impact of

RTD priorities: improved tools for characterisation and management of hydrocarbon reservoirs;
exploration and production technologies for hydrocarbons, especially for hostile subsea locations;
reduced environmental
including
those of wider application for example for geothermal energy; recovery of hydrocarbons from coal
beds,

impact and improved recovery techniques for hydrocarbons,

— Improving the efficiency of new and renewable energy sources

The aim is to achieve the widest possible deployment of renewable energies by reducing the costs
of their use in energy production and by advancing our understanding of the availability of
renewable resources in Europe, improving the efficiency of the technologies and reducing the costs
of their manufacture.

RTD priorities: biomass exploitation and management of waste as a fuel resource; improving
efficiencies of photovoltaic cells and wind turbines; reducing costs of production of renewables
technologies (e.g. turbine blades, PV modules),

— The elaboration of scenarios on supply and demand technologies 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

The aim is to develop strategies for the production and use of energy, for the introduction of new
energy technologies and for policy development.

RTD priorities: long- and short-term scenario analysis at the global, Community, and regional
level of supply and demand in the context of economic developments, social and environmental
needs; modelling and policy impact analysis; overall assessment of energy markets and technology
impacts taking into account the operation of liberalised energy markets.

(b) RESEARCH AND TECHNOLOGICAL DEVELOPMENT ACTIVITIES OF A GENERIC
NATURE

— Socioeconomic aspects of energy within the perspective of sustainable development (the impact on

society, the economy and employment)

O b j e c t i v e s a n d R T D p r i o r i t i e s

The aim is to develop and apply tools for assessing and monitoring the socioeconomic aspects of
energy technologies, systems and services using a (cid:28)technology assessment’ approach at the project
level and a (cid:28)global systems analysis’ approach at a much more general level.

RTD priorities: for technology assessment, the social dimension (e.g. behaviour, acceptance), the
innovation dimension, including the (cid:28)command and control’ measures and the impact of other
policies, the assessment of the externalities and their internalisation and, finally, comparative
assessment;
the relationship between energy,
the understanding of
environment, technologies and economic growth taking into account societal values and natural
and human resources.

systems analysis,

for

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ANNEX III

SPECIFIC RULES FOR IMPLEMENTING THE PROGRAMME

The specific programme will be implemented through the indirect RTD actions as provided for in
Annexes II and IV to the fifth framework programme. In addition, the following rules specific to this
programme will apply:

The accompanying measures will comprise in particular:

1. Accompanying measures

— studies on support of the specific programme, including the preparation of future activities,

— the exchange of

information, conferences, seminars, workshops and scientific and technical

meetings,

— recourse to external expertise,

in particular for the
purposes of the monitoring of the specific programme provided for in Article 5(1) of the fifth
framework programme, the external assessment provided for in Article 5(2) of the fifth framework
their
programme and the
implementation,

indirect RTD actions and the monitoring of

including access to scientific databases,

evaluation of

— dissemination,

including scientific publications,
activities for the exploitation of results and the transfer of technologies, encouragement of
innovation financing and assistance with the protection of intellectual property,

information and communication activities,

— training schemes related to RTD activities covered by the specific programme other than Marie

Curie fellowships,

— support for schemes to provide information and assistance for research players, including SMEs,

and including the development of closer international scientific cooperation,

— support for promotion of common data structures and for data compatibility, standardisation,

processing, management and exchange,

— recourse to external expertise in setting up and providing access to information, assistance and

innovation promoting services and networks.

2. Financial participation rates

In the specific case of RTD projects, demonstration projects and integrated projects, the costs of use of
research vessels, off-shore platforms and airborne platforms will be eligible costs. Details of these costs
are set out in the work programme.

3. Additional rules for participation and dissemination

This programme is also open to legal entities established in third countries and international
organisations which may participate on a project-by-project basis provided their participation
contributes effectively to the implementation of the programme.

Such entities and international organisations may exceptionally receive financial support where their
participation is beneficial and offers added-value for achieving the objectives of the programme.

4. Coordination arrangements

The Commission will endeavour to ensure complementarity between the indirect RTD actions under
the programme, in particular by grouping them around a common objective, and to avoid duplication,
while respecting the legitimate interests of proposers of indirect RTD actions. In this context,
coordination will also be ensured by the two programme committees as appropriate.

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As far as possible, coordination will also be ensured between actions under the specific programme
and those carried out in:

— other specific programmes implementing the fifth framework programme,

— the research and training programmes implementing Council Decision 1999/64/Euratom of
22 December 1998 concerning the fifth framework programme of the European Atomic Energy
Community (Euratom) for research and training activities (1998 to 2002) (1),

— other European research frameworks including Eureka and COST,

— other Community research-related instruments.

It will comprise:

(i)

the identification of common themes or priorities, resulting in particular in:

— exchange of information,

— the carrying out of work decided on jointly, entailing in particular the joint initiation of one of

the procedures referred to in Article 9 of the rules for participation and dissemination;

(ii) the reassignment of proposals for indirect RTD actions between specific programmes or between a

specific programme and a research and training programme.

(1) OJ L 26, 1.2.1999, p. 34.