Communication from the Commission Research and technological development activities of the European Union - 2000 Annual Report
Date: 2000-12-19
Institutions: European Commission
Subjects: EU programme, EU research policy, activity report, research and development, technological change

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 19.12.2000-
COM(2000) 842 final

COMMUNICATION FROM THE COMMISSION

Research and technological development activities of the European Union
2000 Annual Report

1.

2.

3.

3.1.

3.2.

3.3.

4.

4.1.

4.2.

4.3.

4.4.

4.5.

4.6.

4.7.

4.8.

4.9.

5.

5.1.

5.2.

5.3.

5.4.

TABLE OF CONTENTS

Summary...................................................................................................... 6

A fresh boost for research policies in Europe................................................ 7

Towards a European Research Area.............................................................. 8

A challenge to be met ................................................................................... 8

Courses and means of action......................................................................... 8

Debates and guidelines for action ................................................................. 9

Community research in 1999 ...................................................................... 12

Launching of the 5th Framework Programme ............................................. 12

Key actions................................................................................................. 12

Generic RTD and support for research infrastructures................................. 13

Participation of Associated States and international cooperation ................. 13

European mobility of researchers................................................................ 15

Women in Community research.................................................................. 16

Ethical aspects of Community research....................................................... 16

Monitoring of Community research ............................................................ 17

Implementation of the Framework Programme ........................................... 18

Impact of Community research................................................................... 19

Transnational cooperation links .................................................................. 19

SME access to research .............................................................................. 19

Impact on competitiveness, employment and the quality of life .................. 20

Impact on European economic cohesion ..................................................... 21

2

5.5.

6.

6.1.

6.2.

6.3.

"Combination" of national and European policies ....................................... 22

Outlook ...................................................................................................... 23

Creation of a European Research Area........................................................ 23

Implementation of the 5th Framework Programme ..................................... 24

Preparation of future Community research activities................................... 24

ANNEXES .......................................................................................................................... 25

3

Legal bases for the annual report1

• Treaty establishing the European Community, Article 173:

At the beginning of each year the Commission shall send a report to the European Parliament
and the Council. The report shall
include information on research and technological
development activities and the dissemination of results during the previous year, and the work
programme for the current year.

• Decision No 182/1999/EC concerning the 5th Framework Programme (OJ L 26, 1 February

1999), Article 5(4):

The Commission shall regularly inform the European Parliament and the Council of the
overall progress of the implementation of the Framework Programme and the Specific
Programmes.

• Decision No 1999/65/EC concerning the rules for participation (OJ L 26, 1 February

1999), Article 24:

The annual report which the Commission sends to the European Parliament and the Council
in accordance with Article 173 of the Treaty shall contain information on the implementation
of this Decision.

Sources of further information

• Annual Monitoring Reports published each year for the Framework Programme and each
Specific Programme, which provide concise, independent feedback on the progress and
quality of the measures taken to implement the programmes.

• Five-year Assessment Reports published every fourth year, both for the Framework
Programme and for each Specific Programme, which present an independent retrospective
evaluation of the relevance, efficiency, results and impact of the European Union RTD
programmes.

• The European Report on Science and Technology Indicators, which contains descriptions,
statistics and detailed analyses of European and national RTD activities in the world
context.

• Research and Development: Annual Statistics (Eurostat): an annual publication containing
comparable international statistics on R&D expenditure, R&D personnel and patents in the
Member States, broken down by regional level.

• R&D and Innovation Statistics for the Candidate Countries and the Russian Federation

(Eurostat).

• The Commission's annual budgetary documents, i.e. the preliminary draft budget, the

budget, the consolidated revenue and expenditure account and the balance sheet.

1

There are similar provisions for the Euratom Framework Programme (Euratom Treaty, Article 11;
Decision 94/268/Euratom, Article 4(1); Decision 94/761/Euratom, Article 10(1)).

4

• Studies and analyses published in connection with the Community RTD programmes and
cover.

RTD which

addressing

specific

issues

fields

they

the

of

to

Most of these documents can be obtained or ordered from the Commission's Internet sites:

The Commission's general EUROPA site: http://europa.eu.int

The CORDIS
http://www.cordis.lu

site

containing

information

on

the

Framework

Programme:

Commission Directorate-General XII's site: http://europa.eu.int/comm/dg12

The EUROSTAT site: http://europa.eu.int/en/comm/eurostat

The Joint Research Centre (JRC) site: http://www.jrc.org

Extensive information on EU policies can be found on these sites, and in particular, on the
CORDIS site which is devoted to the RTD Framework Programme and on DG XII's site, all
the reference documents, the texts of calls for proposals and a host of other information, in
line with the Commission's transparency and information policy.

5

1. SUMMARY

This annual report on the European Union’s RTD activities takes stock of a period in which
there were many new developments.

Following the European Parliament elections and the appointment of the new Commission,
there has been a substantial move towards giving European research policy a more political
and more ambitious profile, as endorsed by the Research Ministers.

On 18 January 2000 the Commission adopted the Communication Towards a European
Research Area which recognises that the EU is spending less on research than its main
competitors and that the gap is widening. The Commission therefore calls for the concerted
mobilisation of the relevant policies and instruments at all levels. It identifies priority targets
for creating a coherent research area in terms of human, material and financial resources that
is attractive at international level and takes social concerns into account. The Commission’s
ideas aroused considerable interest among all the parties concerned, and were supported by
the European Parliament and endorsed by the Lisbon European Council which gave them
operational status by setting out implementation details and a timetable.

Where Community research activities proper are concerned, the 5th Framework Programme
for RTD was launched. Researchers and research users helped to choose and revise the
priorities in the 21 expert advisory groups for the programmes and key actions. The first calls
for proposals were launched in March 1999 and over 16 000 proposals were received in the
course of the year. This massive number of proposals is encouraging, especially as it reflects
significant participation by the countries in the pre-accession phase which are now associated
with the Framework Programme. The key actions accounted for 85% of the resources for the
thematic programmes and made it possible to launch large-scale research partnerships (with
1.7 million) with major synergies ;between projects.
an average Community contribution of
The generic RTD activities and infrastructure support activities also generated large-scale
projects and support for researcher mobility was stepped up. In the framework of all these
activities special efforts were made both to encourage participation by women and comply
with fundamental ethical principles, and to reconcile the need for consistency and
administrative rigour with ease of access.

€

The impact of Community research is bound up with its transnational networks involving the
business world, academia and research centres, as well as the access to European research
offered to many SMEs (22% of all participations). This impact is reinforced by the fact that
the 5th Framework Programme (both indirect activities and the activities of the Joint Research
Centre) is directed towards major social and economic issues. Community research also plays
a positive role in the drive towards European cohesion. Last but not
it ensures
consistency between certain types of RTD conducted in Europe and, in this connection,
activities aimed at “combining” national and European policies could be stepped up.

least,

Major steps are due to be taken to bring about the European Research Area in practical terms.
The contribution of the Fifth Framework Programme to this undertaking is one of the aspects
of its mid-term review. Looking to the longer term, in the autumn the Commission will also
be adopting a strategic communication setting out its initial thinking on Community research
after 2002.

6

2. A FRESH BOOST FOR RESEARCH POLICIES IN EUROPE

1999 was a year of major changes for the European institutions. Following the
European Parliament elections and the appointment of the new Commission, radical
changes were set in motion, and European research policy was one of the areas
affected.

The new European Parliament confirmed its desire to monitor the implementation of
Community programmes, including the Framework Programme for Research and
Technological Development (RTD), and appointed rapporteurs for each budget
heading concerned. At
the European Parliament reorganised its
specialised committees. Research matters are now debated by the new Committee for
Industry, External Trade, Research and Energy, helping to situate European research
in the broader context of the policies which contribute towards competitiveness,
innovation and job creation in Europe. The Commision has been reporting regularly
to Parliament on execution of the 5th Framework Programme.

the same time,

The new Commission, on the initiative of Commissioner Busquin, has added a new
dimension to Community research and innovation policy: the EU's scientific and
technical resources must be harnessed in a more coherent fashion in order to sustain
lasting, job-creating growth capable of meeting the aspirations of society.

These questions were already beginning to be addressed in 1999. For example, the
research ministers debated the future of research with eminent scientists at the
invitation of the German presidency in the margins of the 20 May 1999 Research
Council. In the course of their discussions, the need to develop coordination and
synergies between research policies and organisations in Europe was the subject of
broad agreement. Following this debate, the Member States' representatives on
CREST2 examined "opportunities and challenges for future European research
they stressed the importance of coordinating research in
policy". In particular,
Europe and examined possible ways of improving coordination.

2

The Scientific and Technical Research Committee (which advises the Council and the Commission, is
made up of Member States' representatives, and is chaired by the Commission).

7

3. TOWARDS A EUROPEAN RESEARCH AREA

Upon taking office, the new Commission took the initiative of giving RTD a genuine
political dimension and setting the target of establishing a real European Research
Area. On 18 January 2000 it adopted a Communication Towards a European
Research Area, setting out the issues at stake and the possible ways of creating this
more integrated area, and launching a wide-ranging debate on the subject.3

3.1.

A challenge to be met

The Communication Towards a European Research Area finds that, while Europe
possesses remarkable scientific expertise, it spends less on science and technology
than its main partners and that the gap is widening alarmingly. The EU now devotes
only 1.9% of its GDP to research, as against 2.7% in the United States and 3.1% in
Japan. In terms of human resources, the difference is even more striking: researchers
account for 2.4‰ of the workforce in Europe, compared with 5.9‰ in the United
States and 6.3‰ in Japan. This gap is mainly attributable to private-sector research
funding. As a result, research and innovation are lagging behind in Europe, at a time
when they are becoming more crucial than ever before for competitiveness and
employment with the advent of a global "knowledge-based society".

Furthermore,
the research policies of the Community and Member States are
conducted in isolation without real coordination. This results in rigidity and
inefficiency in the allocation of resources at EU level, pushing Europe further
behind. In this context, the EU needs to promote an overall strategy for European
research. It can no longer afford to run the research Framework Programme in
splendid isolation.

The communication therefore calls for a concerted effort on the part of policymakers
and research players at all levels in Europe. Public and private-sector resources need
to be better mobilised for research. A common political push is also necessary in
order to ensure that research activities in Europe are truly coherent. To be sure, there
are various initiatives that successfully underpin research exchanges and partnerships
the main one being the RTD Framework
between the European countries,
Programme. But promoting trans-European research projects is not enough to get the
ball rolling. To meet this challenge, the communication launches a debate on a set of
courses and means of action at regional, national and European level.

3.2.

Courses and means of action

The communication identifies seven priority areas for concerted action. The
measures suggested are the responsibility of all the parties concerned: first and
foremost all the Member States and the public sector at all levels, but also the private
sector and the EU which has an important role to play in promoting, encouraging and
boosting national and local initiatives and taking action at European level only where
such action is justified.

3

European Commission, Towards a European Research Area, COM(2000) 6, 18 January 2000. Website:
europa.eu.int/comm/research/area.html

8

The European Research Area is thus based on the principles of subsidiarity and
European added value. The themes to be debated are as follows:

• Optimise the stock of material resources and facilities at European level. To
the communication suggests the mapping and
achieve this major objective,
networking of European centres of excellence, a European approach to research
facilities, the development of electronic networks and better use of their potential
for European researchers.

• Make more coherent use of public instruments and resources. To this end, the
communication advocates the opening-up and better coordination of national and
European research programmes,
relations between European
organisations for science and technology cooperation.

and closer

• Make private investment more dynamic. In this connection, the communication
proposes more concerted use of instruments for providing indirect support to
research, better intellectual property protection,
in particular by means of a
Community patent, and the exploration of new avenues for encouraging company
start-ups and risk capital investment.

• Establish a common scientific and technical reference system for policy
implementation. In this regard, the Commission takes the view that research
activities should take greater account of the needs of citizens and decision-makers,
and that research results should be validated by means of a reliable and recognised
system. The Commission considers that a common reference system should be
based in particular on its Joint Research Centre (JRC) and the national research
centres.

• Give rise to more abundant and more mobile human resources. First of all, there
is a need to increase researcher mobility in Europe, in particular from one country
to another and between the academic world and the business world. An important
step would be to encourage the introduction of a European dimension into
scientific careers. The communication also stresses the crucial role of the "Women
and science" action plan to ensure a bigger place and role for women in research.
Lastly, it recommends ambitious measures to give the young a taste for research
and scientific careers.

• Make the European landscape more dynamic, open and attractive to researchers
and investment. The communication identifies three broad lines of approach:
increasing the role of the regions in the European research effort, integrating the
scientific communities of Western and Eastern Europe, and making Europe
attractive to researchers from the rest of the world.

• Create an area of shared values. The communication divides this objective into
two parts: tackling science/society issues on a European scale, and developing a
common vision of ethical issues in science and technology.

3.3.

Debates and guidelines for action

The Communication Towards a European Research Area aroused considerable
interest among all the bodies and players concerned.

9

On 18 May 2000 the European Parliament adopted a resolution welcoming the
communication.4 It stressed the importance of research in terms of increasing
employment and prosperity. It called upon the European Commission and the
Member States to develop a coordinated research policy so as to create a European
area that will provide a stimulus for research and, first and foremost, for researchers.

On 24 May 2000 the Economic and Social Committee adopted a detailed opinion
which supports the process set in motion by the communication, in particular with a
view to developing the interactions between public-sector and private-sector research
and improving the position of science and the attractiveness of scientific careers in
society. In an opinion adopted on 12 April 2000 the Committee of the Regions also
expressed its support for the creation of a European Research Area, stressing the
important role of local and regional authorities with regard to scientific training and
support for research.

The Research Ministers discussed the approaches outlined in the communication at
an informal meeting on 6 March 2000 and then at a debate held the next day with
Nobel prize-winners and eminent
the European scientific
community.

representatives of

With the Special European Council held in Lisbon by the Portuguese Presidency on
23 and 24 March 2000, RTD policy was given greater recognition than ever before as
a major priority on the agenda of the Heads of State and Government. They placed
the creation of a European Research and Innovation Area at the heart of their strategy
designed to enable the EU to become "the most competitive and dynamic
knowledge-based economy in the world, capable of sustained economic growth
providing more and better jobs and greater social cohesion."5 The Heads of State and
Government approved the objectives set out in the communication and stated that
"research activities at national and Union level must be better integrated and
coordinated." In particular,
they called upon the Council and the Commission,
together with the Member States where appropriate, to take the necessary steps in the
following areas:

–

–

–

–

–

Networking national and joint research programmes on a voluntary basis;

Improving the environment for private research investment, R&D partnerships
and high technology start-ups;

Developing an open method of coordination for benchmarking national R&D
policies;

Creating a very high-speed trans-European telecommunications network for
research;

Creating a European area in which there is free mobility for researchers and
which is attractive at international level;

4

5

European Parliament Resolution on the Communication from the Commission to the Council, the
European Parliament, the Economic and Social Committee and the Committee of the Regions "Towards
a European Research Area". European Parliament Website: http://www.europarl.eu.int/
Presidency Conclusions, Lisbon European Council, 23 and 24 March 2000. Council website:
http://ue.eu.int/

10

–

Introduction of a simple, effective and inexpensive Community patent.

On the basis of these guidelines issued by the European Council, together with the
the Commission has prepared more
implementation details and a timetable,
the results of the
operational plans.
wide-ranging debate sparked off by its communication in the EU's advisory bodies,
in the scientific community, and among all the parties concerned, in particular firms
and their representative organisations.

it also took into account

In so doing,

More broadly, the invitation issued by the Commission to take part in the debate
yielded numerous replies, whose constructive tone and quality made it possible to
flesh out the guidelines proposed. In less than five months over 400 contributions
have been received from all the EU countries (as well as from associated countries
and third countries) and all the types of organisations concerned: large firms and
SMEs, research centres, universities, and associations, etc. Substantial contributions
were received from 30 or so of the most eminent scientists in the EU, Nobel
prize-winners and Fields medallists, whom Commissioner Busquin asked for advice.
The Commission also received a number of individual reactions, in particular via the
forum on the Commission's website6 on which summaries of the contributions
received and the Commissioner’s replies were regularly published.

Also, deliberations were conducted in the context of the Futures project coordinated
by the Institute for Prospective Technological Studies of the Commission's Joint
Research Centre with the participation of 200 or so experts.7 These deliberations
confirmed the crucial
importance for the future of Europe of a high level of
integration in the field of research and knowledge.

A high-level group of scientists and industrialists met on 3 May 2000 and made
comments and proposals with a view to achieving the objectives set out in the
communication. The meeting was preceded by exchanges of views between a
number of interested personalities on the possible configuration of a future advisory
body for major European science and technology issues.

The first concrete steps have therefore been proposed in the light of these debates.
The Council of Ministers expressed its broad support for them in a resolution
adopted on 15 June. This resolution specifies the initiatives desired by the
Member States to implement the guidelines issued by the Lisbon European Council.
The foundations have therefore been laid for bringing about a European Research
Area through concerted initiatives by the EU and the Member States which are
starting to take shape (cf. 6.1).

6

7

europa.eu.int/comm/research
Futures project website: futures.jrc.es.

11

4. COMMUNITY RESEARCH IN 1999

4.1.

Launching of the 5th Framework Programme

Once the Framework Programme8 was adopted in December 1998 and the Specific
Programmes in January 1999, the Commission put the finishing touches to all the
arrangements needed to launch the first research activities as quickly as possible. The
priorities for 1999 were rapidly determined in consultation with the scientific
community, industry and research users, thanks to the support of the 21 expert
advisory groups for the programmes and key actions. Detailed work programmes and
information packs for proposers were adopted and published for each Specific
Programme, while common features such as the evaluation manual were also made
available for the Framework Programme as a whole. The Joint Research Centre also
very quickly adopted and implemented a work programme for the new priorities set
in the Framework Programme, focusing in the case of non-nuclear activities on three
strategic themes: "serving the citizen", "enhancing sustainability" and "underpinning
European competitiveness". In addition, an event to launch the programme was held
in Essen in February 1999 with over 5 000 participants.

Thanks to all these efforts, a first wave of calls for proposals was launched in March
1999 and the evaluation of the replies to these calls began in the summer with the
help of independent experts. Over 1 000 contracts were signed in 1999, less than
seven months after the close of the first calls for proposals. By the end of March
2000 over 3 500 contracts had already been signed under the 1999 budget. All in all,
over 16 000 proposals were
representing over 90 000
participations. This indicates the keen interest of the scientific community and
industry in taking part in the Framework Programme and in its new approach.

received in 1999,

4.2.

Key actions

the main innovations of

the 5th Framework Programme

One of
the
bringing-together of a large part of research activities in 23 multidisciplinary key
actions, which are intended to respond to the priority needs of citizens and society.
The principles governing these key actions are the gearing of research projects to
problem-solving and the focusing of activities, either through bigger individual
projects or by bringing projects together in formally ("clusters") or informally
coordinated packages.

is

The key actions represented 85% of the resources allocated via the thematic
programmes under the contracts signed.9 The financial scale of the contracts has
doubled compared with similar contracts under the 4th Framework Programme. Just
under 1 000 RTD projects were launched in the context of the key actions of the
various thematic programmes, with an average Community contribution of over
1.7

€

8

9

throughout

Unless otherwise stated,
this report "Framework Programme" or "RTD Framework
Programme" means the Framework Programme of the European Community (EC) for research,
technological development and demonstration activities plus the Framework Programme of the
European Atomic Energy Community (Euratom) for research and training activities.
The figures relating to contracts signed refer to all the contracts signed under the 1999 budget up to the
3 300
end of March 2000, namely 3 500 contracts receiving a total Community contribution of
million.

€

12

million. Few demonstration projects had been signed at the time of writing this
report; however, 41 combined (RTD and demonstration) projects had been launched,
€
with a Community contribution of over
3 million on average. These sums are all
the more significant given the fact that in all cases the Community contribution
represents at most 50% of the total project costs for RTD aspects and 35% for the
demonstration aspects. In addition, the consortia set up to carry out these RTD and
demonstration projects generate significant networking effects, bringing together as
they do on average over seven partners per project.

With regard to the grouping of projects, very few formal groupings ("clusters") were
set up either spontaneously or at the Commission's suggestion. Nevertheless, certain
areas did make significant use of this possibility, e.g. the key action "Control of
infectious diseases". Some key actions also group together projects in the context of
the thematic networks. In addition, the appropriateness of the projects funded in
relation to the objectives of the key actions generates significant de facto synergies in
terms of achieving these objectives. The work programmes for the individual
Specific Programmes were adapted for the year 2000 in the light of the projects
selected in 1999, so as to maximise complementary features and ensure consistency
with the objectives set.

4.3.

Generic RTD and support for research infrastructures

The generic RTD activities are an essential complement to the key actions in the case
of priority research activities more geared to the long term, the spin-offs from which
cover a broad range of areas of application. Over 200 research projects had been
launched in the context of these activities by the end of March 2000, with an average
1.5 million. The scale of the projects funded by
Community contribution of over
the EU has therefore increased a great deal for this type of activity too. The number
of partners is similar to that for the projects carried out in the context of the key
actions.

€

Research infrastructures can also be supported under the Framework Programme,
essentially to improve access to these infrastructures and encourage their European
networking. This support is therefore complementary to the national support for
research infrastructures, and its financial scale is limited by comparison but its added
value can be significant. A substantial proportion of the support for access to
research infrastructures is administered "horizontally" by the "Human Potential"
programme. Some 150 contracts had been signed in this area of activity by the end of
300 000
March 2000, the average amount being
per participating organisation.

800 000 per project and around

€

€

4.4.

Participation of Associated States and international cooperation

The forthcoming enlargement of the EU together with the globalisation of the
economy and knowledge are some of the factors which explain the growing
importance assigned to international RTD cooperation, which is implemented under
the 5th Framework Programme in two ways: on the one hand, via the "Confirming
the International Role of Community Research" Programme and, on the other,
through the participation of third countries in other Specific Programmes. Where a
this participation is facilitated by S&T
number of countries are concerned,
cooperation agreements (which reciprocally open up research programmes in those
countries so that European entities can participate in them); as well as through

13

Framework Programme association agreements which enable researchers from the
countries concerned in all the Specific Programmes to receive Community funding in
exchange for a flat-rate contribution to the Framework Programme budget. Generally
speaking, the activities undertaken are differentiated on the basis of the objectives
pursued according to groups of target countries.

Countries in the pre-accession phase

As of 1 October 1999, the ten Central and Eastern European countries in the pre-
accession phase and Cyprus became effectively associated with the Framework
Programme (since which time Malta has also asked to be associated). In anticipation,
these 11 associated countries enjoy regular political consultations with the
Commission and their organisations were able to take part in the calls for proposals
once the Framework Programme was launched. The results are encouraging, not only
in terms of the number of participants, but also when one considers the total volume
of activity in which they will be participating. By the end of March 2000 they
accounted for almost 400 participations, or 3.4% of
the total number of
participations. This is an encouraging proportion for the first year that these countries
are participating as countries associated with the Framework Programme, especially
as it gives the countries in question access to a volume of RTD much higher than this
proportion and to first-rate European research networks (7% of the bilateral
cooperation links created by European RTD projects include a partner from these
associated countries). Accompanying measures have been set up under
the
them in their efforts to
"International Role" programme in order to support
participate, and help to develop their "centres of excellence".

Other countries associated with the Framework Programme

from the

Norway, Iceland, Liechtenstein and Israel, which were earlier associated with the 4th
Framework Programme, are now associated with the 5th Framework Programme.
some
Right
330 participations in the projects under the Framework Programme. In addition, an
association agreement with Switzerland were signed on 23 June 1999 and is due to
enter into force in 2001.

accounted for

first year

countries

together

these

Non-candidate Central and Eastern European countries and the New Independent
States of the former Soviet Union

The S&T cooperation agreement with Russia has been initialled and submitted to the
Council and the European Parliament. However, for political reasons, the signing of
the agreement by the Council and the conclusion of the agreement after receiving the
opinion of the European Parliament have been suspended for the time being. Ukraine
has also asked to negotiate an S&T cooperation agreement, and a first exploratory
visit took place in December 1999. In addition, the International Association for the
Promotion of Cooperation with Scientists from the New Independent States of the
former Soviet Union (INTAS) is funded mainly by the Community under the
Framework Programme. In this context, 202 new projects were proposed in 1999,
covering a broad spectrum of areas and countries, in addition to the COPERNICUS
projects.

14

Mediterranean partner countries

in the Mediterranean area in the context of

The establishment of specific relations with this group of countries is an innovation
of the 5th Framework Programme. The essential objective is to contribute to
the
sustainable development
Euro-Mediterranean partnership and the ultimate establishment of a free trade area.
The approach pursued has been to focus on five strategic priorities for the region
which are not fully covered by the other thematic programmes or by the INCO-DC
Programme: socio-economic modernisation, sustainable management of regional
water resources, preservation and use of the cultural heritage, promotion of health,
and sustainable regional environment.

Developing countries

Efforts have continued to improve bilateral coordination between national initiatives
and with Community initiatives. Within the Commission, the RTD and development
services have embarked upon a joint analysis of themes and options for the use of
RTD for development. In addition, two major coordination initiatives have been
launched, one concerning tropical forests and another concerning perennial tropical
oleaginous seeds and fruit. Other initiatives are continuing on strategic themes for
developing countries, such as the development of a malaria vaccine and agriculture
for development. In the latter area, the Commission is also continuing to participate
in the Consultative Group on International Agricultural Research.

Emerging economies and industrialised countries other than Russia and Ukraine

The S&T cooperation agreement with the United States gave rise to the signature of
implementing arrangements in the fields of metrology and materials. Lastly, the S&T
cooperation agreement with China entered into force on 14 December 1999 and a
similar agreement was concluded with Argentina. In the context of relations between
major world regions, the Community made a significant contribution to the ASEM
(Asia-Europe Meeting) Ministerial Conference on Science and Technology held in
Peking on 14 and 15 October 1999 and launched the scientific and technological
follow-up to the Rio Summit of 19 June 1999.

Coordination

To strengthen coordination and synergy between the various forms of S&T
cooperation in Europe, the Commission continued to support the COST Programme
and run its scientific secretariat. Four new countries (Bulgaria, Cyprus, Latvia and
Lithuania) became member of COST which now includes 32 European countries.
EUREKA continued to play an important role, in particular as regards scientific
relations with the Central and Eastern European countries. Lithuania was accepted as
a member of EUREKA at the Istanbul Ministerial Conference under the Turkish
Presidency (1999), and then Latvia and Croatia became members along with Israel at
the Hanover Conference under the current German Presidency.

4.5.

European mobility of researchers

Direct support of researcher mobility was considerably stepped up in the context of
the 5th Framework Programme with the “Human Potential” Programme. A "host
fellowship" scheme has been set up whereby organisations selected by the

15

Community themselves choose the fellows that
they host. This new type of
fellowship is awarded in order to host fellows in industry (220 fellows selected in
1999), to host researchers in the Community’s less-favoured regions (over 130
fellows selected), and to host postgraduates at high-level training sites (over 200 sites
selected in 1999). All in all, over 3 000 fellows are in receipt of the Marie Curie
fellowships selected for funding in 1999. In addition, 167 research training networks
were selected in 1999, bringing together over 1 300 teams which will host nearly
4 000 young researchers.

4.6.

Women in Community research

On 17 February 1999 the Commission adopted a Communication “Women and
science: mobilising women to enrich European research.”10 In it the Commission
deplores the under representation of women in scientific research, which represents
an unacceptable loss for research in Europe, as well as unfair treatment. The
communication lays the foundations for an action plan with two objectives: to
stimulate debate and the exchange of experience between Member States and
promote research by, for and about women within the 5th Framework Programme.

On 20 May 1999 the Council approved a resolution in which it supported this
approach and called upon the Member States to participate actively in the dialogue
proposed by the Commission, and to promote women in research at national level.
The European Parliament also expressed its support in its resolution on women and
science which it adopted on 3 February 2000.

To promote mobilisation in the Member States and Associated States, in 1999 the
Commission convened the representatives of the networks of women scientists and
gave rise to the setting-up of a group of national officials on women and science. In
parallel, a group of 12 women scientists appointed by the Commission submitted a
report
in November 1999 taking stock of the situation of women in European
research and setting out recommendations. The participation of women in the 5th
Framework Programme will continue to be encouraged and stimulated at all levels,
and in particular in the evaluation panels (25% of the members of the panels for the
first series of evaluations were women). In addition, studies in the context of the
Specific Programmes were launched in mid-2000 and gender research is being funded
under the socio-economic key action.

4.7.

Ethical aspects of Community research

The European Parliament and Council decision adopting the 5th Framework
Programme specifies that all activities must be conducted in accordance with basic
ethical principles. The European Group on Ethics on Science and New Technologies
elucidated this statement of principle in its recommendation no. 10 “ethical aspects
of the 5th Framework Programme,” drawing conclusions about how the Commission
should exercise due vigilance in connection with the implementation of
the
programmes.

In particular,
the Council Decision adopting the “Quality of Life” Programme
specifies the ethical limits to research activities funded by the Community, excluding

10

COM(99) 76 final. This and other documents referred to in this section are available on the “Women
and Science” website: www.cordis.lu/improving/src/hp_women.htm

16

certain types of research; restricting the use of animals; including research for the
benefit of the most vulnerable, and research into bioethics; and harmonising the
approach for this programme with the provisions of international texts.

into concrete measures.
The Commission has translated these requirements
Researchers are requested to address the ethical aspects of their projects carefully
when they are submitted. In addition, the scientific evaluation of research projects
incorporates ethical considerations; and the projects in the field of life sciences
which raise particular ethical issues are the subject of a specific ethical review. This
is the case in particular with research involving clinical testing, experiments on
non-human primates and the use of human embryos. Each call for proposals in 1999
gave rise to an ethical review by a pluralist, multidisciplinary panel of several dozen
sensitive proposals, culminating in consensus-based positions with the proposers
concerned. Lastly, the contract negotiation process makes it possible to ensure that
all the authorisations required at national level have in fact been obtained by the
researchers in order to carry out their work.

Quite apart from these regulatory considerations,
to stress the
pedagogical role that the Commission can play and the stimulus that it can provide
through the Framework Programme to raise researchers’ awareness of the ethical
dimension of science.

is important

it

4.8.

Monitoring of Community research

In compliance with legislative requirements in the relevant programme decisions,
panels of independent experts conducted the 1999 annual monitoring of the
Framework Programme and its Specific Programmes. The Framework Programme
Monitoring Panel congratulated the Commission services on their management of the
transition from FP4 to the different programme structure, objectives and procedures
of FP5, in the context of time pressure and heavy workloads due to the late adoption
the FP decisions. The Panel also commended the introduction of many
of
developments and innovations, such as the transparent proposal evaluation system
now standardised across the Framework Programme.

the Panel considered that major challenges were already facing the
However,
Framework Programme. Its main concerns were related to further improvement of
programme management, human resources policy and research impact. The Panel
made a number of operational recommendations mostly linked to these topics. In
general terms, it recommended that:

– the administration of the "call for proposals to project contract" phase should be

improved;

– an effective human resources policy should be developed across the Framework

Programme;

– impact should be strengthened as well as its assessment mechanisms in FP5.

The Panel further considered that gender awareness should be strengthened, notably
through appropriate gender-based data collection and continued efforts to encourage
female evaluators to apply for inclusion in the proposal evaluators’ database. Finally,
the Panel stressed the importance of public awareness of S&T and recommended that

17

appropriate measures should be developed by each operational programme director
and integrated into an overall approach at the FP level.

The Commission has responded favourably to the Panel's recommendations and is
taking steps towards their implementation.

4.9.

Implementation of the Framework Programme

In managing the Framework Programmes, the approach of the Commission has
always been to apply a number of, by now well-known, fundamental principles:

– equality of access to the programmes for all potential participants and equal

treatment of proposals;

– selection of proposals on the basis of quality;

– transparency and objectivity of criteria and procedures;

– balance between quality and rapidity of procedures, whilst maintaining sound

stewardship of public money.

During the preparation for the launch of the 5th Framework Programme and in its
first year of operation, these principles have continued to be applied and, in addition,
a strong push has been made towards improving coherence across all Specific
Programmes. Other than changes to internal ways of working, the principal and most
visible results from this work include:

– a common manual of proposal evaluation procedures to be followed by all Specific

Programmes;

– a new set of model contracts for all the means of implementation used in the

Specific Programmes;

– an extension to all Specific Programmes and complete redesign of the European

research and innovation Website, CORDIS11;

– a set of guides for proposers;

– an open call for applications from potential expert evaluators of proposals and a

common evaluator database;

– a common facility for the receipt, encoding and evaluation of proposals, with

administrative support by an external service provider;

– a revised procedure following the evaluation of proposals, allowing contract

negotiations to begin sooner with partners in successful proposals.

In terms of managing the start of FP5, the most significant development was that the
late adoption of the Framework Programme and Specific Programmes decisions,
combined with the expectations of the RTD community and the necessity to commit
the 1999 budget of each programme, dictated a “big bang” launch with most of the

11

www.cordis.lu

18

first calls closing within a very short period between June and July 1999. This
situation provoked some operational problems and difficult working conditions for
the initial evaluation sessions during those two months. Despite these initial
problems, as already noted some 16 000 proposals were processed and 12 000
evaluated in 1999 all were given fair treatment and the Commission was able to
prepare contracts with successful proposers on time.

As anticipated, the change in procedures following the evaluation sessions led to
contract negotiations being opened with successful proposers some two months
faster on average than under
the 4th Framework Programme. Unfortunately,
however, it was not possible to inform unsuccessful proposers as rapidly as planned
in 1999. This latter point was among a number of management problems identified
by the Commission which led to the setting up at the beginning of 2000 of an inter-
service group on improving and simplifying the management of
the RTD
programmes, whose conclusions are now being implemented (cf. 6.2.).

5. IMPACT OF COMMUNITY RESEARCH

5.1.

Transnational cooperation links

Since its inception the Framework Programme has had a major networking effect in
Europe as a result of its principle of mainly funding multinational research consortia.
The bigger size of research projects under the 5th Framework Programme (7 partners
per project on average) accentuates this "virtual mobility" effect, which stimulates
and encourages the "real" mobility of researchers. The 1 500 RTD and demonstration
projects launched by March 2000 (under the 1999 budget) created over 36 000
cooperation links including over 30 000 transnational links.

5.2.

SME access to research

For the 5th Framework Programme the Commission adopted the harmonised
definition of small and medium-sized enterprises (SMEs) which now applies to all
EU activities. This definition limits the maximum number of employees to 249
compared with 499 for the 4th Framework Programme. In addition, SME access to
the Framework Programme has been facilitated by the establishment of a single entry
point for SMEs, backed up by a network of "national contact points" in the Member
States and Associated States. In addition, the specific measures for SMEs have been
extended to cover the entire (EC) Framework Programme. As before, exploratory
awards are granted to enable two SMEs to prepare the submission of a research
proposal, and cooperative research contracts ("CRAFT") are awarded to enable
several SMEs to have research carried out by third parties.

Thanks to these new arrangements, by the end of March 2000 (under the 1999
budget) SMEs accounted for 22% of participations in the thematic programmes (EC).
The corresponding financial contributions are well in excess of the 10% demanded
by the European Parliament, representing as they do 18.5% of total contributions.

In particular, applications for specific measures increased by 20% in 1999 compared
with the first year of the 4th Framework Programme: almost 850 applications for
exploratory awards and 150 cooperative research proposals were received in the first
year. Almost 40% of these projects were selected and will enable over 1 000 SMEs

19

to participate, often for the first time, in an international research project. In almost
80% of cases SMEs with fewer than 50 employees are concerned.

Growing use has been made of specific measures under the "Quality of Life"
programme, and this should ultimately considerably increase the rate of participation
of SMEs in this programme. SME participation in the Framework Programme will
also be stimulated by the launching of 20 or so economic and technological
intelligence activities which will help SMEs to identify economic and technological
and
aerospace
leather, biomass,
trends
nanotechnologies, and subsequently help them to prepare joint research projects.

e-commerce,

in sectors

such as

5.3.

Impact on competitiveness, employment and the quality of life

The impact of research on the economy and society has been the subject of numerous
studies both at Community level and more generally.12 One of the main conclusions
is that there is no doubt about this impact. RTD-driven innovation is the engine for
growth in many sectors of the economy, and an essential factor in social change;
however, it is extremely difficult to measure this impact precisely given the diffuse
nature of the effect of research.

Where European research per se is concerned, some aspects should be stressed which
give the Framework Programme special added value. First of all, companies account
for one-third of participations in the thematic programmes whether in terms of the
number of participations (32.5%) or in financial terms (34%): this high level of
involvement of economic operators clearly shows that Community research is
responsive to some of their needs. The other participants are mainly research centres
and higher education institutions, each of which categories represents some 30% of
In this way, Community research contributes considerably to
participations.
cooperation between several
spheres which do not always come together
spontaneously:
the business world, academic research and research centres.
Similarly, the Framework Programme provides a meeting place where public-sector
and private-sector research participates in equal proportions. In the case of the
thematic programmes the private sector's participation is higher, accounting for 53%
of total participations and 55% of the financial contributions received.

The new approach reflected in the 5th Framework Programme should further
increase the economic and social impact of EU-funded RTD. The targeting of the
key actions on major socio-economic issues is reflected in a "technological
implementation plan" for each RTD project, the introduction of socio-economic
relevance criteria in project evaluation, and the setting-up of "innovation teams" for
the thematic programmes. In addition,
the work programmes for the Specific
Programmes were drawn up in 1999 and revised for 2000 on the basis of the opinions
of the expert advisory groups for the key actions on which research users are well
represented. The Commission services responsible for the various EU policies
concerned by research also made their contribution to the revision of the work
programmes.

12

See the 1999 Annual Report (COM(99) 284 final/2) for a presentation of some of the studies carried out
at Community level in 1998/1999.

20

The "Innovation and SMEs" programme enhances the impact of Community
research. On the one hand, it is a vehicle for coordinating activities relating to SMEs
and innovation and a "service provider" for innovative firms, in particular SMEs
taking part in the Framework Programme. The services offered include a single entry
point for SMEs and intellectual property rights (IPR) and innovation financing
(LIFT) help desks. On the other, the programme runs pilot activities to promote
innovation and technology transfer, an example of which is the I-TEC "Innovation
and Technology Equity Capital") programme for young innovative firms in
cooperation with the European Investment Fund and the European Investment Bank.
Also, with its "innovation trend chart", the programme provides a reference tool for
European and national decision-makers to discuss, analyse and launch innovation
policy initiatives, for example, the Commission's Communication on "Innovation in
a Knowledge-Driven Economy"13.

Lastly, the RTD carried out by the Commission's Joint Research Centre (JRC) plays
an important role in the implementation of Community policies and more generally
as a source of S&T references for Europe as a whole. In 1999 the JRC initiated a
series of regroupings in order to optimise synergy between its activities on major
issues in terms of socio-economic impact: emissions and their impact on human
health and environment, global change, food, the farming environment and, in the
nuclear safety field, ageing reactors.

5.4.

Impact on European economic cohesion

From the point of view of cohesion, the Framework Programme complements the
structural policies where RTD is concerned. The regulations of the Structural Funds
for the period 2000-2006, which were approved in 1999, confirm their role in
encouraging innovation and the uptake of new technologies and enhancing RTD
capacities
research
contributing
infrastructures and human resources

development

supporting

regional

by

to

An analysis of the participation of the "cohesion" countries (Greece, Spain, Ireland
and Portugal) in the Framework Programme shows that they play a positive role with
respect to the less-favoured regions, accounting as they do for only 7.8% of R&D
personnel in the EU but 14.5% of EU participations in the Framework Programme
(contracts signed as of 31 March 2000). The role of the partners from these countries
is far from secondary, accounting as they do for 13% of the project coordinators. In
financial terms the figures are even more favourable as far as the cohesion countries
are concerned: with 10.7% of the financial contributions their share of the funding
granted under the Framework Programme is 2.5 times their share in total EU R&D
spending (4.2%). In addition, because of the nature of European RTD partnerships
the funding directly received by the participants only accounts for a fraction of the
volume of RTD to which they have access. Lastly, in terms of access to European
research networks, 25% of the cooperation links generated by the Framework
Programme in the first year include a participant from the cohesion countries.

The Framework Programme has thus contributed towards the definition of regional
strategies for innovation, technology transfer and the networking of the regions

13

COM (2000) 567, 20 Septembre 2000

21

concerned, with activities funded by the "Innovation and SMEs" programme in
cooperation with the Commission services responsible for regional policy.

5.5.

"Combination" of national and European policies

Community research partnerships have a significant effect on the de facto
consistency of certain areas of European research. It can be observed that many RTD
organisations in the Member States and associated countries are tending to structure
some of their research activities to make them consistent with the Framework
Programme; this helps to make them mutually compatible, facilitating cooperation
and synergies from EU-funded projects.

The Framework Programme also includes activities directly aimed at coordinating
research activities in the EU: the "thematic networks" and the "key actions." In the
case of the former 250 and in the case of the latter 30 or so actions were selected for
funding in 1999, which represents a significant achievement but which should
initiatives have been taken to promote
nevertheless be bettered. Additional
coordination within the Specific Programmes. For example, the "Quality of Life"
programme management committee has set up a working party to explore the
possibilities of coordination in certain areas of life sciences.

CREST, an advisory body consisting of Member States' representatives and chaired
by the Commission, observes and promotes these developments. In 1999 it set up
three working parties on "opportunities and challenges for the future of European
research policy," one of which is addressing the coordination of RTD policies.
Commission staff have provided factual support. This working party's report
analyses and clarifies the coordination concept, the parties involved, the framework
and the possible obstacles. It has been submitted to the Commission which will use it
as a basis for drawing conclusions on the implementation of the coordination aspects
of
the 5th Framework
Programme and its deliberations on Community research after 2002 (cf. section 6).

the European Research Area,

the implementation of

22

6. OUTLOOK

6.1.

6.1. Creation of a European Research Area

In accordance with the conclusions of the Lisbon European Council and the wishes
expressed by the Council of Ministers on 15 June 2000, the Commission and the
Member States have undertaken to take important measures rapidly in order to create
a European Research Area. The success of these measures depends on the active
involvement of the Member States and the Commission. They include the following:

• Developing an open method of coordination for benchmarking national R&D
indicators. These indicators and a
policies and activities using a set of
methodology will be established by the Commission in cooperation with the
Member States.

• Promoting the networking of national and joint research programmes on a
voluntary basis. Major objectives will be to improve mutual information and
gradually open up the national programmes. The EU will encourage these
developments and examine the advisability of incentive measures at EU level.

• Mapping S&T excellence in the Union. The Commission will set out objectives
this mapping exercise in close

and a methodology this year to carry out
cooperation with the Member States.

• Creating a very high-speed trans-European telecommunications network for
research linking the national research networks, with the help in particular of the
European Investment Bank.

• Analysing the obstacles to the mobility of researchers in Europe and initiating the
reforms needed to remove these obstacles. A working party of national experts
will be set up to examine the situation and propose the measures needed.

• Encouraging initiatives to promote innovation and technological "start-ups," in
particular with the help of the European Investment Bank. The exchange of
information on these issues will also be improved by introducing an "innovation
trend chart."

• Introducing a Community patent on the basis of the new Commission proposals.

• Monitoring the development of European RTD policies and progress towards a
European Research Area. This monitoring will take the form, for example, of
regular Commission reports on the state of research in Europe.

In addition, the Commission will shortly be presenting operational initiatives for
other aspects of the European Research Area, such as the establishment of a
scientific reference system in support of policy-making, the regional dimension of
research, the opening-up of the European Research Area to the rest of the world, the
relationship between science and technology and society, and the ethical aspects of
research. The objectives of the European Research Area will also be reflected in the
EU's future activities in support of research.

23

6.2.

Implementation of the 5th Framework Programme

Commission staff are analysing the conclusions that can be drawn about
the
implementation of the Framework Programme so far, the aim being to make it more
accessible and user-friendly for all research players and to ensure that it contributes
as effectively as possible to the creation of a European Research Area.

In this connection, the Commission's services are basing themselves on their own
work (including the participant satisfaction surveys), the 1999 monitoring panels'
reports, and the conclusions of the high-level experts given the task in the first half of
2000 of evaluating Community research over the last five years. Where the
management of the Framework Programme is concerned, the interservice working
in
group set up at the beginning of 2000 has proposed major simplifications,
particular concerning information for proposers, the contract preparation forms, and
the procedure and registration form for the evaluators database. The Council and
Parliament have been kept regularly informed of these developments.

The Commission has drawn conclusions from these exercises in its mid-term review
of the Framework Programme sets out
indications for the progress of the 5th
Framework Programme in 2001 and 2002.

6.3.

Preparation of future Community research activities

These exercises have also culminated in the first guidelines for research activities
after 2002 which have been presented in the Communication Making a Reality of the
European Research Area: Guidelines for EU Research Activities (2002-2006).14 The
objective is notably to configure the Framework Programme as a catalyst for helping
to make a reality of the European Research Area in synergy with other instruments.

The aim of the communication is to spark off detailed debates in the European
Parliament, the Council, in the EU's advisory bodies and among all interested parties.
On the basis of these debates, the Commission will prepare formal proposals for the
next Framework Programme which it will submit in the first quarter of 2001.

As a result, the Parliament/Council co-decision process will be able to start in time
for the new Framework Programme to be adopted well before the end of 2002, thus
ensuring the continuity and continuation of Community RTD activities.

14

COM(2000) 612, 4 October 2000.

24

ANNEX 1

ACTIVITIES OF THE SPECIFIC PROGRAMMES

CONTENTS

Quality of life and management of living resources.............................................................. 26

User-friendly information society......................................................................................... 37

Competitive and sustainable growth..................................................................................... 46

Energy, environment and sustainable development............................................................... 56

Confirming the international role of Community research .................................................... 67

Promotion of innovation and encouragement of SME participation ...................................... 72

Improving human research potential and the socio-economic knowledge base ..................... 77

Joint Research Centre........................................................................................................... 82

Nuclear energy..................................................................................................................... 85

25

Quality of life and management of living resources

Key indicators

Proposals received in 1999

Proposals selected for
funding in 1999

Shared cost actions
Grants
Support to networks
Concerted actions
Accompanying measures
TOTAL

Number

3 576
459
79
166
145
4 425

Contribution
Requested
€
(million
)
5781.60
45.90
75.56
129.23
15.08
6 047.37

Number

338
65
7
14
39
463

Contribution
proposed
€
)
(million
482.80
7.30
6.01
6.29
1.31
503.71

Contracts signed on the 1999
budget (until 31.03.2000)
Number

Contribution
granted
€
)
407.40
6.43

(million

277
64

341

413.83

The "Quality of Life" Programme was successfully launched in 1999, with a major call for
proposals published on 6 March 1999. The response rate and quality of proposals received has
been very satisfactory overall, with particularly a good mobilisation of the private sector. The
new "problem-solving" approach has led to interesting proposals and notably to some major
"clusters", associating several RTD proposals towards a common aim. The emphasis on the
socio-economic dimension has also been taken up in many proposals although further
progress is needed in some areas. The interservice group of directors has proved successful as
a means of orientating the programme activities towards policy needs. "Mini-teams" have
been set up to deliver operational advice for each key-action and memos have been made
available to proposers and evaluators explaining how RTD proposals could be made to
support EU policies.

Implementation of the recommendations of the 1998 monitoring panels

The 1998 programme monitoring recommendations for the FAIR, BIOTECH 2 and BIOMED 2
programmes focused mainly on strategic issues (relevance and relationship to policy of research,
dissemination and exploitation of results), specific actions (provision of QuickScan for patent novelty
search and Medline to proposal evaluators) and FP4 project monitoring. Despite the pressures in 1999 of
implementing the first phase of the Quality of Life programme, the programme management has
responded to the recommendations or is in the process of doing so. Further improvements in project
monitoring procedures are planned for 2000.

Main recommendations of the 1999 monitoring panel

The 2000 monitoring panel commended the quality of programme management and the successful
launch of the programme despite high time pressure and heavy workloads. It recommended notably to
make the information package for potential applicants clearer; to experiment with a revised evaluation
procedure where evaluators would receive anonymous parts of proposals in advance of evaluation
sessions; to involve more pro-actively the various stakeholders and experts in the socio-economic
aspects of research; and to improve feedback to proposers on the assessment of their projects. It also
suggested that all projects should be subjected to a formal mid-term review with external expertise.
These recommendations are being carefully considered and some are already being implemented.

The "Quality of Life" Programme Committee met eight times in 1999, efficiently following
and supporting the programme's activities (Member States delegations had met twice before
as an informal discussion group to help prepare the work programme). All associated
countries participate in the meetings as observers. In the autumn meetings, the update of the
work programme was discussed and eventually endorsed. In 2000, the Programme Committee
will continue to monitor the work programme update and give its opinion on the funding of
selected projects. It will also follow up the fine-tuning of the evaluation procedure. Lastly, it

26

has set up ad-hoc working groups to work on the impact assessment of FP4 and FP5 "Life
Sciences" Programmes and investigate possible synergies between EC and national activities.

The "Quality of Life" Programme has 5 Expert Advisory Groups (EAGs) to cover its six key
actions (KAs). In addition, two High-level Expert Groups (HLEGs) were established in 1999
to advise the Commission on strategic issues concerning the generic activities. The Expert
Advisory Groups have each met three times in 1999, and the HLEGS once. In addition to the
group meetings, it was decided in several cases that targeted workshops would help forge the
link between the research community and the stakeholders and focus advice on specific
issues. These workshops dealt with Ageing, Bioentrepeneurship, Antibiotic Resistance and
GMO Research in Perspective. In addition, joint meetings of the Expert Advisory Group
Chairs and Vice-Chairs were organised to discuss issues of common concern, ensure co-
ordination between the Expert Advisory Groups and HLEGs, maintain the cohesion and unity
of the programme and ensure a broad strategic vision.

The update of the work programme for 2000 has been heavily influenced by the advice of the
Expert Advisory Groups15. As was done in 1999, and prior to each new call for proposals, the
work programme will be updated with inputs from Commission services, the Expert Advisory
Groups and the Programme Committee, taking into account the latest scientific and societal
developments, as well as the response to the first calls of the programme.

KEY ACTION 1: FOOD, NUTRITION AND HEALTH

Activities in 1999

The first call for proposals for the key action was published on 6 March 1999 with the
deadlines of 1 June and 15 November. By the close of the first deadline, 190 proposals for
shared-cost actions were submitted, of which 180 were declared eligible and evaluated and 39
adopted, with a Community contribution of

65.7 million.

€

The proposals selected during this first call for proposals correspond well to the scientific
priorities. They are multidisciplinary and will help to achieve the principal objectives of the
key action, which aims to provide European consumers with healthy, safe and high-quality
products while increasing the competitiveness of European industry. This first call has led to a
satisfactory level of industrial penetration (the number of projects with at least one partner
from industry) of 67% out of the proposals selected.

In the field of nutrition, eight projects are aimed directly at improving understanding of the
mechanisms underlying the links between food components, dietary habits and optimum state
of health (antioxidants and colon cancer, calcium and osteoporosis, etc.). As regards food
safety, seven projects are aimed at
the development of methods for the detection of
undesirable substances (e.g. hormones and pathogens). Five projects especially address the
aspects of food safety and the traceability of genetically modified organisms (GMOs).

In addition, the key action adopted 34 proposals for exploratory awards and six cooperative
research projects in the framework of support for SMEs. Ten accompanying measures were
also selected, most of them concerned with the organisation of conferences on important
topics, such as the International Congress on Improved Traditional Foods for the Next
Century held in Valence on 28 and 29 October 1999. Lastly, to support the training and

15

Published on the Internet: http://europa.eu.int/comm/dg12/fp5/eag.html

27

mobility of researchers, 18 individual mobility grants were funded as well as five training
sites and three scholarships in business.

Examples of projects launched in 1999

A "cluster" bringing together 3 shared-cost research projects is concerned with coeliac disease and its
genetic components among the EU population. This concerns the problem of the most widespread food
intolerance among the EU population and will consequently have a major impact on public health. The
project will develop a simple diagnostic test to enable the extent of coeliac disease to be better evaluated
at EU level, to decipher its genetic components, and to study its pathogenesis on the basis of recent
discoveries in immunology.

A second cluster composed a posteriori is aimed at preventing and reducing the presence of mycotoxins
by application of the HACCP (hazard analysis and control of critical points) method. Mycotoxins may
be produced by mould in foods such as cereals and fruit and can be transferred by the food chain in milk.
They are carcinogenic, mutagenic and teratogenic even in minute concentrations and cause cancers and
liver and kidney diseases. The studies will concentrate on the processing of cereals before and after
harvesting (prevention and possibilities of decontamination by biological means). The results on
ochratoxin A and the Fusarium mould toxins will serve as a general model for natural toxins and for
undesirable substances.

Activities in 2000

In addition to continuing with the evaluation and selection of the proposals received in
response to the various calls for proposals, the key action will review the work programme
with an eye to 2001. For this purpose, two meetings are planned with the expert advisory
group, seminars will be organised on certain subjects and a Web page has been developed for
the members of the advisory group to facilitate detailed exchanges.

KEY ACTION 2: CONTROL OF INFECTIOUS DISEASES

Activities in 1999

The main objective of the key action is to develop new and improved vaccines, to identify
strategies for treatment and prevention and to develop the research base for public health
practices related to infectious diseases. Only the area 2.1. on the "development of vaccines"
was open for the June 1999 deadline with an indicative budget of
64 million. Generally, the
response to the call in terms of quality and relevance of the proposals was high, and the
problem-solving concept of the key action had been understood. The applications covered all
different areas of vaccine research, including human vaccines, transdisease vaccinology,
animal vaccines and aquaculture vaccines.

€

A total of 34 projects were selected for funding out of the 110 proposals received. Industrial
participation was encouraging and the industrial penetration (presence of at
least one
industrial participant
in a project) was close to 80% among the selected projects. The
expected impact of selected proposals is particularly high among the "Human Vaccines"
action line where four "cluster" projects will target the development of vaccines against
infectious diseases of major social and economic importance : AIDS, hepatitis C, tuberculosis
and malaria. In addition, one project on respiratory syncytical viruses (RSV) is building on
high innovative technology and other projects will cover the development of vaccines against
meningococcal, Shigella and Hantavirus infections. The action line on "Transdisease
Vaccinology" presents for example a cluster project on mucosal immunisation aiming at

28

improving the delivery of vaccine antigens through mucosal surfaces and one project aiming
at the optimisation of vaccines against three important early-life human diseases (pneumonia,
pertussis and RSV). For the "Animal Vaccines", for instance, two projects concern the post-
weaning multisystemic wasting syndrome, an emerging disease of pigs causing great
economic losses. In the action line of "Aquaculture Vaccines", the selected project aims to
replace currently used vaccine adjuvants with less harmful products with possible benefits for
the whole veterinary field.

Examples of projects launched in 1999

The main objective of the EuroVac "cluster" project is to create a European vaccine candidate against
the HIV virus. The sub-type B (mainly European) and the sub-type C (which is spreading most rapidly)
will be included. EuroVac has several closely linked components: coordination (decision-making),
production (testing of vaccine candidates) and development (clinical trials on human beings and

primates). The Commission has invested

8.8 million in this project out of a total cost of

17.8 million.

€

€

More than five million Europeans are infected by Hepatitis C. At the present time, the problem is more
serious than AIDS and the impact will be even more visible between 2010 and 2020. For the first time,
20 renowned laboratories, including two in industry, have come together at European level to combat
7.3 million, is
this infection and to develop a vaccine. This "cluster" project, with a total cost of
bringing together fields such as genetic engineering, immunology, vaccinology, molecular biology,
chemistry, structural biology and clinical experience to create a new scientific research structure.

€

Activities in 2000

The 330 proposals submitted for the 15 November 1999 deadline on the areas "Strategies for
treatment and prevention" and "Public Health aspects" are being evaluated and selected in
2000. Furthermore, several workshops on topics related to the work programme are planned
as well as the evaluation of new proposals for the October 2000 deadline.

KEY ACTION 3: THE CELL FACTORY

Activities in 1999

The first call for proposals for RTD actions in the "Cell Factory" was published on 6 March
1999 with 2 deadlines for RTD projects, thematic networks and concerted actions: 01/06/1999
and 15/11/1999. Other
fellowships, SME
exploratory awards and cooperative research, were open throughout 1999 with different cut-
off dates where proposals received until that date were evaluated.

types of actions: accompanying measures,

As many as 399 RTD proposals were received at the closing of the first deadline which
covered around 65% of the research action lines of the key action. At the end of the
evaluation process, 41 proposals were selected for funding, with an average EC contribution
by project close to
2 million. A direct input on industrial competitiveness is expected from
many of these proposals, where the industrial penetration (percentage of projects having at
least one industrial partner) is close to 100%. In many cases more than one industry is
involved in the consortium.

€

The projects to be supported address a vast variety of areas for which the "cell factory" is at
the core of the problem. Among the top proposals, some address health aspects derived from
cell factories such as novel concepts for treating degenerative, neurological or muscle
diseases, cancer or genetic disorders. Other projects address novel concepts for the production

29

of new antibiotics and innovative ideas for using plants, sponges and fungi as a cell factory
for producing molecules of high therapeutic value. There are also projects addressing
problems faced by the pharmaceutical industry and with high social and political relevance
such as rapid control techniques and methods aimed at reducing the number of animals used
for toxicology tests by using in vitro tests. Environmental aspects are equally addressed by
funded projects, notably:
treatment of new biocatalysts/enzymes, biodegradation of
herbicides, phytoremediation, heavy metals decontamination and bioavailability. Finally, the
proposals to be supported in the action line dealing with processes and products from cell
factories can significantly contribute to improving quality in food, agro-industry and fine
chemicals. There are also projects with a broad range of interest, like electric DNA chips for
the monitoring of expression systems, with broad applications in many industrial sectors.

The second deadline has elicited 117 proposals which were evaluated during December 1999
and January 2000.

Examples of projects launched in 1999

The transplantation of umbilical cord blood stem cells may constitute a very powerful therapy for the
treatment of a large number of potentially fatal diseases, including leukaemia. It seems to offer
interesting alternatives to the more conventional transplantations using bone marrow. A European
network will organise the transfer of expertise on the technologies concerned in the European clinical
centres in order to improve, evaluate, standardise and finally apply them. The project will permit a
pan-European evaluation of the impact of this type of transplantation of stem cells on the survival of
patients. The results will also lead to the creation of new protocols for gene and umbilical cord blood
stem cell therapy, which may be of major benefit in the long term.

The waste water resulting from the production of vaccines is highly polluted by organic substances
is
containing mercury which are used in the process as a disinfectant (thiomersal). One project
developing a new technology for the treatment of this type of effluent: it proposes a biotechnology for
the selected extraction of thiomersal from waste water using new types of non-porous membranes for
ion exchange. In a second stage, the thiomersal will be degraded to form metallic mercury by very
efficient micro-organisms, strains made by genetic modification under the project. A pilot installation
based on the concept of "biological containment" will be developed allowing continuous operation and
the recovery of the metallic mercury produced. This project therefore has three main aspects:
– the purification of highly toxic waters;
– the use of genetically modified organisms under strict safety rules;
– the application of the process under industrial conditions.

Activities in 2000

In addition to the evaluation and selection of proposals submitted, the emphasis is on the mid-
term review of the programme and the strategic analysis of the work programme, including its
revision for the year 2001. In this context, a series of interactions with the "Quality of Life"
Programme Committee and the External Advisory Group on Cell Factory are foreseen. As far
as implementation is concerned, particular efforts are made on promoting the exploitation of
results of the previous and current Framework Programmes projects related to the "cell
factory" in the industrial and public sectors.

KEY ACTION 4: ENVIRONMENT AND HEALTH

Activities in 1999

30

The key action aims at assessing health hazards and reducing the health effects (including
Its ultimate objective is to support health and
allergies) of environmental
environmental policy-making and facilitate information on health and environment to the
public.

factors.

The 1999 call received 162 proposals, demonstrating the high expectations of the scientific
community in this innovative area of research. After evaluation, 25 projects were selected for
funding in 1999 for a total EU contribution of
35.95 million. The projects selected offer a
good coverage of the work programme and promise to make concrete contributions to public
health and environmental policy. They will provide a direct input into risk analysis and
assessment, improvement of occupational health and safety and new preventive approaches.
New scientific knowledge to support regulatory initiatives will be generated. In many cases,
the industrial implications of the selected proposals are important with potentially significant
spin-offs.

€

Five proposals address the potential health impact of electromagnetic radiation. Several
projects are related to safety and toxicity due to chemical exposure (flame retardants, asbestos
substitutes, pesticides, dioxins and other endocrine disrupters). Four proposals tackle the
increasing public health problem of allergy. Three proposals deal with air pollution,
developing new quantitative and mechanistic data on the effects of air pollution and new bio-
markers. Other projects are related to UV exposure and to health effects related to noise
pollution.

Finally, this key action also funded 2 accompanying measures and 2 fellowships in 1999.

Examples of projects launched in 1999

The European prospective study on the environment, allergies and the lungs brings together 21 teams
from 13 different countries to collect detailed information from more than 10 000 young individuals.
The aim of the project is to determine and predict the incidence of allergies, allergic diseases and
lung-related problems, and to evaluate the risks of troubles of this kind attributable to the environment as
well as the effect of certain factors such as the taking of steroids. The results of the study should make it
possible to improve the prevention of these health problems and provide a better quality of life for the
patients concerned. They will also constitute a major contribution to the policy to combat air pollution.

In the context of increasing use of mobile telephones and fears about potential health effects related to
this use, a project aims to determine whether the use of mobile telephones increases the risk of cancer.
Multicentric studies will be carried out, focusing on the most common tumours such as tumours of the
brain, the salivary gland and the acoustic nerve. Medical data and detailed information about the use of
mobile telephones will be collected from people aged between 30 and 59 in 13 countries, including
seven Member States and two associated countries. To optimise the biostatistical quality and the
epidemiological value of the study, the teams in the 13 countries concerned will use the same research
protocol and the data analysis will be coordinated by the CIRC (International Centre for Cancer
Research - Lyon).

Activities in 2000

In 2000, proposals submitted by 15 March 2000 will be evaluated and their selection process
finalised. Furthermore several workshops and seminars on topics related to the work
programme (EMF, allergy, socio-economic aspects) are planned in 2000.

31

KEY ACTION 5: SUSTAINABLE MANAGEMENT OF AGRICULTURE, FISHERIES AND FORESTRY,
INCLUDING MOUNTAIN AREAS

AND DEVELOPMENT OF RURAL AREAS

Activities in 1999

The first call for proposals for key action 5 was published on 6 March 1999 with a first
deadline for submission of 8 June and a second of 15 November 1999. At the closing of the
first deadline, for which about 50% of the fields of research were open, 301 proposals had
been submitted. After evaluation, 71 proposals were adopted, four of them on a reserve list,
with a total Community contribution of
94.5 million. The principal objectives and priorities
are covered by the proposals selected, most of which are integrated and multidisciplinary.

€

This first call was marked by a substantial rate of participation from the private sector, not
only in the area of agro-industrial research (100% industrial penetration) but also in projects
concerning primary agricultural production where the participation of
industry has
substantially increased compared with the previous Community programmes. Similarly, the
key action particularly attracted the interest of SMEs, which account for 50% of the industrial
partners in the projects selected.

The proposals selected are particularly relevant for supporting the common agricultural
policy. With regard to fishery and aquacultural research,
the 14 projects selected will
contribute to different aspects of the common fisheries policy, in particular the management
of fishery resources. The rate of response in the field "Monitoring and control of the common
fisheries policy", which was new for this programme, was encouraging, even if only one
single proposal could finally be selected. Lastly, for the sector "Economic and social bases of
the common fisheries policy" the number and the quality of the proposals proved to be very
satisfactory with a success rate of 50%.

Examples of projects launched in 1999

The project entitled "Development of the system for the optical detection of field crop diseases to reduce
pesticides by targeted use" will help to make the environment healthier by reducing the doses of
pesticides used. It uses a real-time, remote detection system capable of detecting diseases in arable crops
at an early stage. They can therefore be treated as early as possible, while they are still only detectable in
the form of spots in the fields, using much smaller quantities of pesticides.

Another project deals with the use of growth-promoting antibiotics in animal feed, which has been
prohibited by the EU because of the risks to human health. At the moment, Community methods of
analysis are based on non-specific microbiological tests which are sensitive to interference from certain
food components and are therefore not very efficient. The aims of the project are two-fold:

– the development of immunoassay tests using innovative approaches which are more reliable, highly

specific and less sensitive to interference than existing tests;

– the development of confirmation techniques using mass spectrometry for the sure identification and

quantification of each antibiotic.

The participation of final users and political decision-makers, together with the performance of tests in
collaboration with reference laboratories, will make it possible to check the effectiveness of the methods
developed and their use.

Activities in 2000

32

In addition to the further evaluation and selection of proposals submitted, the emphasis is on
the review of the work programme for 2001. In this context, three seminars have been
arranged with the members of the EAG between February and April 2000 on the topics
"Development of sustainable, competitive agriculture in Europe", "Forestry research" and
"Rural development".

KEY ACTION 6: THE AGEING POPULATION AND DISABILITIES

Activities in 1999

€

The first call for proposals for the key action was the main activity for 1999. A total of 211
363 million. Following
eligible proposals were received requesting an EU contribution of
evaluation, 29 projects were selected for funding, with an estimated EU contribution of about
€
41 million. More particularly the distribution of these proposals was as follows: 16 on age-
related illnesses and health problems; 6 on the determinants of healthy ageing; 3 on the health
and social care services; 3 on demography and epidemiology; and one for coping with
functional limitations. Six projects target the aetiology of and novel forms of treatment for
Alzheimer’s disease and related dementias, others include projects on improved organisation
and care delivery, enhanced outdoor mobility, patient involvement instruments to improve
general practice care for older people, etc. The key action also financed 3 accompanying
measures and 18 fellowships.

Furthermore, major efforts have been undertaken to involve all the stakeholders in priority
setting and the implementation of the key action. In this context a workshop was organised in
December 1999 with European NGOs representatives, in order to exchange views and define
the ways of their active involvement in research activities.

Examples of projects launched in 1999

The GENTLE/S project will contribute to the development of a "robotised" means of physiotherapy for
elderly persons in convalescence following a heart attack. The 12 European organisations involved in
this project will study machine-assisted means of treatment not only from the scientific and technical
viewpoint, but also from the viewpoint of their acceptability to elderly patients and practitioners. The
potential long-term impact on the containment of health costs will also be evaluated. The treatment
envisaged will be available at the patient's home, with a link to the clinical centre to allow a large degree
of interaction. For example, the robot will be able to inform the centre about the patient's progress and
make adjustments in line with the progress made. The stakes are extremely high, given that 700 000
Europeans are struck by cardiovascular incidents each year, two-thirds of them people aged 65 or over,
and that recuperation for those who survive is long, arduous and often painful.

Alzheimer's disease, the main cause of dementia in the elderly, is increasing in terms of its medical,
social and economic costs to European society and to families and carers. With related dementias, it
affects 5% of people between 65 and 70, and 20% over 85, causing a progressive decline in cognitive
and intellectual functions. No effective treatment or possibility of preventing or delaying its appearance
exists at the moment. The seven partners from six European countries in the project selected will try to
define new therapeutic strategies for preventing or delaying the development of the disease. Recent data
seem to support the "inflammatory theory", according to which the neurolesions in Alzheimer's disease
are partly caused by a local inflammatory response. This consortium therefore proposes to evaluate this
hypothesis and to identify targets to enable the linkage between inflammation and neurodegeneration to
be halted. This identification should lead to the validation and then the testing of pharmacological
treatment strategies. The participation of a partner from the pharmaceutical industry confirms the
importance and potential of this project.

33

Activities in 2000

The main activity for the year 2000 is the second call for proposals of the key action (deadline
15 March 2000). The work programme has been focused more towards the care of older
people and the research necessary to underpin social and health policy in the face of the major
demographic changes expected. The work programme also emphasises the importance of
bringing together the research sector with the health and social care sectors and with
representatives of older people and their careers.

Furthermore, in cooperation with the members of the Experts Advisory Group (EAG), a
number of exploratory workshops are being organised on highly relevant issues of the ageing
population. These workshops are being held with a view to combine and integrate European
research efforts in the biological, biomedical, psychological, economic and social fields by
raising the issue of "ageing" as a priority subject
top quality cross-sectoral
multidisciplinary research.

for

RDT ACTIVITIES OF A GENERIC NATURE

Activities in 1999

A total of 387 proposals have been received by the deadline 1 June 1999 and 551 by the
deadline 15 November 1999. For the first deadline, after evaluation and negotiation 64
proposals have been selected, representing an overall selection rate of 17.3%. The average
funding per proposal was

1.66 million.

€

Area 7 Diseases: the selected projects show a good coverage of the different research topics
outlined within the work programme. They cover cancer research (9 proposals) cardiovascular
research (6 proposals), diabetes (2 proposals), inflammatory / immune disorders (4 proposals)
these projects are
and rare disorders such as myopathies (3 proposals). Some of
transdisciplinary, assessing fundamental mechanisms relevant
to several disorders. As a
whole, the proposals achieve a good integration of basic and clinical research in the various
areas addressed.

Area 8 Genomes: 18 proposals were selected associating a total of 155 partners: 3 proposals
in plant (Arabidopsis) functional genomics; 2 proposals in microbial (Listeria, Bacillus
subtilis) genomics; 13 proposals in human/medical genomics and genome methodology
development. Medical topics addressed include pancreas development and diabetes, autism,
reproductive development, cancer, immunity and hereditary deafness. All projects include
appropriate public dissemination of results. A medium-term result and application may be
expected for example, by a project on functional genomics for diagnosis and treatment of
microbial infections and mitochondrial myopathies.

Area 9 Neurosciences: 12 proposals were selected. In the area on cell communication,
proposals include the development, application and commercial exploitation plans of new
technologies which will bring novel and valuable tools to the neuroscience community. Two
projects address an important issue in neuroscience: the understanding of signalling for death
and survival in neurons. Other projects have been selected on neuroinformatics, and one
project addresses a database generator for neuroimaging which is regarded as innovative and
fully competitive with US funded neuroimage databases.

34

Area 10 Public health research - drug abuse: 3 proposals were selected, aiming at developing
therapies in (illicit) drug addiction (cocaine, heroine, opioids in general), one at the receptor
level and two in health economics and prevention.

Area 11 Disabilities: the sole proposal selected deals with the disability burden of mental
disorders in Europe. It will estimate the prevalence and risk factors of mental disorder, assess
their impact on disability and handicap, and evaluate the quality of mental health services in 4
European countries.

Area 12 Ethics: 5 proposals were selected reflecting a concern to develop methodologies in
bioethics (empirical methods in particular) and to address public policy issues rather than
specific technological developments. To this extent the funded projects will help to build the
base on which continued and future bioethical work should be conducted, but will also help to
integrate bioethics into the critical areas of science, medicine, research and public policy.

Area 13 Socio-economics: the sole proposal selected builds on the Eurobarometer public
opinion fieldwork and provides interesting comparative social scientific research, critical
examination of issues in the life sciences, their applications in medicine and food, and how
these relate to media coverage and regulatory activities.

Examples of projects launched in 1999

"European cluster on the genetic resolution of myopathies": congenital muscular dystrophies are rare
genetic diseases affecting the skeletal muscle, in particular in children, and are accompanied by motor
disabilities and cardiac and respiratory complications. These rare or low-incidence diseases are a
non-negligible cause of morbidity, mortality and early disability. From an economic viewpoint, they
cannot be neglected since the medical counselling, diagnosis and intervention needed cost much more
than is invested in more common diseases. The aetiology of a large number of these diseases is
unknown, while prevention depends on basic knowledge being available. The fact
there are
thousands of rare diseases with a low incidence and that limited budgets are devoted to scientific
research means that cooperation between Member States and work at Community level in this field are
essential. In this context, the aim of the project is to evaluate the clinical, biochemical and genetic
characteristics within a population of patients affected by two forms of muscular dystrophy. A detailed
knowledge of how these diseases develop and their genetic bases will make it possible to improve
diagnosis and the assistance given to patients and will facilitate the work of families and groups assisting
them.

that

"Ethical questions in clinical tests carried out in collaboration with the developing countries": the ethical
questions raised by research carried out in developing countries are very important and very difficult to
resolve, as shown by the difficulties with clinical tests for Aids in Africa and Thailand. Firstly, this
research involves individuals who are vulnerable because of the economic and social context. Secondly,
researchers are faced with the problem of the differences between attitudes in their country of origin and
those in the developing countries. Because of their European and often international nature, EU research
programmes have to respond to ethical questions. The aim of this bioethics research programme is to
draft an ethics manual which can be used by the funding agencies, the members of ethics committees
and researchers involved in research projects in collaboration with developing countries where these
research projects are likely to raise ethical questions.

Activities in 2000

In addition to the further evaluation and selection of proposals, the emphasis is on the review
of the work programme for 2001. In this context, four workshops with the members of two
high-level expert groups have been organised on the topics: chronic and degenerative

35

diseases, genomes, neurosciences, public health, disabilities, bioethics, and socio-economic
aspects.

SUPPORT FOR RESEARCH INFRASTRUCTURES

Activities in 1999

An open Call for Proposals was published on 6 March 1999 with two initial cut-off dates in
1999. The indicative budget available for both cut-off dates was
20 million. Because this
type of "research infrastructures" action is new to most of the life sciences, it was expected
that only a limited number of proposals would be received on the first deadline, and that
therefore less than half of the budget available for this deadline would be committed. As a
result of the 1999 evaluation procedure, a total of 5 proposals have been selected out of 15
evaluated, with an average funding per proposal of

0.915 million.

€

€

The selected proposals provide important resources to the bioscience research community at
large. They focus on "steroids in health and disease", "development of a network of cancer
family syndrome registries in Eastern Europe", "comprehensive yeast genome database", "a
European transgenic and experimental pathology database and teaching facility", and
"European comparative genetic resource".

Considering that this is the response to the first cut-off date of the first call for proposals in
the new programme, the priority list reflects the involvement of European infrastructures
operators and users who are supporting the research priorities of the "Quality of Life" work
programme.

*

*

*

Examples of results of the 4th Framework Programme

The project “Functional food science in Europe" has made it possible to establish a European
multidisciplinary network, the result of which has been the strict evaluation of the scientific basis
required to show that specific foods and food components may have beneficial effects on health. These
results have played a major part in highlighting this field of growing interest in Europe.

The Biotech demonstration project on high cell density bioreactor aims at producing therapeutic proteins
in large amounts, fast and at competitive prices. Mammalian cells used for the production of therapeutic
proteins are cultivated by tremendously expensive industrial bioprocesses which have a strong impact on
the costs and the quality of the biologicals during the downstream processing. This project aims at
demonstrating on a pilot scale the technical feasibility and economic advantages of a mammalian cell-
dependent bioprocess interlinking high cell density and ultra-fast on-line downstream processing.
Preliminary results with this new bioprocess show that it is possible to obtain gram quantities of a
particular protein with a very high degree of purity in only hours.

36

A user-friendly Information Society (IST Programme)

Key indicators

Proposals received in 1999

Proposals selected for
funding in 1999

Contracts signed on the 1999
budget

Shared cost actions
Grants
Support to networks
Concerted actions
Accompanying measures
TOTAL

Number

2 391
39
29
23
202
2 684

Contribution
Requested
€
(million
)
5 055.18
7.48
35.83
723.12
310.91
5 432.52

Number

460
10
5
8
67
550

Contribution
proposed
€
)
(million
863.82
2.89
4.64
4.77
58.79
934.91

Number

416
10
6

42
474

(million

Contribution
granted
€
)
738.91
2.89
5.12

47.74
794.66

The strategic objective of the Information Society Technologies (IST) Programme is to reap
the benefits of the Information Society in Europe, both by speeding up its arrival and by
making sure that
the requirements of private individuals and businesses are met. The
programme consists of four key actions focused on specific objectives, added to which are an
activity concerning research on future and emerging technologies and an activity on the
interconnection of research networks. These activities are complementary and are a cluster of
several technologies, systems, applications and service.

The four key actions concern systems and services for the citizen, the new working methods
and electronic commerce, multimedia contents and tools, and essential technologies and
infrastructures. “Transverse” actions are also included in the programme structure to boost the
integration of the activity; they are concentrated on a limited number of topics which concern
all of the IST Programme. “Clusters” are used to focus, coordinate and integrate the
performance and results of the projects.

The programme as a whole places emphasis on the key factors for the Information Society,
which are: ease of use, interoperability, reliability and an affordable price.

Implementation of the 1998 recommendations of the external monitoring panels

The IST Programme has attached importance to the best possible implementation of the 36 or so
recommendations made by the panels monitoring the ESPRIT, ACTS and Telematic Applications
programmes for the 1998 year. A detailed report, the main points of which are summarised below, has
been sent to the monitoring panel for the IST Programme for 1999.
All RTD subjects recommended by the ACTS panel have been taken into account and the work
programme has been prepared on the basis of the twofold approach suggested: a top-down approach via
the contribution of
the independent advisory group (ISTAG) and a bottom-up approach with
consultation of the groups concerned to assess how the subjects adopted meet market and societal needs.
In accordance with the recommendations made for ESPRIT,
the selection criteria are applied
consistently to all the IST Programme and take account of the level of risk attached to each project; the
proposals and contracts have objectives which are set so as to allow their attainment to be monitored; the
technological implementation plan (TIP) makes it possible to monitor the exploitation of the results
obtained during and beyond the performance of the project.
Lastly, in accordance with the recommendation of the Telematics Applications panel, the actions for the
dissemination of the results, project concertation, the participation of industry in the projects and the
consideration of innovation have been stepped up.
All the recommendations regarding programme management have been taken into account in the light of
the difficulties encountered during 1999 and the improvements planned for the year 2000.

37

Principal recommendations of the 1999 external monitoring panel

The panel stressed the good performance of the IST Programme in 1999 in successfully launching the
first calls for proposals and carrying out the evaluation and selection of the proposals received, despite
the very short deadlines and a climate of profound change. However, it made the following main
recommendations:
– to specify the objective of “integration” by formulating clear, measurable implementation criteria;
– to improve the management structures of the programme and to put in place,

in particular, a

communication action plan;

– to indicate to consortia clearly and in detail why their proposals have not been selected
– at the Framework Programme level,

to make the procedures more flexible and user-friendly,

particularly for SMEs whose participation should be more systematically encouraged;

– to clarify the various evaluation criteria and adapt them better to each key action.

The main aims of the 1999 work programme of the IST Programme were to improve the
user-friendliness of the Information Society and to achieve integration and convergence
between the fields of information processing, telecommunications and content. The revised
work programme for 2000 is based on the experience of the first call for proposals and takes
account of the projects adopted which are currently being implemented. Like its predecessor,
it has been prepared in close collaboration with the scientific groups, firms and users
concerned, with the assistance of the IST Programme Advisory Group and the Management
Committee, and taking account of EU policy objectives. The programme has therefore
identified a set of focal directions for the work in 2000 and beyond which place the needs of
the user, i.e. the citizen, at home, at work, in leisure or commuting, at the centre of future
developments.

The vision on which the programme directions are based is very simple: “our environment is
the interface”, i.e. a universe of integrated services by means of which citizens will be able to
access Information Society technology services wherever they are, whenever they want, and
in the form that is most “natural” for them. While directly targeting the improvement of
quality of life and work, the vision is expected to catalyse a vast array of commercial and
industrial opportunities which will strengthen the position of Europe in key areas.

Three calls for proposals are planned in 2000. Key actions 1, 2 and 3 will be chiefly covered
in the first two calls, while key action 4 will be chiefly covered in the last two calls. The other
activities will be spread over the three calls.

KEY ACTION 1: SYSTEMS AND SERVICES FOR THE CITIZEN

Activities in 1999

Key action 1 is directed towards the new services for citizens allowed by the advances in the
Information Society technologies. To target the financial effort, five strategic fields are
tackled: health, people with special needs (in particular elderly and disabled people), the
authorities, the environment, transport and tourism. The emphasis is on the development of
innovative
and on the
user-friendliness and functionality of these systems to ensure their ease of use, interoperability
and “acceptance” by users.

systems which themselves provide

value-added services

The first call for proposals launched in March 1999 marked a certain continuity with respect
to the “Telematics Applications” Programme in the 4th Framework Programme. In most of

38

the fields covered, in particular health, the environment and transport, the projects adopted
contain a high degree of technological innovation and are accompanied by firm plans for their
exploitation. In addition, industrial participation has significantly increased, which should
ensure the promise of faster dissemination, exploitation and take-up of the results of the
research.

The work within key action 1 is being carried out in close cooperation with other relevant
activities and programmes: “Quality of Life and Management of Living Resources” for the
telematics applications for health or at the service of people with special needs; “Energy,
Environment and Sustainable Development” for the telematics applications at the service of
the environment: “Competitive and Sustainable Growth” for the telematics applications in the
field of transport.

Furthermore, key action 1 is intended to play a major role in the “e-Europe” initiative
launched in December 1999; Four of the ten priority fields of action are directly concerned
with RTD work carried out under this key action: “participation of the disabled”, “online
healthcare”, “intelligent transport” and “online government”.

Examples of projects launched in 1999

Transport: “Pre-crash application all around the vehicle" (CHAMELEON): every year, 1.2 million
accidents on European Union roads result in 1.6 million injuries and 42 000 deaths. Recent studies have
shown that a substantial number of lives could be saved each year and the number of people injured
reduced by 120 000 simply by fitting passive safety devices to vehicles to minimise the consequences of
impacts to passengers. This very positive potential could be enhanced even further by adding a system of
sensors capable of detecting when an impact
to occur. The principal objective of the
CHAMELEON project is to define, develop and validate a new generation of sensors of this type. Such
equipment could, for example, allow the tension on safety belts to be altered during an impact to make a
collision less violent, or vary the rate of inflation of the airbag. The results of this research could be on
the market in 2005.

is about

Health: “Minimal invasive interventional imaging" (MI3): with the knowledge acquired over the last
five years in the field of computer-assisted surgery under the Telematics Applications programme,
European teams are continuing to increase their share of the world market in this field and are
developing dedicated equipment, e.g. for orthopaedics or neurosurgery. The new MI3 programme
should meet the latent demand of more than 15 000 orthopaedists and more than 500 000 dentists for a
high-performance, computer-assisted microsurgery station. Given the achievements so far under the 4th
Framework Programme and the calibre of the partners involved in this new project, there is every reason
to believe that this work, which has a timetable of three years, will be successful.

Activities in 2000

The work programme for the year 2000 provides for clearer focussing of the lines of action
and places greater emphasis on innovative applications which will represent a significant
advance compared with the state of the art. The “ambient intelligence” paradigm, based in
particular on “ubiquitous” informatics and communication and on intelligent interfaces, is
fully integrated in the description of the new work lines.

KEY ACTION 2: NEW METHODS OF WORK AND ELECTRONIC COMMERCE

Activities in 1999

39

The activities under this key action are guided by the strategic vision of the IST programme: a
global economy functioning as a network in which consumers, workers and businesses will be
able, seamlessly and dynamically, to contact each other and interact through a ubiquitous
infrastructure in which they have confidence. Against this background, the key requirements
concern the research and development of architectures and solutions emphasising the
functions of use, interoperability, scalability, personalisation, multilingualism and operational
security, with the user at the heart of the concept.

In 1999, efforts were made to publicise the key action throughout Europe in order to ensure
the success of the first
two calls for proposals. These efforts have borne fruit since
470 proposals have been submitted following the first call, with a balanced representation
between Member States and a high level of participation of businesses, including SMEs. A
second call was published in October 1999.

Key action 2 also organised, in May 1999 a European day of awareness about teleworking
and contributed to a number of political initiatives such as the Community directive on
electronic signature and the thinking on authors’ rights. The key action is also associated with
the Commission’s work on topics such as electronic commerce, standardisation and respect of
privacy. Lastly, it is responsible, together with the “Competitive and Sustainable Growth”
Programme, for the management of the “Intelligent Manufacturing Systems” (IMS) initiative,
for which it provides the secretariat. This initiative led to a call for proposals in March 1999
followed by an evaluation in the summer.

Examples of projects launched in 1999

The aim of the CHAINFEED project is to develop the planning and cooperation tools needed to set
up supply and control networks for livestock feed. The intention is to optimise the composition and
distribution of feed for animal growth. The basic ingredients will be mixed according to the type of
animal, its age, its condition and the growth profile sought. The system is to incorporate the control
and transportation of ingredients, quality control, mixing according to various factors, the delivery
of the feed in good time and distribution to the animals as and when required.

The E-Tailor project is aimed at developing new infrastructures to revolutionise online wholesale
services in the ready-made clothing industry. The project will contribute to the European
harmonisation of size standards in the clothing industry and make it possible to produce and
distribute genuinely made-to-measure clothes at reasonable prices and as soon as possible. The
project will create an innovative virtual infrastructure in which clients will be able “virtually” to
try on the clothes offered by shops on the Internet. Clients will have electronic cards at their
disposal which will contain all the data needed for their future clothes purchases (morphological
data, etc.), while ensuring confidentiality.

Activities in 2000

In 2000, the key action will evaluate the proposals submitted in response to the second call for
proposals in 1999 and will also launch three calls based on its new work programme. This
forms a coherent set of activities covering RDT, the adoption of technologies, support
measures and socio-economic analysis. The RTD work is structured along four action lines:
“sustainable workplace design”, “intelligent organisations", “dynamic value creation
constellations”
“knowledge
management” and “mobility and ubiquity”. Key action 2 is also present in all the transverse
actions of the IST programme, in particular those on the “robustness of major systems” and

and “confidence-building”;

and two transverse

topics:

40

“chip cards”, which it manages. Finally, an annual conference to bring together all the
projects under the key action is planned for October 2000 in Madrid.

KEY ACTION 3: MULTIMEDIA CONTENT AND TOOLS

Activities in 1999

The strategic objective of key action 3 is to confirm Europe as a pioneer in this field by
encouraging the full achievement of Europe’s creative and cultural potential.

The set of actions adopted on the basis of the 1999 calls for proposals will make a major
contribution to both the research objectives and the policies concerned. It will in particular
encourage: the convergence of the methods of production and transmission of the new media
by cable and over the air; the competitiveness of information and communication businesses,
particularly in high-growth markets such as transactional communication systems, services
and equipment; harnessing the creation and innovation potential of SMEs in the Internet
sector, which account for more than 50% of participants in some action lines; the creation of
multimedia catalogues for both the general public and professionals; the joint development of
new educational contents and services in Europe and throughout the world.

The key action also attracted proposals from more than 30 non-member countries during the
first call, in particular the candidates countries, the USA and Israel. The key action has
created the basis for transatlantic cooperation in research on distance learning and access to
multilingual information, in particular thanks to the synchronisation of its calls for proposals
with those of the US National Science Foundation.

Following the recommendations of the 1998 external monitoring panel, the task force on
multimedia learning has prompted the creation of numerous new activities: a joint declaration
of intent on access to education and training in Europe has been signed by 450 bodies and
several
interest groups (www.prometeus.org); new mandates for the standardisation of
learning technologies have been given to CEN; and a joint action with the Directorate-General
for Education and Culture has been included in the “e-Europe” initiative to prepare youth for
the digital age.

Examples of projects launched in 1999

The CATCH-2004 project will develop a multilingual dialogue system with an innovative architecture
capable of adapting to all types of services and equipment (Internet, telephone, kiosk services, etc.). The
aim is to provide users with personalised, interactive information in the language of their choice. This
will also cover multimodal services, both written and oral, involving a word recognition module, among
other things. The system will be tested in particular at the Athens Olympic Games in 2004. Trilingual
services (English, German, Italian) will be developed for the financial services industry and for tourism.

The ECHO project (European Chronical on Line) includes among its partners some of the most
important documentary archives in Europe. The project aims to utilise their resources by creating a
library divided into numbered films accessible via the Internet. For this purpose, it will develop a
long-term, reusable software infrastructure to classify the digital video archives, to allow access via the
Internet as well as to increase the productivity and profitability of the production of digital video
archives.

Activities in 2000

41

The priorities for 2000 are drawn from the recommendations of the Expert Advisory Group
(ISTAG), which stresses the requirements of user-friendliness and multimodality of,
personalised access to and convergence between contents transmitted by Internet and over the
air. Actions for project alignment, concertation, and the promotion and dissemination of
research activities will also be undertaken.

KEY ACTION 4: ESSENTIAL TECHNOLOGIES AND INFRASTRUCTURES

Activities in 1999

Key action 4 is devoted to the development of the essential technologies which underpin the
fully converging industries and infrastructures for basic components, integrated systems and
infrastructures. The key action is also intended to speed up the exploitation of the
technologies and infrastructures and to extend their field of application.

The strategic objective is twofold: firstly, to encourage the widest possible access to the
interoperable, essential infrastructures and services which will support the next generations of
applications; secondly, to ensure continuity in convergence, interoperability and synergy at all
technological levels. In this way, the essential technologies and infrastructures act both as
promoters and initiators of applications creation.

The RTD results,
together with appropriate accompanying measures, will also provide
information about the consequences of the development of the new technologies and the
introduction of EU policies, e.g. on telecommunications regulation, frequency spectrum
management and standardisation.

The activities in the key action are being carried out in close cooperation with other activities
and programmes, in particular the “Competitive and Sustainable Growth” Programme (key
action “Innovative Products, Processes and Organisation” and the generic action on materials
in the fields of microsystems, screens and sensors).

Examples of projects launched in 1999

The aim of the CLARIFI project is to create technologies which will allow the brokerage of software
components. The underlying model is the development of software for component assemblies. A large
choice of components which can be assembled for the development of various applications should soon
be available on the market. Three types of players are taking part in this process: component suppliers,
integrators and the brokerage system. The latter assists the integrators in their task (i) of identifying the
components required for the construction of a given application, (ii) of assembling these components and
(iii) examining the relative value of various solutions. The development of the brokerage system requires
research and development on various aspects: component classification, certification, description of their
origin and past use, and evaluation of their quality and relevance for particular applications.

The down-loading of music in the form of MP3 files, a very popular activity among the new generation
of young internauts, is proof of the growing importance of the technologies for online access of
multimedia contents. However, the fact that such downloading takes place without any royalties being
paid justly concerns content creators and could slow down the deployment of new multimedia
transmission systems such as digital television. The OCCAMM project is looking for solutions along the
following lines: (1) the specification and development of tools and components which are compatible
with the open standards and will ensure secure access, the distribution, the “consumption” and the
management of multimedia information rights; (2) the establishment of a number of commercially
credible applications, such as the distribution of music online, using these tools and components;
(3) testing of these applications with final users.

42

The passive components are the main obstacle to increasing the level of integration and functionality of
radio frequency (RF) transceivers for radio communications. The research in the MELODICT project is
based on micro-electromechanical components (MEMS) which can replace the present passive
components in RF transceivers to attain a higher level of flexibility, programmability and integration.
The components to be developed are variable capacitors, mechanically configured miniaturised switches
and micro-mechanical filters for intermediary and radio frequencies (IF and RF). The aim is to take this
technology out of the laboratory and put it into broad industrial use. In this project, the following topics
will be developed: the cointegration of MEMS with integrated circuits having the same silicone
substrate, mass production compatible with assembly technology and an innovative RF transceiver
architecture using new components.

Activities in 2000

The aim of the 2000 work programme for key action 4 is to create an “ambient intelligence
environment” on the basis of the solid foundation created by the 1999 work programme. In
order to create the ubiquity of information and communications processing with integrated
and networked information systems (cable or otherwise), attention is focused on integrated,
adaptable, large-capacity networks and on high-consumption items and the equipment capable
of communicating between them. The activities concerning open technologies
for
personalised services - regardless of time, place or context - focus on the technologies and
infrastructures needed for supply of and access to end-to-end, value-added network services.

GENERIC RTD ACTIVITIES

Activities in 1999

generic RTD activities

The
“trans-programme” actions,
coordination with the horizontal activities of the Framework Programme.

the
including the “clusters”, and several support measures for

technologies”,

emerging

include

“future

and

The projects selected for the “future and emerging technologies” include research which has
long-term prospects or particularly high risks, offset by the promise of significant progress
and a major impact on industry and society. To this end, two types of activity have been
organised: firstly, an area permanently open to any proposal not covered by the other actions
in the programme; secondly, “pro-active actions in three emerging, promising areas for the
information”
information technologies: “communications and quantum processing of
“universal information ecosystems” and “nanotechnology information devices”. In all the
cases, the aims of interdisciplinarity and links between academia and industry have been
attained.

The “transverse topics” contribute to cross-fertilisation and the synergies between the subjects
in the IST Programme to make it a completely “integrated” thematic programme. In the
activities linked to the transverse topics, the subjects cutting across more than one key action
are treated coherently in as much as each key action concentrates on its own perspective and
will contribute to the overall progress from that specific perspective. The transverse topics are
dealt with by means of transverse actions and “clusters”. The transverse actions call for
proposals on specific lines of action covering more than one key action, while the clusters
support a posteriori the bringing together of the objectives and work of existing projects.

43

Examples of projects launched in 1999

Long-distance quantum phototonic communication (QUBITS project): progress in the miniaturisation of
electronic circuits will soon come up against
the physical and economic boundaries of present
technology At their boundaries, the laws of nature are no longer conventional but become quantum.
Some projects try to take advantage of the quantum behaviour of matter to further increase integration
density while increasing computing power in a spectacular manner and reducing the electrical
consumption of components. The architecture of such future circuits and systems will be radically
different from conventional architectures. Quantum systems will not operate in accordance with a
binary, deterministic logic, but on the basis of the superposition of all the possible quantum states. The
research focuses on the design and development of quantum gates, based, for example, on ions or atoms,
and on the fundamental physical properties of such circuits in order to manage their programming, their
control and the correct interpretation of the results.

The MOEBIUS project is concerned with the development of cordless Internet technologies as a way of
extending “intranet” networks (within an organisation) to “extranet” networks which are accessible from
outside by certain users. The aim is to develop platforms in the fields of health, the pharmaceutical
industry and electronic commerce which transparently and seamlessly provide interlinked service
packages to users on the move. The consortium is made up of university research centres, suppliers of
software and equipment as well as users, enabling demonstrations to be carried out with the final users
of the results.

Activities in 2000

In 2000, the open field of “Future and emerging technologies” will continue to receive all
particularly innovative proposals which are not directly covered by one of the key actions.
However, two new pro-active actions will be launched. The first, the “vanishing computer”
should encourage the design of new items which mutually interact and facilitate everyday life
with technology that is more transparent for the user that that of current computers. The
second, in “neuro-informatics”, is intended to bring together researchers in the fields of the
neurosciences and in the field of the information technologies in joint projects with a high
innovation potential. The 1999 work programme included four transverse action lines
covering important subject such as “platforms for the integration of services and applications”
and the reliability and safety of systems and infrastructures”. In the 2000 work programme
eight transverse actions are planned covering interlinked topics such as natural interactivity,
ambient intelligence and the home environment, mobile integrated services platforms and the
convergence of infrastructures.

SUPPORT FOR RESEARCH INFRASTRUCTURES

The support actions for research infrastructures in the IST Programme are broadly devoted to
the research networks. In 1999, the programme launched the first calls for proposals for
experimental platforms. Furthermore, most of the efforts have been devoted to preparing the
interconnection of the education and research networks to upgrade the infrastructures set up
during the fouth Framework Programme with the QUANTUM project. The capacities and
services renewal and upgrading will take place during the course of 2000 to provide European
researchers with a world class network and to guarantee the continuity of the service. In the
meantime, to cope with the sharply rising use of networks by all research sectors, the
technological and
TEN-155 capacities have been increased to 622 Mbit/s. To support
multimedia applications experimentation, net services have been operationally introduced
such as the supply of on-demand and multi-diffusion capacities.

44

A new action is aimed at developing professional expertise in the academic disciplines
concerning information and communications technologies. This action, “Improving human
capital in ICT research" attaches major importance to exchange and interaction between
research infrastructures and/or industries working in the field. This form of transfer of
scientific knowledge, with the training aspect which it includes, is essential for “passing on”
scientific messages and is an important factor in the effectiveness of the research
infrastructures in terms of the dissemination of results.

*

*

*

Examples of results of the 4th Framework Programme

ALBATROS has developed a new electronic labelling technology to meet the operational needs in
distribution applications. The system is based on radio frequency identification technologies and
incorporates technological developments in integrated circuits (ASICs). It covers labelling itself, the
read-write equipment and the information system.

EUROVET is a trans-European system which records and monitors the movements of livestock to
ensure their traceability. It also stores data on significant events in the animals’ lives and their veterinary
records.

FREE answers the question: How can collaborative work between commercial partners be improved?
On the basis of an organisational model, a virtual organisation is firstly analysed by static evaluation and
dynamic measurement of the operation. Analysis of the results produces data enabling a structured
improvement programme to be devised.

GLOBALMAN 21 shows how to transform global manufacturing practices with rigid structures into
global, dynamic distribution networks for agile enterprises.

MACRO has devised a methodology and prepared a set of software for the storage of electronic data
from multiple sites participating in medical experiments. The implementation of the project was based
on a group of users involved in the fight against cancer.

SPOEC is a commercially available standard system and personalised diode laser structure for optical
communication, optical interconnections and centres.

VANGUARD and RESOLV are systems which contribute to total
immersion in virtual reality
applications. On their basis, faster solutions using 3D cameras have been tested by the PANORAMA
and MIRAGE projects, e.g. a videoconferencing system during remote surgical operations.

QUANTUM is a project established jointly by ACTS, Esprit and Telematic Applications in
collaboration with the national research networks and launches a trans-European network, joining the
national research networks.

WAI (the “Web Accessibility Initiative”) has brought together industry, organisations for the disabled,
researchers involved in questions of accessibility and the authorities to analyse the needs regarding these
questions and to find solutions.

45

Competitive and sustainable growth

Key indicators

Proposals received in 1999

Proposals adopted for
funding in 1999

Shared cost actions
Grants
Support to networks
Concerted actions
Accompanying measures
TOTAL

Number

Contribution
requested

Number

1 438
44
56
4
104
1 646

2 407.17
10.03
86.60
4.39
125.27
2 633.45

464
12
19

24
519

Contribution
proposed
€
(million
)
702.03
2.74
21.61

52.68
779.06

Contracts signed on the 1999
budget (up to 31.03.2000)
Number

Contribution
granted
€
)
532.33

(million

296

8

11
315

11.07

41.07
584.58

After only one year of operation, the programme has to a large extent achieved the bulk of its
main strategic objectives. It has succeeded in stimulating a large number of projects which are
resolutely searching for answers to clearly identified socio-economic needs. In this sense the
concept of key actions has proved effective. Moreover many of these multisectoral projects
have succeeded in mobilising sufficient critical mass to complete research contributing to
both competitiveness and sustainability. The objective of grouping and integrating targeted
projects has therefore been achieved in part and even more progress should be made in the
future. This is particularly true in the transport sector, where the economic stakes are
considerable for Europe, whether in terms of means of transport or intermodality. The
increased cooperation between European enterprises is a very positive result of
the
programme since it concerns areas of technology where the search for European added value
the objective of all the projects is the growth and
is an absolute necessity. Naturally,
competitiveness of European industry. In addition, however, the creation of new jobs, the
environment, safety and working conditions figure among their other main objectives.

Implementation of the recommendations of the 1998 external monitoring panel

To improve the quality of decentralised information, a network of national contact points has been set
up. It has also been given Extranet access which allows the exchange of information on line with EC
departments.

Studies on the impact of RTD projects are continuing in order to evaluate and measure the effectiveness
of the programme. The nature of the information collected and the evaluation criteria have been
improved and expanded in number.

A period of four months elapsed between the closure of the first call for proposals under the programme
and the agreement of the programme committee on the first contracts, in October 1999. The procedures
established for the 5th Framework Programme should enable approved projects to start more quickly.

Along the lines of the expert advisory groups for the key actions, an expert advisory group has been set
up specifically for the measurement and testing activities under the programme. The aim is to enable
European professional and commercial interest groups to coordinate their attempts to identify the needs
of those industrial sectors which have little or no contact with standardisation bodies.

46

Main recommendations of the 1999 external monitoring panel

The monitoring panel considered that the transition from the 4th to the 5th Framework Programmes was
well managed and that the conclusions of the previous monitoring report had been followed up on the
whole. The recommendations of the 1999 panel covered the following in particular:

- a clear distinction between the objectives of SME participation on the one hand and strategic research
projects on the other;

- harmonisation of the management procedures and tools and dissemination of better practices, with a
view to a simplification and speeding up of procedures;

- improving the possibilities of terminating a project which is unsatisfactory;

- systematisation of project reports, even for those which have "failed";"

- promotion of longer term research or research involving more risks;

- need for a degree of continuity for the next Framework Programme.

In 1999, activities were largely focused on the operational implementation of the programme:
finalisation and review of the work programme, first calls (periodic, targeted and open) for
proposals, evaluation and selection of projects, preparation of contracts.

Through the recommendations and opinions of the four expert advisory groups,
those
involved in the activities of the programme have helped to finalise and then review the work
programme before its presentation to the Programme Committee. The latter met five times
and issued favourable opinions both on the initial and revised work programmes and on the
projects recommended for funding by the Commission.

The group of Directors responsible for the programme and for the policies concerned
(industry, transport, energy, environment, telematics) focused its activities on three main
objectives: coordination of actions in the field of transport in particular as regards energy and
environment aspects, effective coverage of socio-economic aspects in the work programme
and projects and improved integration of telematics activities.

In 2000, the programme activities will be geared to opening up exploratory debates and
analyses in line with the pointers given by the Commission communication on the European
Research Area.

KEY ACTION 1: INNOVATIVE PRODUCTS, PROCESSES AND ORGANISATION

Activities in 1999

The priority objective of this key action is to increase European competitiveness in the
context of sustainable growth. The first projects approved in 1999 focus on:

– high technology products geared to user needs;

– new and miniaturised products and processes;

– new systems, equipment and machines for manufacturing;

– environmentally friendly, “zero waste” industrial manufacturing and treatment processes.

47

These projects combine an innovative character with technical quality. Their industrial
innovation potential for products with a higher added value means that more skilled jobs will
be created. Finally, these products always take account of the need to ensure or increase safety
of workers.

The key action therefore helps to reinforce the technological bases of the industries of the
Member and associated States and to increase their international competitiveness. Moreover,
with the “Intelligent manufacturing systems” initiative, the growth and information society
programmes have been opened to participation by the developed countries in Asia, America
and Oceania.

Examples of projects launched in 1999

The "Intelligent Column Internals for Reactive Distillation" project involves fifteen enterprises,
universities and research centres in seven member or associated states, with the objective of more
economical use of resources and greater safety at chemical and pharmaceutical sites. The aim of this
project is to improve chemical and pharmaceutical processes through a combination of chemical
reactions and processes for the separation of the products resulting from those reactions. This involves
an “intensification” of industrial processes reducing the number of synthesis stages while increasing the
total yield of chemical reactions.

“Multiuse and multisectoral modernisation of manufacturing processes through parallel operating
mechanisms”: with this project, eleven partners from five Member States are aiming to develop an
innovative solution (industrial machines with parallel operating mechanisms) which would significantly
improve the capacity and ability of European firms to produce solutions adapted to the consumer. The
project will have a direct impact on the machine tool industry, but the results could easily be transferred
to other types of machine.

Activities in 2000

In 2000, two calls for proposals are planned. The first is targeted on:

– a new generation of industrial machines,

– the extended, knowledge-based enterprise,

– modern, flexible industry geared to consumers and “zero waste”;

– ever safer civil infrastructures, and industrial buildings and installations,

and the second will focus on new miniaturised products and systems with a higher added
value and lower consumption of resources.

In addition, the expert advisory group for the key action will undertake a wide ranging study
of the research, innovation and training actions needed for European industry to become more
competitive in the longer term. Specific workshops will be organised with the participation of
other experts.

KEY ACTION 2: SUSTAINABLE MOBILITY AND INTERMODALITY

Activities in 1999

The reasons for this key action are the ever increasing demand for transport and the problems
associated therewith (congestion, accidents, pollution), as well as EU challenges such as
completion of the single market, enlargement, trans-European transport networks, meeeting

48

the Kyoto commitments concerning emissions, etc. The key action seeks to provide the tools,
methods and systems capable of meeting these challenges and overcoming these problems,
particularly by improving the efficiency and safety of the European transport system while
reducing its negative environmental and social impact.

Three research areas have been identified: the development of socio-economic scenarios for
better comprehension of mobility, research into infrastructures and their interface with their
means of transport, and transport management systems.

The first call for proposals in 1999 focused on the following themes: the definition phase for
the Galileo Programme (second generation global satellite navigation system); a work
programme for the validation phase for a new air traffic management platform (ATM);
demonstration of urban transport tariff fixing; a group of projects on transport emissions;
quality of transport, particularly quality maritime transport. In addition, 18 thematic networks
will ensure coordination between existing and future projects in a number of key transport
fields.

The key action organised a major event in order to disseminate the results of the RTD
programme on transport under the previous Framework Programme: a conference on transport
research which was held in Lille in November 1999 with more than 700 participants.

Examples of projects launched in 1999

Fair and effective tariff fixing for the use of transport infrastructures is a fundamental aspect of the
development of a sustainable transport policy which takes account of all the costs and social benefits of
transport. To this end, the UNITE project (unification of accounts and marginal costs for transport
efficiency) has three main objectives: (1) to draw up pilot transport accounts for all means of transport
and all European countries, including those applying for accession; (2) provide a complete set of
marginal cost estimates for the various means and countries; and (3) provide a global framework for the
integration of these accounts and marginal costs. These objectives will be achieved by a European
research team comprising a significant number of world leaders in the development and application of
estimation techniques.

The general objective of the PROGRESS project is to demonstrate and evaluate the efficiency and
acceptance of integrated urban toll systems in achieving transport policy objectives and raising revenue.
This project therefore supports the common transport policy of the EU. It will focus in particular on an
assessment of the public and political acceptance of urban toll schemes in practice; and of the
effectiveness of such schemes in achieving social and transport objectives. Road pricing concepts and
technologies are being tested in seven cities: Bristol, Rome, Trondheim, Edinburgh, Copenhagen, Genoa
and Gothenburg, with Helsinki as an associated city. To support the principle of tariff fixing at marginal
cost, certain cities will also endeavour to ensure that road pricing structures and methods of payment are
in line with those for public transport and parking.

Activities in 2000

Two calls for proposals are planned in 2000. All the research areas will be covered with
particular emphasis on the following: validation of an operational platform for air traffic
management; improved safety in tunnels, development of an information system on European
transport policy (ETIS); demonstration of freight intermodality concepts. The key action will
also continue the dissemination of results emerging from the 4th Framework Programme.

49

KEY ACTION 3: LAND TRANSPORT AND MARINE TECHNOLOGIES

Activities in 1999

€

This key action of the Framework Programme has a budget of
320 million.. It is based on the
relationships between the development of the technological bases ("critical technologies") and
the integration and validation of the results ("technological platforms"). Its research areas are
determined above all by the socio-economic impact of R&D, in particular safety, pollutant
emissions, noise pollution and the competitiveness of the industrial fabric. The synergy
between the various means of transport covered by the key action brings significant added
value.

The results of the first call for proposals in 1999 showed that in terms of environmental
protection, there is no alternative to the further improvement of internal combustion engines.
On the question of maritime transport safety, the call also showed that approaches based on
formal analysis and probabilities are in the process of replacing the use of purely experimental
data. In the field of rail transport, the study on the interaction between road and rail is one of
the keys for noise reduction and optimum operational stability.

a

Examples of projects launched in 1999

The ART-DEXA "Advanced Regeneration Technologies for Diesel Exhaust Particulate Aftertreatment"
€
4 million and involves car manufacturers, equipment suppliers and research
project has a budget of
centres. The project is aimed at the elimination of carbon particles and heavy metals from exhaust gases.
This type of pollution is at the heart of the problems linked to the boom in diesel engines given the risk
that it represents in public health terms.

The main aim of the HARDER project is a systematic investigation of the current regulations (based on
a probabilistic approach to the stability of a damaged vessel) on the safety of existing vessels and on the
development of vessels of a new design for the transport of cargo and passengers. The results of this
to the
project could make a significant contribution to the formulation of a concrete proposal
International Maritime Organisation (IMO)
In prenormative and
for
prelegislative terms and as a support for the policy decision,
this RTD project is therefore very
important.

formal adoption by 2001.

Activities in 2000

100 million and cover all the "critical
The second call for proposals will have a budget of
technologies" of the key action as well as two "technological platforms". Strategic research
axes for this core are, for example, assistance for driving to improve safety, technological
integration and validation to reduce greenhouse emissions and also technologies for effective
freight handling in intermodal transport.

€

There will also be provision for aid for SMEs. A CRAFT stimulation action for maritime
transport is being prepared and will be launched in 2000.

Moreover, new thematic networks grouping RTD projects for the last call for proposals will
be set up. Particular mention should be made of the launch of a thematic network on the
optimisation of internal combustion engines for commercial vehicles and heavy goods
vehicles: this type of vehicle is responsible for at least 50% of the emissions from road traffic
in Europe.

50

KEY ACTION 4: NEW PERSPECTIVES FOR AERONAUTICS

Activities in 1999

The aeronautics key action has a budget which is up sharply (
700 million) from the previous
Framework Programme, and is resolutely targeted on the expectations of the European citizen.
Its priority aims are European competitiveness in terms of the production and operational
performance of aircraft, air safety and environmental protection.

€

The key action is based on complementarity between the research projects on the "critical
technologies" for
the development of the technological bases and the "technological
platforms" for the integration and validation of technologies which involve all the main
European players.

In the field of critical technologies, the projects selected in response to the first appeal cover
all the objectives of the key action in a balanced manner with the highest proportion on
improvements to aircraft performance, somewhat fewer on the environment and safety, and
fewer still on development costs and delivery times.

The four technological platform projects selected cover three of the four themes of the key
action: engines, structures and air traffic management.

The long-term fundamental research areas are also covered satisfactorily.

The number, quality and broad thematic cover of the projects attests to the merits of the
approach of the key action, particularly the technological platforms.

51

This is encouraging for the further implementation of the key action, in particular in the
context of greater international competition in the aeronautics sector.

Examples of projects launched in 1999

The European aeronautics industry is harnessing its strengths, resources and talents in the largest RTD
project ever funded by a Community programme in this area: the "Efficient and Environmentally
Friendly Aircraft Engine" project which has a budget of EUR 100 million and involves almost all
European engine makers and other interested parties. It covers the propulsion systems of aircraft and has
very ambitious targets to improve their efficiency but also environmental protection, with a reduction of
CO2 and NOx emissions which is in line with current policy guidelines. Projects of a comparable size
were also launched in the field of aviation safety and new design concepts for aircraft.

"Tango" is a technological platform which aims to improve pre-series production of the key primary
structures of an aircraft in order to introduce this technique on a commercial scale. The pre-series
production of primary structures will allow a significant reduction in development time. The first phase
of the project covers the definition of the structural performance, design and detailed evaluation of the
technologies concerned. In a second phase, the best specific technologies will be selected for use in the
construction of the primary structures. The results of these two phases of the project will be of benefit to
the members of Airbus as regards verification, assembly and the necessary tests on primary structures.

Activities in 2000

The activities in the year 2000 will be largely devoted to the management of the second call
for proposals. Although on the matter of critical technologies the research topics remain the
same, as regards technological platforms the priorities relate to a reduction in external aircraft
noise, a new configuration of convertible aircraft allowing horizontal and vertical flight, an
aircraft with optimised power distribution and integrated modular avionics.

Given the growing economic stakes in the sector, the scope and effectiveness of research
activities at European level must be stepped up. To this end, the expert advisory group on
aeronautics has initiated a strategic study of European research in this area. The objective is to
be able to respond effectively to the requirements of the sector during the next two decades.

RTD ACTIVITIES OF A GENERAL NATURE: MATERIALS AND STEEL

Activities in 1999

These RTD activities are aimed primarily at medium and long-term research which, for
"materials", is of a mainly multisectoral nature. However, short and medium-term projects
covering the objectives of the various key actions of the growth programme, are also funded.
As materials properties and their performance in operation are linked to processes, materials
research can be integrated with that on production and processing technologies.

52

Following the first call for proposals in 1999, the projects selected focus on: generic materials
technologies, advanced functional materials, sustainable chemistry, expansion of the limits
and duration of structural materials, production of cast
iron and steel, casting, rolling,
successive treatments and the use of steel.

Each project selected is highly innovative and has considerable scientific and technical merit,
as well as potential for long term industry application in relation to products with better
operational performance and less impact on the environment. These generic RTD activities
therefore help to reinforce the scientific and technological bases of the Member States and
associated states and could help them to become more competitive at international level.

Under the scientific and technological cooperation agreement with the United States, an
implementation plan was signed with the National Science Foundation concerning
cooperation on material sciences.

Examples of projects launched in 1999

The nanotechnologies will play a decisive role in the future with enormous impact on materials and
products in the next century. With the "Carben" project, six firms, universities and research centres in
two Member States and one associated country are seeking to develop a nano-structured material based
on carbon the potential applications of which are considerable: dielectrics in super-condensers (for trains
and future electric vehicles), systems for storing electrical energy and information displays which could,
for example, replace TV cathode tubes.

the reconstruction of connective tissues:

"New technologies for
tissue engineering based on
biocompatible polymers and adipose precursor cells": the shortcomings of the connective tissues pose
serious problems for plastic and reconstructive surgery and appropriate solutions have still to be found.
In the project, six partners from four Member States are seeking to combine new technologies and
polymer prostheses and recent techniques for tissue culture in order to develop an artificial adipose
tissue which is living and viable. This tissue could be transplanted to treat more effectively major
problems of the connective tissues.

Activities in 2000

A call for proposals is planned for 2000 with research priorities identical to those of the
previous one. Under the implementation plan with the National Science Foundation, the latter
could finance the participation of American bodies in the projects; the possibility of launching
a joint call for proposals with the NSF in 2001 will be examined and if necessary the
scientific and technical priorities will be determined jointly.

Moreover, the expert advisory group attached to this activity will undertake a wide-ranging
study of the research, innovation and training actions needed in the longer term in the field of
materials RTD. To this end, specialised workshops will be organised with the involvement of
experts.

GENERIC RTD ACTIVITIES: MEASUREMENTS AND TESTING

Activities in 1999

53

In the field of measurements and testing, the focusing of RTD activities on a limited number
of well-defined objectives has made it possible to attract and select projects clearly targeted
on finding solutions to particular problems. This makes it possible to estimate the contribution
this activity is likely to make to Community research objectives in terms of expected benefits:

– Benefits for European industry: new instruments for better monitoring of processes and of
product quality; reduction in the cost of tests; new, high-performance tools to combat
fraud.

– Benefits for trade: progress in the functioning of the single market and free global trade;

further support for the standardisation of test methods.

– Benefits for citizens: improvement in the monitoring of the safety and quality of products;

strengthening of methods and techniques to support the fight against fraud and crime.

– Benefits for public authorities: novel technical developments allowing more effective

checking of compliance with laws and regulations.

Examples of projects launched in 1999

The Community initiatives to combat fraud are being stepped up and strengthened. Sophisticated
technologies and advanced methodologies need to be developed to combat fraud in areas as diverse as
the unlawful sale of medicinal products and raw materials, fraud in high-tech products, jewellery,
antiques, etc. To this end, a project will be developing a method of production, by laser, of holograms
containing encoded information on various objects which will be directly recorded in a database. The
technique and instrumentation should permit immediate authentication of the object anywhere in the
world.

At the moment, the evaluation of processes and components used by foundries is based on the X-ray
method which is applied to thin layers. This current method is very slow and provides purely qualitative
information and the proper interpretation of the results depends to a very large extent on the experience
and judgment of the operator. The solution proposed by the RASQUAL project to improve the speed of
the non-destructive testing of components will be based on a digital radiography system capable of
automatically detecting defects. The application of the results will considerably improve quality control
in industrial production.

Activities in 2000

The implementation of these generic RTD activities will be continuing in 2000 with the
publication of a periodic call for proposals and two targeted calls, the regular evaluation of the
proposals and expressions of interest received, and the signature of contracts for the projects
selected. The scientific management activity will be fully devoted to launching the first RTD
projects under the 5th Framework Programme and analysing the results of a number of projects
under the 4th Framework Programme which are being concluded.

The high level experts group will consider the direction of the work programme and the
successive calls for proposals and, more especially, some of the key topics in the field, in
particular from a prospective viewpoint.

SUPPORT FOR RESEARCH INFRASTRUCTURES

This activity is one of the novel features of the Framework Programme. The first results are
encouraging. While the number of projects is still limited during this initial phase, the scope

54

of the topics tackled will make a substantial contribution to achieving the objectives of the
activity. These objectives include in particular:

– the optimum use of geographically dispersed RTD infrastructures;

– the rapid transfer and application of RTD results to businesses;

– the improvement of interoperability and cohesion between Member States.

It is interesting to note that seven of the projects adopted concern the creation of virtual
institutes.

*

*

*

Examples of the results of the 4th Framework Programme

The experts in large companies ("noses" or "tasters") who test products and raw materials often find it
difficult to describe their quality criteria to suppliers and customers. Having identified the need, a
business started up in France has sought technical solutions and opted for the development of electronic
system. An electronic "nose" has therefore been designed for each product and has increased the
guarantee of absolute quality in the food industry; It has paid off: the start-up employs 40 people and has
a turnover of

€
3 million, 90% in exports.

The ISOTOPE project has carried out a comprehensive analysis of the various regulatory frameworks
in Europe. The project has identified several appropriate contractual
for urban public transport
frameworks to obtain the best possible compromise between the objectives of productive efficiency and
of social and network integration. This work will contribute to the review of the regulatory framework
for public service obligations in the field of passenger transport (Regulation 1191/69).

Sixteen industrials, university and research partners have tackled the problem of reducing noise in
aircraft cabins. The mathematical models which they have developed allow total management of noise
reduction from the aircraft design stage, enabling a considerable improvement to be made to comfort in
the cabin. Furthermore, these models allow for substantial time savings in the development and the
production of new aircraft models.

Food products containing GMOs will soon be on the market. Community legislation requires that the
presence of GMOs be indicated on the labelling. This calls for effective methods of identification. A
Community project has recently developed six methods for the identification of GMOs in food which
have been put forward as European standards.

55

Energy, environment and sustainable development

Sub-programme: Environment and sustainable development

Key indicators

Proposals received in 1999

Proposals adopted for
funding in 1999

Number

883

23
23
22
951

Contribution
requested
€
(million
)
1 565.58

20.52
13.24
5.58
1 604.92

Number

154

4
4
3
165

Contribution
proposed
€
)
(million
201.03

5.40
1.65
0.15
208.23

Shared-cost actions
Grants
Support to networks
Concerted actions
Accompanying measures
TOTAL

Activities in 1999

Contracts signed on the 1999
budget (up to 31.03.2000)
Number

Contribution
granted
€
)
123.77

(million

103

103

123.77

1999 was marked by the effective launching under the 5th Framework Programme of the
sub-programme "Environment and sustainable development", with a first call for proposals on
the programme activities followed by the negotiation and drawing up of research contracts for
the projects selected. The scientific fields open in the call for proposals have in general been
well covered, even if some activities still have to be strengthened. The budget objectives have
also been 100% met.

The projects selected are already likely to provide specific factors which will help to make
progress on the various components of sustainable development, one of the driving forces
behind the sub-programme: these include, chiefly, the scientific component which is at the
heart of the key actions, but also the economic and social components, these two areas having
been well marked out both in the key actions and in the generic RTD activities.

Furthermore,
these projects are firmly in line with the approach taken under the 5th
Framework Programme, the aim of which is to help resolve major social problems. Most of
the projects cover several disciplines (scientific, socio-economic, etc.), fulfil the demands of
European Union policies, and bring together various types of economic and social
stakeholders concerned by the problems tackled.

In parallel with the selection and launching of contracts, the environment sub-programme has
pursued an intensive policy of communication with the bodies accompanying the programme,
maintaining close links with the programme committee during both the procedure for the
launching of the calls for proposals and during the selection of the proposals. In addition, the
results of the exploitation of the projects concluded under the 4th Framework Programme
have been systematically presented to the committee. The three advisory groups of experts
advising the Commission on the activities of the key actions have also been systematically
associated with defining the activities.

The setting-up of the "Director's Group", which for each programme brings together all of the
Commission departments concerned with the research topics involved, is a major innovation
in the 5th Framework Programme. The environment sub-programme has made use of it to
examine more closely with the Directorate-General for the Environment the scope for using
the research results to strengthen policies. Working links have now been established for this
purpose with the various sectors of activity of that Directorate-General.

56

Finally, 1999 will have been "the year" of evaluation and external monitoring: the five-year
evaluation and annual monitoring were carried out in parallel, involving a large number of
discussions and analyses of the work performed.

Implementation of the recommendations of the 1998 external monitoring panel

The recommendations of the 1998 monitoring panel placed the emphasis above all on the exploitation of
the results of the 4th Framework Programme and the development of indicators for that purpose. They
also recommended the development of a computerised management system. These recommendations
have all been implemented. A strategic information system has been developed for the exploitation of
the results of the 4th Framework Programme which brings together all of the projects and extracts the
results. These are presented at regular intervals to the Programme Committee following its very positive
response to the first experiments on the subject. In addition, a management system which makes it
possible to keep track more closely of the figures for and type of proposals and contracts as well as the
contracts' lifecycle has been developed and used.

Main recommendations of the 1999 external monitoring panel

The external monitoring panel on activity in 1999 expressed the view that the changeover from the 4th
to the 5th Framework Programme went well on the whole thanks to the high level of mobilisation on the
part of the Commission. Its recommendations mainly concern the precautions to be taken to make better
use of and safeguard the results of the projects under the 4th Framework Programme which are still in
progress, the procedures followed and the periods of time between evaluation and the negotiation of
contracts (though the panel recognised that major progress has been made in this respect), the type and
calibre of the communication with the Programme Committee and the advisory expert groups. Matters
relating to the management and dissemination system were also tackled. Furthermore, the panel notes
that the shortcomings in the monitoring of the contracts and the performance of certain administrative
tasks are due to staffing problems.

Activities in 2000

The review of the work programme with the external advisory groups, the Programme
Committee and the group of directors started at the beginning of 2000. It should be finished in
September 2000 and incorporated into the third call for proposals which is planned for
November 2000. Other activities planned in 2000 concern in particular the evaluation of
proposals submitted following the second call for proposals and the preparation of contracts.
In parallel with this activity,
the coordination of the contracts for 1999 will mobilise
substantial resources to ensure a good start to the research in the 5th Framework Programme.
The "SME" and "Marie Curie fellowship" activities, which are covered by calls for proposals
that are permanently open, will in principle give rise to three selections.

The programme activity will also cover the implementation of the communication on "a
European Research Area". A substantial contribution to the Commission communications on
sustainable development and climate change is also planned. Particular efforts will also be
paid to the question of coordination of research with the Member States and this will be the
subject of informal work and exchanges with the national agencies responsible. A few major
conferences are also planned, including the Conference on Marine Science in Hamburg and
the Conference on the Cultural Heritage in Strasbourg.

The activity in 1999 and 2000 on each of the four key actions, the generic RTD activities and
support for research infrastructures corresponds closely to the framework described for the
sub-programme as a while and is therefore not described in detail for individual projects.
These activities are also broadly integrated. For example, projects on the interaction between

57

land and the ocean covered by the two key actions "Water management" and "Martine
ecosystems" have been combined to create a major initiative bringing together research on
marine issues and research on aquifer basins. This initiative, under the name of "ELOISE", is
highly multidisciplinary and covers not only the physical, chemical and biological aspects of
these zones, but also the socio-economic aspects of coastal areas. It will also make it possible
to generate new tools for improved integrated management of coastal areas.

KEY ACTION 1: SUSTAINABLE MANAGEMENT AND WATER QUALITY

Examples of projects launched in 1999

There are currently no reference values for evaluating the natural basic quality of subsurface water. Such
reference values are however essential for defining pollution. European quality standards for drinking
water are sometimes exceeded by the "natural" quality of subsurface water due to geochemical
processes. Under the BASELINE project, the inorganic and organic geochemistry of reference aquifer
layers will be studied and the historical trends of these layers will be evaluated in terms of water quality.
Modern chemical, isotopic and radiometric tracing methods and geochemical modelling will be used to
define the changes over time in natural geochemical processes. The results will be used as a scientific
basis to support the Framework Directive on water and to issue recommendations for monitoring natural
aquifer layer systems. This objective will be attained by working closely together with an advisory
group drawn from the regulatory bodies taking part in the consortium.

The EU Framework Directive on water defines a framework for evaluating the ecological quality of
watercourses. However, the precise method for determining their ecological status still has to be defined.
For this, it is necessary to establish a general method of evaluation for streams and rivers and to define
general quality objectives for running waters throughout Europe. The evaluation system will have to
take account of various impact factors which will allow a holistic evaluation of streams. Under the
AQEM project, it is proposed to establish the scientific basis of such a method, to develop it and to start
transferring it to the applied management of water.

KEY ACTION 2: SUSTAINABLE MANAGEMENT OF MARINE ECOSYSTEMS

Examples of projects launched in 1999

The main objective of the COSTA project is to evaluate the stability of the underwater slopes along the
European continental shelf, taking account of natural processes and human activity. The understanding
of these phenomena can be increased by examining: (i) underwater sedimentary movements from
prehistoric times to now; (ii) sectors inclined to being unstable; (iii) potentially unstable areas in
deep-sea areas of exploration of interest to the oil industry. The frequency and scale of the movements
need to be quantified as they affect the ecosystems, off-shore structures, coastal areas and the continental
shelf and slope (e.g. tsunamis). The potential factors which trigger disastrous slides, such as gas
hydrates, the maps of particular slides and the sedimentary dynamics will be studied both on glacial
shelves (North Atlantic) and on shelves dominated by fluvial deposits (Western Mediterranean). This
project will make it possible to lay the foundations for a systematic improvement in our ability to predict
the risks inherent to the continental slopes.

The MATBIOPOL project
is a complete study of the interactions between, on the one hand,
geochemical and physical variables and, on the other, the microbial processes and biodiversity present in
the microbial systems which develop in layers on the surface of deposits in coastal areas. The project
sets out to study how such interactions can be used to combat the pollution of these deposits by
hydrocarbons. The information obtained will improve our knowledge about microbial ecosystems in

58

layers, help to predict how they will react to hydrocarbon pollution, and make it possible to evaluate the
potential of microbial layers in rehabilitating coastal areas polluted by oil.

KEY ACTION 3: GLOBAL CHANGE, CLIMATE AND BIODIVERSITY

Examples of projects launched in 1999

The CARBOEUROPE "cluster" should provide a better understanding and ability to predict and
quantify several scenarios as regards carbon emissions in Europe, at both local and macroscopic level.
This knowledge is crucial for the negotiations on the Kyoto Protocol on Climate Change. Another
Community project, the GECS model which describes the change in global emissions (as represented by
28 regions or countries) of greenhouse gases for a number of different socio-economic development
scenarios up to 2030, should also provide essential information.

There appears to be an increasing need to improve the forecasting of seasonal variations in climate. The
DEMETER project will develop and experiment with a new, advanced system for seasonal forecasting
of the climate over short periods (3 to 6 months). The project will be carried out with interaction with
three user sectors which could draw substantial benefits from seasonal forecasting: health, agriculture
and insurance. With the assistance of these users, the project will produce a quantitative evaluation of
the economic value of the forecasting system and its possible impacts on European Union policies. The
project is based on the PROVOST project under the 4th Framework Programme.

KEY ACTION 4: CITY OF TOMORROW AND CULTURAL HERITAGE

Examples of projects launched in 1999

The SUREURO project will provide building companies and local authorities with tools for better
design, development,
testing and use of modern techniques for converting existing dwellings at
competitive prices compared with other, more traditional methods. This combination of technical,
economic, environmental and even social aspects in a project which applies to the existing urban
housing market in cities is an example of the contribution made by the environment and sustainable
development subprogramme.

The aim of COALITION, the first concerted action in the field of the biodeterioration of the cultural
heritage,
is to develop molecular microbiology bases as an innovative conservation strategy.
Micro-organisms are responsible for the destruction (decomposition) of all kinds of cultural heritage
materials (stone, brick, glass, timber, etc.). The conventional method of analysing the deterioration of
samples has very limited application because of ethical considerations concerning the conservation of
the object. This limitation may be overcome by using microanlytical techniques from molecular biology,
which minimise the sampling and optimise the diagnostic studies on the microbial contamination. In
addition, this approach will permit the development of effective means of treatment to eliminate
biodeterioration and to carry out experiments on the effectiveness of the present biocide and cleaning
methods. Until now, RTD initiatives in this field have covered only part of the biodeterioration affecting
the cultural heritage. This concerted action, which is being carried out by the main institutes and
research programmes in the EU, includes 21 international and national research projects. It uses a
multidisciplinary approach to bring together all aspects concerning the conservation of the cultural
heritage. The new technique proposed should also make it possible to reduce the health risks to restorers

59

and improve the instruments and resources needed for restoration work.

GENERIC RTD ACTIVITIES

Examples of projects launched in 1999

The DEEP project is aimed at the development of effective product information systems to improve
users' behaviour with regard to sustainable development. The research will examine the information
systems for "ecological" products, which could become efficient
tools for promoting sustainable
consumption models. They should in particular stimulate the emergence of "green" markets, the design
and development of new "green" products and services, and increase consumers' awareness about the
environment.

The SEISLINES project will develop a methodology for evaluating the structural reliability of
underground water mains subjected to earthquakes. The proposed benefits are (1) a cost-benefit
evaluation of seismic performance and of renewing underground water mains; (2) interactive systems to
support decision-making to improve the most critical water mains so as to ensure continuity of service
following an earthquake.

SUPPORT FOR RESEARCH INFRASTRUCTURES

Example of project launched in 1999

The aim of the CORINTH project is to improve the seismic risk research infrastructure at
European level. The project is based on the development of an on-site laboratory. It will contain
equipment for deep drilling at the intersection of active faults and make it possible to obtain
data about the physical aspects of earthquakes and fault mechanisms and about the propagation
of seismic waves. New laboratory equipment will also be developed to study how faults repair
themselves and thus to increase our understanding of the "seismic cycle". .

*

*

*

Examples of results of the 4th Framework Programme

The AUTOFLUX project is developing and testing (in the laboratory and the field) an autonomous
atmospheric measuring system, "AutoFlux", to measure surface stress, sensible and latent heat flows and
also carbon dioxide flows. The system is primarily intended for automatic use on Voluntary Observation
Ships (VOS) and on unmanned buoys, but may be used at other measuring sites in the near surface
atmosphere. The system concept is that the fluxes are derived from the turbulence spectra using the
"inertial dissipation" method. This technique minimises the effects of flow distortion and platform
motion.

The objectives of the concerted action BEQUEST are to lay the foundations for a common European
understanding of sustainable urban development through a multi-disciplinary network of representatives
of all involved in the provision, use and maintenance of the built environment. An integrated approach
to built environment quality assessment will be developed which will help to reduce the environmental
uncertainty facing decision makers in the development and infrastructure industries.

60

Sub-programme: Energy

Key indicators

Proposals received in 1999

Proposals selected for
funding in 1999

Shared cost actions
Grants
Support to networks
Concerted actions
Accompanying measures
TOTAL

Number

814

14
5
227
1 060

Contribution
requested
€
(million
)
1 743.25

11.07
3.44
93.80
1 851.56

Number

221

6
2
79
308

Contribution
proposed
€
(million
)
284.17

3.63
0.73
12.20
300.73

Contracts signed on the 1999
budget (up to 31.03.2000)
Number

Contribution
granted
€
)
50.05

(million

51

51

50.05

A year after the introduction of the new Framework Programme, many of its initial objectives
have been or are about to be reached. Two calls for proposals have been launched according
to the published roadmaps for 1999 and 2000. Following the evaluation results of the second
call, a third call was prepared during 1999 to be launched in March 2000, to reach the
objectives on renewables and to conform to the declared political priorities and the budgetary
comments.

Activities in 1999

During 1999 the activities were mainly focused on: transition from FP4 to FP5, finalisation of
the calls for proposals and a limited revision of the work programme, issue of the first calls,
evaluation and selection of projects, preparation of new contracts, management of on-going
contracts, annual monitoring exercise and 5 years assessment, and last but not
least,
qualitative analysis of the selected proposals.

The first call for proposals was characterised by a relatively good coverage, although for a
number of thematic areas several aspects could be improved. Further, the call was over-
twice the available budget were
subscribed by a factor of 3.5 and projects for almost
considered as being "worth funding" thus leading to a large number of proposals not being
approved for funding. The 1999 budgetary comments of the European Parliament were well
fulfilled by the results of this call, since the budget allocated to renewables reached 70% in
the proposals selected for funding (after negotiation) and 71% for demonstration projects. The
SMEs 10% objective was also fulfilled reaching 15% of total Community funding.

The second call for proposals featured also a relatively good thematic coverage, although for a
number of thematic areas little interest was shown. The call was under-subscribed by a factor
of 2 resulting in about
100 million of budget not spent. This has led to the decision to issue
the third call, which was prepared by the end of last year and was issued in the beginning of
2000.

€

The programme was managed with the assistance of the Programme Committee and with the
assistance of the Experts Advisory Group (EAG). The latter was in close contact with the
EAGs on Nuclear Fission and on Environment given the multidisciplinary character of these
activities. On every occasion the Committee issued positive opinion and the EAGs
contributed to the preparation of the calls, as well as to the work programme revision.

The Group of Directors responsible for the sub-programme and the related EU policies gave
orientations for initiated activities and contributed in a co-ordinated way. Its clearance

61

approach avoided most of potentially harmful delays in the procedures for decisions on
selected proposals.

Implementation of the recommendations of the 1998 Monitoring Panel

The number of objectives has been reduced due to the FP5 "problem solving" approach based on key
actions.

European Added Value is one of the main project selection criteria and relevance to the European
energy policy including, where applicable, the White Book on Renewables, is taken into consideration.

The new structure and management of the sub-programme allows for closer co-ordination between
research and demonstration. Implementation is still separate, due to different priorities and needs of
R&D and demonstration clients, but efforts are made to harmonise project management and related
issues.

Steps have been taken to reduce the workload of scientific officers by increasing their number in DG
Research, but this will need further assessment. "Cluster co-ordinators" in DG Research and external
experts in DG Energy & Transport are also helping to reduce the workload.

The effort for guaranteeing quality procedures is reflected notably in the new evaluation procedure.
Regular update and improvement of the existing Quality Management Manual will be undertaken to
include new issues not covered so far.

Lastly, progress is being made towards a consistent policy for publication and dissemination of results.

Main recommendations of the 1999 Monitoring Panel

The main recommendations of the Panel focus on the following issues:

– Management structure, not adapted to the unified structure of the programme;

– Procedures, including delegation of signature rights;

– Impact of projects, to be assessed and capitalised through appropriate quality control systems and

knowledge management;

– Need for a user-friendly, comprehensive information management system;

– Usefulness of a detailed pre-screening of proposals, going further than the current pre-proposal

check;

– Better interface with users of the programme, with simpler and more user-friendly information

package and development of appropriate Internet tools.

– Evaluation process, which could still be improved for example by clearer definition of the European

Added Value.

– Demonstration projects, that should not consist in a mere up-scaling exercise.

Activities in 2000

In 2000 the main priorities of the sub-programme are on the main revision of the work
programme, the targeting of the next calls, and the exploration of the possibilities for the
energy sector under the Commission’s Communication on the European Research Area.

Adaptations are being considered taking into consideration the results of the qualitative
analysis of the selected proposals. One of its conclusions is that larger projects can better
advance technologies in a number of areas. A more pro-active approach in identifying such

62

projects could be envisaged. In strategically most
important areas the impact of the
programme could be increased through the creation of clusters incorporating EU and
nationally funded projects and by the creation of joint action plans which will identify the
main priority areas for action. The definition of key-actions seems rather successful, even
though it is still early to appreciate the actual reach of the main objectives.

A re-orientation of the work programme has been initiated in order to ensure the most positive
contribution of FP5 to the fulfilment of the Kyoto protocol objectives to be met by 2010. The
revision of the work programme will also allow to better define and quantify the scientific
objectives taking into account the political priorities, the advancement of the science pertinent
to the field, the forthcoming energy market liberalisation and the needs for new products and
services.

The activities of the key actions of the sub-programme are largely integrated and therefore not
detailed individually. Apart from the proper management of the needs and means for the
effective implementation sub-programme, which takes place in consultation with interested
parties inside and outside the Commission, their activities include:

– follow-up of the execution and valorisation of FP4 projects;

– preparation of a strategy through continuous appraisal of socio-economic and industrial

needs, political priorities and assessment of technology evolution;

– revision of the work programme and planning of forthcoming calls for proposals;

– definition of internal working procedures on the daily management of contracts;

– implementation of the communication policy (publications, press releases, etc.);

– relations with the Expert Advisory Group and Programme Committee;

– preparation of impact assessment and programme evaluation;

– presentation of the programme and the key action and its achievements in different forms;

– contacts within Commission services (policy DGs and related RTD programmes) and
industry and

outside (EU institutions, International Energy Agency, Member States,
research associations and organisations).

More specifically, the main activities foreseen during 2000 are as follows:

– follow-up of ongoing projects (continuous);

– appraisal of socio-economic and industrial needs, political priorities and assessment of

technology evolution (continuous);

– valorisation of results of completed projects (continuous);

– mid-term revision of the work programme (May – October 2000);

– evaluation of proposals received under the third call and subsequent contract negotiation

and signature (June – December 2000);

– preparation and issue of the 4th call, by November 2000;

KEY-ACTION 5: CLEANER ENERGY SYSTEMS, INCLUDING RENEWABLE ENERGIES

Examples of projects adopted in 1999

63

"More efficient holistic integration of a molten carbon fuel cell system using biogas as a renewable
energy source": Thanks to a new European project, biogas produced from biological discharges and
waste will for the first time be pre-treated and tested in factories for molten carbonate fuel cells (MCFC)
in Germany, Spain and Slovakia. This innovative approach which integrates MCFC and biogas plants
could have major socio-economic consequences. It will help to improve the competitiveness of the
European Union on the world markets where our competitors are leaders in fuel cell technologies but are
less advanced in Europe in the exploitation of biogases. At the same time, it will help to promote
employment in the fuel cell industry and in agriculture in the Union and the applicant countries. This
potential impact on employment, in particular in rural areas thanks to the promotion of biogas, is
important for regional policy.

"UFO project - Universal fibre optics - integration of fibre optics in buildings": The amount of energy
required to light buildings can be reduced considerably if natural daylight and artificial lighting are used
jointly in an optimum way. The UFO project will develop a prototype maximising the use of light in
buildings and substituting artificial light with daylight as soon as possible through the use of fibre optics.
This innovative technology will help to reduce energy consumption in buildings and hence CO2
emissions. A previous study showed that the potential for energy saving through the more efficient use
of light in buildings is very high: it was estimated at around 18 Mtep/year in 2010, or a reduction in final
energy consumption in the non-residential sector of more than 12% or 26 million tonnes of CO2
emissions.

KEY ACTION 6: ECONOMIC AND EFFICIENT ENERGY FOR A COMPETITIVE EUROPE

Example of project selected in 1999

"New hot air solar volumetric receiver for heliothermal power stations": Heliothermal power stations
provide an excellent option to help reduce greenhouse gases. Their potential is estimated at 23GWe in
2025. With this technology, solar radiation is focused on a receiver placed at the top of a tower in the
middle of a field of heliostats (large solar reflectors). The hot air thus produced is converted to produce
electricity by means of traditional conversion processes. The first commercial power station in Europe
using the technique of concentration on a central tower will be established near Seville in Spain. It will
have a capacity of 10MWe of solar origin. This project aims to develop and demonstrate a new
technology for hot air volumetric receivers based on ceramic absorbent modules. This technology will
make it possible to improve the performance and viability of components while reducing manufacturing
costs. In the initial stage, a 200kWth receiver will be designed and tested. Then, after validation of the
results, a 3MWth receiver will be developed and tested. The overall reduction in the costs of producing
electricity from solar energy as a result of this project could reach 10%.

RTD ACTIVITIES OF A GENERIC NATURE

The energy RTD projects of a generic nature are in line with the new priorities presented in
the European Research Area and more specifically with its part regarding the "common
system of scientific and technical reference for policy implementation". Many results of the
energy-related socio-economic research (e.g. impacts of measures, prospective analysis,…)
are directly used as a scientific background to the policy initiatives in energy and environment
at both EU and Member States level.

64

Example of project selected in 1999

"Systems analysis for progress and innovation in the energy technologies" (SAPIENT): The aim of this
project is to develop an integrated model capable of evaluating the role of the energy technologies in the
European Union and the world. To do this it uses the main European and world energy models, mainly
those which incorporate the endogenous development of energy technologies. SAPIENT will give
quantitative information on the costs and benefits of various energy policies and strategies to combat
climate change, including the role of RTD in conjunction with the Kyoto flexibility instruments.

Apart from the follow-up of the ongoing projects and evaluation of the proposals of the 3rd
call and the corresponding contract negotiation, the following activities are foreseen:

– revision of the work programme to maximise the link with energy policy objectives and
developments on the one hand, and with energy research policy objectives on the other,
incorporating socio-economic research and environmental policy;

– quantification of sustainable development;

– stimulation and guidance of thematic networks in the E3 field (energy, environment,

economy);

– co-ordination of national and European RTD energy policies in line with the European

Research Area;

– publication of medium to long term World Energy Technologies outlook;

– extension of the external cost methodology to Central and Eastern European Countries and

to the ecosystem damages evaluation;

– very long term energy-environment activities;

– experience curve methodology development to assess energy programmes and policies;

– launch a study on energy technologies and climate change, the results of which are

expected in 2002

– .
*

*

*

Examples of results from the 4th Framework Programme

"Advanced cycle technologies": The project aimed at improving efficiency and decreasing cost of power
generation based on coal, using the "IGCC" (integrated coal gasification combined cycle) technology.
The IGCC plant of Puertollano (Spain) was taken as a conceptual base case and the project looked at
various ways to achieve the efficiency improvements and cost reduction envisaged. It is a success story,
because it has achieved its objectives through innovative design concepts that could be applied
immediately if such a plant was build. The solutions envisaged include structural simplifications, which
would have a positive impact on cost, the efficiency, but also the reliability and availability of the plant.
The result would be a cleaner and more efficient use of coal, well in line with the emission directives,
and also in line with the necessary CO2 abatements.

"Climate technology strategy within competitive markets: towards new and sustainable growth": Putting
together different modellers, this project expects to really provide concrete recommendations at the
European and world level in the medium and long-term on the Climate Change issue, taking into

65

consideration the role of energy technologies. It concluded e.g., that in a baseline scenario, CO2
emissions at the world level will increase from about 6 500 MtC today to 13 500 MtC in 2030 and that
technico-economic improvements in renewables technologies could reduce CO2 emissions by about 5%

"The national implementation in the EU of the ExternE accounting framework": This project evaluates
and quantifies the external (environmental) costs of energy fuel cycles for power generation. It
implements the ExternE accounting framework in all Member States. This project is considered as one
of the most advanced in the field word-wide. Among other examples of results, it has been discovered
e.g., that coal electricity production has external costs approximately three times higher than gas
electricity production.

"Renewable electricity in liberalising markets": The evaluation of the renewable electricity regulatory
instruments suggests a new EU framework for renewables support including the concept of tradable
obligations (green certificates) as a way of fulfilling good balance of needs among stakeholders, and
maintaining coherence with liberalisation principles.

66

Confirming the international role of Community research

Key indicators

Proposals received in 1999

Proposals selected for
funding in 1999

Shared-cost action
Grants
Support to network
Concerted actions
Accompanying measures
TOTAL

Number

498
101
25
34
370
1 028

Contribution
requested
€
(million
)
433.44
5.37
13.21
17.02
187.05
656.09

Number

25
13

1
25
64

Contribution
proposed
€
)
(million
22.58
1.34

058
2.99
27.49

Contracts signed on the 1999
budget (up to 31.03.2000)
Number

Contribution
granted
€
)
17.04
1.13

(million

0.58
2.85
21.61

19
11

1
23
54

Under the 5th Framework Programme, international cooperation on RTD takes place in two
ways:

– Through the participation of third countries in the Specific Programme "Confirming the

international role of Community research" ( INCO 2).

– Through the participation of those same third countries in activities relating to the other
programmes (with varying arrangements depending on the countries or groups of
countries).

Under INCO 2,
according to the groups of target countries:

in accordance with the Specific Programme, activities in 1999 varied

• The eleven countries in the pre-accession phase were able for the first time to participate as
associated countries in calls for proposals under the Framework Programme. Thus, with a
view to enlargement, an important step was taken with all countries in the pre-accession
phase to integrate them more fully in the European research system and allow their active
participation at all levels of the Framework Programme (projects, programme committees,
national contact points, expert groups, etc.). The results obtained are encouraging whether
one considers instances of participation in the projects or the total volume of activity in
which participants from these countries will be involved. In order to help these countries in
their integration efforts, accompanying measures have been offered for awareness-raising
and training, attendance at scientific conferences and support for centres of excellence,
mainly to enable them to strengthen their links with other European centres. The call
relating to centres of excellence attracted 185 proposals, 30 of which were judged to be of
the highest quality.

• The other countries of central and eastern Europe and the New Independent States of the
former Soviet Union benefit from the COPERNICUS scheme which supports research
projects in the field of the environment, industrial technologies and health. Over 200
proposals were received, 64 of which were selected for a Community contribution totalling
€
35 million. Moreover, INTAS (International Association for the promotion of cooperation
with scientists from the New Independent States), funded mainly by the Community,
funded 207 new projects following 1999 calls, for a total amount of
16.9 million.
Moreover, the text of the scientific and technical cooperation agreement with Russia was
finalised and submitted to the Council and Parliament. These countries and those in the
pre-accession phase also benefited from accompanying measures (awareness and training,
assistance with conferences).

€

• For the Mediterranean partner countries, two calls were launched in 1999. The first led to
14 million, relating to the

42 successful proposals for a Community contribution of

€

67

€

efficient use of water resources and preservation of the cultural heritage. The call also
covered infectious diseases and the effectiveness of health systems and policies but no
proposal was adopted in these areas. The second call gave rise to 66 proposals for a
Community contribution of
7 million in favour of socio-economic modernisation, water
and health policy (negotiations under way). Five accompanying measures were also
funded. This individualisation of scientific and technological cooperation between the
Union and the Mediterranean partner countries comes under the implementation of the
Euro-Mediterranean partnership derived from the Barcelona process. By supporting the
scientific modernisation and socio-economic development of the countries in question, the
Framework Programme is also helping to prepare the conditions for the free trade area
between the EU and this group of countries planned for 2010.

• As regards countries with emerging economies and industrialised countries,

the 5th
Framework Programme association agreements with Norway, Iceland, Liechtenstein, Israel
and the 11 countries in the pre-accession phase entered in force in 1999, and the agreement
with Switzerland was signed. An S&T cooperation agreement was also signed on 14
December with China and the agreement with the Argentine was concluded on
2 November 1999. The agreements with Canada and Australia assisting under the 4th
Framework Programme were also extended to the 5th Framework Programme on 30 April
and 9 December respectively. These S&T cooperation agreements attest to the desire to
promote the competitiveness of European industry and its penetration on new foreign
markets. The INCO 2 Programme seeks also to strengthen the position of European
research on the world scientific and technological scene while helping to solve problems of
a global nature. For example, in 1999 the programme participated in the second EU Japan
seminar on seismic risks in Reykjavik. This event was an integral part of a cooperation
programme launched in 1998 with the aim of making progress on research into
earthquakes and possible solutions.

In addition, special attention was paid to the development of
inter-regional S&T
cooperation. For example, a in the ASEM context a meeting of Science Ministers was held
in Peking which made it possible to envisage action in such varied areas as forestry, water,
sustainable urban development and cultural heritage. In addition, following the June 1999
Rio Summit of Heads of State and Government, inter-regional scientific cooperation is
taking place between the EU and Latin America and the Caribbean countries

• The calls launched in 1999 in connection with research for the benefit of development
covered the following themes: sustainable instruments for improving health (in particular
vaccines against malaria, schistosomiasis and pneumococci), tools for sustainable crop and
livestock production, sustainable development policies. A total of 42 proposals were
36.5 million. This is in direct support of the Community's overall
adopted for funding of
policy towards the countries concerned, with the objective of dealing jointly with the
challenges of development (health, security of food supply, sustainable use of natural
resources, etc.) in the long term mutual interest.

€

• Moreover, 21 COST actions began in 1999, bringing the number of actions underway to
193 while 380 enterprises and 144 research bodies took part in new EUREKA projects.

68

Examples of projects launched in 1999

Cooperation with the non-associated countries of central and eastern Europe and the New Independent
States

The metalworking sector is one of the most important industrial branches in the New Independent States
and at the same time one of the major polluters. The IRCYL project aims to study cyanide pollution
from gold mines. The investigations are focused on the effects of a serious accident in a mine in
Kirghistan in 1998, when Lake Issyk-Kul, one of the most precious natural resources in Kirghistan, was
polluted by thousands of kilograms of cyanide. The importance of such a project is underlined by the
similar accident which occurred in February 2000 in a gold mine in Romania. Negotiations are
underway to extend the project to include that accident in the study. The results of the studies will be
used for a management plan for environmental risks and disasters and to set up a forum for
communication on the risks of the technique of leaching with cyanide.

Cooperation with the Mediterranean partner countries

The aim of the IRRISPLIT project is to study the effectiveness of partial crop irrigation. This project is
based on an innovative method which consists of examining the effects of irrigation applied initially to
one side of the root only, leaving the other side dry; then irrigating the other side in turn, leaving the first
side dry. The research will measure the effects of such a system of irrigation on the vigour of the plant
growth, production of fruit, use of water and use of fertilisers. The various methods of partial drying of
the root will be evaluated in order to determine the optimum efficiency of various crops and define the
parameters for more efficient use of water without reducing the yield.

Research for development

Tuberculosis is now the most widespread human infection. This makes the search for an effective
vaccine a major public health priority at global level, all the more so as there are many cases of
resistance to current treatments. Previous research funded under earlier Framework Programmes has
already led to major advances. Following on from these, a broad research consortium entitled VACSEL,
involving European and African research institutes, will carry out a study of the long-term immune
correlates. It will be based on a new protocol and on the extensive clinical testing facilities in Lusaka.
Thus, in a few years, large-scale tests of vaccines against tuberculosis could become a reality in one of
the regions of the world where the disease is spreading the fastest.

Implementation of the recommendations of the 1998 external monitoring panel

Of the many actions undertaken in this area, mention may be made of the following:

– Completion of the INCOPOL study and the launch of various initiatives (for example in the
framework of MoCo, Asem) to strengthen collaboration between INCO activities and those of the
Member States. This action will be carried forward by the launch of two studies, one on conditions
for receiving foreign researchers in Europe and the other on flows of researchers entering and leaving
Europe;

– Continuation, through accompanying measures, of efforts to improve the preparation of the central
and eastern European countries and the New Independent States for participation in the programme;

– Promotion of S&T cooperation agreements: information measures (e.g. conference in Stuttgart),

encouragement of joint projects, evaluations of impact of agreements etc.;

– More support for the definition of a research policy in relations with developing countries;

– Efforts to achieve greater coordination between INCO and MEDA.

69

Main recommendations of the 1999 external monitoring panel

The monitoring panel recognised the successful launch of the programme as a whole, in particular the
evaluation procedures which it analysed in greater detail. It made the following recommendations:

– make information documents more user friendly and make greater use of national contact points and

delegations in third countries;

– improve internal monitoring and evaluation of the management of the programme, the life cycle of

projects and the achievement of objectives;

– adopt a more dynamic approach to the communication of results.

As part of an on-going, constructive dialogue, the Programme Committee enabled the INCO
programme to be launched with the attainment of 1999 objectives. As regards the Directors
Group, it is a consultation forum which is very useful for the definition of the policy
guidelines for the programme, e.g. for the definition of work programmes. In 1999, the review
of the work programme made it possible to determine the priorities and scientific content of
calls for proposals to be published in 2000 and 2001 in order to meet the expectations of the
researchers concerned.

*

*

*

Examples of results of the 4th Framework Programme

Microbicide research: AIDS is killing more and more women throughout the world and more than three
quarters of the cases are by heterosexual transmission. The development of an anti-HIV vaginal agent
has therefore become a major priority. Recent clinical studies have shown the ineffectiveness of the
main potential substance,
the long standing spermicide Nonoxynol-9 (N-9), which moreover has
significant side effects. An INCO project has therefore recently been started with the aim of
investigating the use of new microbicides in phase I and beyond and, in phase II, testing a standardised
preparation of Dextrane sulphate, which is cheap and harmless, in Uganda and the Ivory Coast. The
objective is to give fresh impetus to the development of a new generation of microbicides capable of
entering the distribution systems for medicinal products in a few years time. The microbicides should,
moreover, have a positive impact on female genital infections, one of the most common and neglected
health problems in many developing countries.

Care for refugees: A project with input from research institutions in Kenya, Uganda and a number of
Member States aims to determine whether the usual refugee camps, their isolation from the host
population and the development of health programmes specially targeted on residential camps could not
be replaced by an alternative integrated approach using the health services of the host country which
would receive substantial assistance to this end. An analysis recently published in The Lancet described
the successful implementation of this alternative strategy in Guinea.

Pollution of the Black Sea resulting from mining activities: Evaluation, prevention and remedies:
intensive mining in the coastal area of the Black Sea has resulted in the production of millions of tonnes
of mine waste. As part of an INCO-Copernicus project, a team of three eastern European partners and
two partners from the Union has carried out a study on the environmental impact of these mining
activities. The project developed innovative, low-cost technologies, both preventive and curative, to
minimise the impact of contamination, improve water quality in the Black Sea and ensure the survival of

70

local ecosystems.

Laser interferometer for high-grade industrial activities: An INCO-Copernicus project developed and
patented a new principle for stabilisation of laser frequencies. The prototype was tested successfully in
industrial conditions and three Polish, Bielorussian and Ukrainian SMEs which are partners in the
project have begun commercial production of the new instrument. The new laser interferometer is much
cheaper and more compact and robust than current systems on the market and it opens up the possibility
of a range of applications, particularly in the engineering industries of the central and eastern European
countries and the New Independent States which will facilitate the adoption of European quality
standards.

Development of methods and instruments for the detection of oil slicks: Four partners from Germany,
the Ukraine and Russia have developed an advanced radar system with considerable potential for the
detection of oil slicks on the sea's surface. The system offers clear benefits and can be used for remote
exploration of the earth and its atmosphere (including the monitoring of pollution and plant cover, or
cartography and analysis of clouds and air flows).

Small Mediterranean reservoirs: hill lakes/reservoirs are dams created by means of banks of earth. An
INCO-DC project selected some examples in Tunisia, Morocco and Syria to establish an observation
and monitoring network. Automatic data-collection equipment makes it possible to acquire the main
hydro-climatic parameters. Satellite teletransmission of the data enables the research teams to intervene
rapidly. The project includes studies on agronomy, agricultural economy, social management of water
and erosion as well as the sustainability of hill reservoirs and their integration into the sustainable
development of isolated regions. The objective of replenishing the water table and supplying water to
surface wells has been achieved in most cases.

71

Promotion of innovation
and encouragement of SME participation

Key indicators

Proposals received in 1999

Proposals selected for
funding in 1999

Shared cost actions
Grants
Support to networks
Concerted actions
Accompanying measures
TOTAL

Number

99

35

168
302

Contribution
requested
€
(million
)
56.26

8.96

109.62
174.84

Number

20

4

87
111

Contribution
proposed
€
)
(million
14.18

0.78

46.97
61.93

Contracts signed on the 1999
budget (up to 31.03.2000)
Number

Contribution
Granted
€
)
(million
7.90

10

6
16

4.32
12.22

The "Innovation and SMEs" programme focuses on two closely connected issues:

– innovation as the principal means to enhance competitiveness and economic growth;

– access to research for SMEs which play an essential

role in boosting economic

competitiveness in Europe and make a crucial contribution to employment.

In the context of the 5th Framework Programme, this horizontal programme thus fulfils three
main functions:

– as a service provider, offering information and assistance to innovating enterprises (in
particular SMEs) and supporting the thematic programmes to promote innovation and
participation of SMEs;

– as a clearing house, collecting and analysing data on innovation and information on

European and national initiatives and policies;

– as a test bed, with pilot projects designed to try out new ideas in order to improve

innovation and technology transfer at European level.

363 million. Its work programme comprises four main

€

This programme has a total budget of
headings:

– promotion of innovation;

– encouraging SME participation;

– joint innovation/SME activities;

– coordination and support activities.

72

Implementation of the recommendations of the 1999 external monitoring panel

The recommendations of the 1998 monitoring panel have mainly been implemented through the
following measures:

– The "Innovation and SME" programme established a framework for coordinating the activities of the

innovation units provided for in the thematic programmes.

– The programme encompasses activities to ensure greater participation by SMEs and activities to
promote innovation - and coordination between their respective networks - and has thereby created
the conditions for enhancing dissemination and the transfer of technologies to SMEs. Moreover, the
coordination of the Innovating Regions in Europe Network and the Innovation Relay Centres
Network has been brought together in a single unit.

– The action lines for the promotion of innovation have been reduced from 14 to 7 in order to better
focus the main priorities. Moreover, benchmarking has been introduced for the impact of each action
line.

– Finally, the programme makes provision for activities involving cooperation with other Specific
Programmes, in particular to support innovation. In combination with the Union's other policies,
cooperation has been established in particular with the European Regional Development Fund to
produce a European directory of regional public support measures for the promotion of innovation
(RINNO project).

Main recommendations of the 1999 external monitoring panel

The monitoring panel formulated 8 recommendations to improve the effectiveness and
acceptance of the programme:

– taking stock of experience gained in the various pilot actions and studies of the 4th Framework

Programme;

– compiling statistics on patents resulting from Community research on the basis of information

contained in the technological implementation plans submitted for each project;

– facilitating SME access to CORDIS, offering them translation services and raising awareness of its

role as a help-desk for intellectual property rights;

– ensuring that economic intelligence projects are from the outset better geared to the features peculiar

to certain industrial sectors;

– continuing to simplify procedures;

– giving instructions and clear objectives to the innovation units set up under the thematic programmes;

– improving cooperation among the various services aiding SMEs: single Commission entry point,

national contact points, innovation relay centres , etc.;

– drawing up specific rules for the participation of SMEs in the Framework Programme in general.

The innovation part of the programme includes the following actions in particular:

Promotion of innovation and new approaches to technological transfer: The new system
supports innovative research into non-technical and demonstration aspects to foster a culture
of innovation and technological
transfer. The demonstration component contributes to
transnational dissemination and utilisation of the results obtained and also covers integration
of new technologies and the taking into account of socio-economic and organisational results
obtained in the projects.

73

Innovation Relay Centres: the Innovation Relay Centres Network constitutes an important
infrastructure for transnational technology transfer and for assisting SMEs in the field of
technological
innovation. The 68 IRCs, which are technology advice centres, provide
transnational cooperation services for SMEs based on detailed knowledge of the technological
or economic profile of the companies and regions for which they are responsible. To this end,
they cooperate with other complementary networks. The network started a new phase on 1
April 2000 which will last two years, harnessing the enormous human potential of some 1500
innovation professionals in 30 different European countries.

Various projects have been carried out to develop regional innovation strategies: 50 regional
innovation strategy (RITTS/RIS) projects were in progress in 1999, as well as 11
transregional innovation projects (TRIPs), aimed at encouraging interregional collaboration.
the "Innovating Regions in Europe Network" facilitated the exchange of
In addition,
experience between the regions concerned. This network supports RITTS/RIS operations by
disseminating the results of projects within the network and the RITTS/RIS concept outside
the network. Its website (http://www.innovating-regions.org/) is an important part of the
network. A regional innovation poilicy measures (RINNO) database is being set up to
encourage the exchange and application of best practices between European regions in terms
of innovation and regional development policies.

The Intellectual Property Rights (IPR) Helpdesk provides information and assistance on the
rules relating to the protection and dissemination of research results in the context of the
Framework Programme. More generally, this service makes the innovating community in
Europe aware of intellectual property rights and facilitates access to patent information. It has
a telephone helpline and a website offering a wide range of information: tutorials, guides,
briefing papers, links, etc. It is mainly intended for current and prospective participants in
Community research programmes.

Access to the financing of
innovation is supported by three schemes: Innovation and
Technology Equity Capital (I-TEC) in collaboration with the European Investment Fund
(EIF) and the European Investment Bank (EIB) to encourage "early-stage" investment in
technologically innovative SMEs; FIT for the exchange and dissemination of good practice in
developing durable links between finance, innovation and technology; and the LIFT pilot
project which offers awareness-raising, information, training and financing assistance services
for participants in Community research projects wishing to commercially exploit their results.
"Exploitation" may take the form of setting up a new business or take place in an existing
business. To date over 1500 researchers, technology entrepreneurs and European innovation
and RTD stakeholders have benefited from LIFT.

Internet service (CORDIS) and other means of dissemination: The CORDIS Internet service
has been adapted to cover the entire 5th Framework Programme, with a website and a quick
reference guide for each Specific Programme. The importance of this information website in
promoting participation in the Framework Programme is shown by the number of documents
downloaded in 1999: more than 2 million. The services offered through CORDIS (and
beyond) by the IPR Helpdesk and the LIFT project (Linking Innovation, Finance and
Technology) have attained their objectives and have contributed to the high quality of the
proposals. The number of SMEs that have made use of these services is particularly
encouraging. The Internet service is supplemented by a series of periodical (Innovation &
Technology Transfer, VIPs and CORDIS focus) and ad hoc publications (brochures, folders,
etc).

74

The "SME" dimension of the programme mainly aims at facilitating SME participation in the
Framework Programme. To this end, the following activities were pursued in 1999:

Establishment of a single entry point for SMEs wishing to take part in the Framework
Programme:

– Development of a specific website (www.cordis.lu/sme) holding all the information and

documents necessary for participation;

– Assistance by telephone (over 7000 requests for information in 1999) and e-mail. More
than 350 requests for information concerning SMEs and the Framework Programme have
been received each month and have all been followed up within 24 hours.

– Receipt of proposals (more than 1 000 in 1999) and verification of their eligibility.
Coordinators of non-eligible proposals submitted more than three weeks before an
evaluation date received notice of preliminary verification which gave them a chance to
rectify their proposal and submit it anew.

Establishment of the network of national contact points, providing information and assistance
to SMEs at local level for participation in the Framework Programme.

Coordination of specific measures for SMEs:

– Publication of a simplified Guide for Proposers enabling SMEs to submit bids concerning
specific measures addressed to them, regardless of their field of research. This Guide and
the concomitant forms are available in all official languages of the Union.

– Drawing-up of contractual procedures and documents necessary to take part

in the
Framework Programme: evaluation manual, model contracts for exploratory awards and
cooperative research (CRAFT), etc.

– Publication of information brochures in various formats (single page and ten pages), of
examples of projects and of information on the impact of the Framework Programme on
SMEs, enabling SMEs to judge whether it would be worth their while to participate.

– Organisation of evaluation of proposals received. Two meetings were held, one in April
and one in September 1999, dealing with 850 exploratory awards and 150 CRAFT
projects. More than 2 500 SMEs were involved in these proposals, i.e. 20% more than for
similar measures during the first year of the previous Framework Programme. The
common evaluation method made it possible to re-allocate among the programmes nearly
15% of proposals which would have been considered ineligible if there had been no such
flexibility. The SMEs selected – approximately 40% of proposers – were quickly informed
of the outcome of the evaluation (between 6 and 13 weeks after submitting their proposal)
so that they were able to get down to work right away.

Technological and economic intelligence actions: 56 of these were evaluated in 1999. The 22
actions selected include projects in various sectors: leather, biomass, electronic commerce,
aerospace and nanotechnology. Other actions were designed to provide training for SMEs in
less developed regions or in associated countries.

Examples of projects selected in 1999

Innovation projects

The growing concern about the impact of conventional fishing practices on the environment has kindled
an interest in recycling techniques. In this context, a European innovation project (MISTRAL-MAR)

75

will adopt a multidisciplinary approach towards studying key issues in the development, construction,
functioning and management of a fishery undertaking with large-scale recycling. This will take the form,
in particular, of reciprocal technological transfer between the members of the pan-European SME and
research institutes consortium.

Lubricants are widely used on land and at sea. The large quantities used contribute significantly to the
wide-spread contamination of the soil and surface waters. The LLINCWA project is intended to prevent
and reduce environmental pollution at the highest potential risk, i.e. surface waters. To this end, major
changes will have to be introduced on the lubricants market. The objectives are as follows: increasing
the number of users of bio-lubricants to attain the critical mass necessary for their acceptance on the
market; stimulating the process of self-organisation and self-regulation on the lubricants market;
enhancing market transparency; promoting methods designed to protect the environment. An advisory
group will be set up in each country participating in the project to ensure cooperation in this field. Each
group will consist of representatives of local authorities, lubricant suppliers, shipowners and water
quality control agencies.

Economic and technological intelligence actions

National Contact Points for SMEs play a key role under the 5th Framework Programme. Covering all
Member States and all associated states, they provide information and assistance to the SMEs of their
own country to enable them to participate better in the Framework Programme. The TRANSTRACC
project is designed to pool their experience so as to pinpoint best practice and to facilitate reciprocal
training and transfer of innovative practices. Specifically, the project will contribute towards providing
training for staff at the National Contact Points of countries that have recently become associated to the
Framework Programme and will encourage all members of the network to use accredited ISO 9000
methods.

Wine production not only has an economic impact but also consequences for the environment, economic
cohesion in various rural areas of the countries of the Mediterranean, and the health of Europe's citizens.
The WIAM project brings together regional development agencies, wine producers' associations,
research centres and SME National Contact Points from three countries of the Union and from Hungary
and Israel. Together they will monitor economic and technological trends in the sector and promote the
submission of projects designed to reduce the environmental impact of wine production, improve the
thus benefit
throughout
quality of wine and maintain it
wine-growing regions in particular, which are among the least wealthy of the Union.

the distribution chain. The project will

*

*

*

Example of a result of the 4th Framework Programme

The financial losses due to the chemical and microbiological breakdown of natural cork stoppers are
€
500 million a year. Under the CRAFT 5144 project, three Spanish, Portuguese and
estimated at almost
German SMEs had their manufacturing process analysed by a German institute. This enabled them to
develop a new manufacturing process using microwaves to sterilise the raw materials and reduce the
chemical contaminants responsible for degradation. Recently patented, this technology will be integrated
in SME production lines to meet customer demand in more than 10 European countries but also in Chile,
Australia and the United States..

76

Improving human research potential and the
socio-economic knowledge base

Key indicators

Proposals received in 1999

Proposals selected for
funding in 1999

Shared cost actions
Grants
Support to networks
Concerted actions
Accompanying measures
TOTAL

Number

377
2 316
523

313
3 529

Contribution
requested
€
(million
)
467.69
399.16
633.50

23.84
1 524.19

Number

167
761
199

225
1 352

Contribution
proposed
€
)
(million
138.10
122.78
234.42

12.20
507.50

Contracts signed on the 1999
budget (up to 31.03.2000)
Number

(million

Contribution
granted
€
)
125.27
59.23
60.21

11.03
255.74

154
461
63

219
897

Implementation of the various activities provided for in the Specific Programme began in
1999. In the course of the year the work programme was revised twice, with a specific update
in October followed in December by an adaptation of the tasks and financial priorities for
calls for proposals for 2000.

Implementation of the recommendations of the 1998 external monitoring panel

Major efforts were agreed to improve coordination of the activities under the programme. Under the 5th
Framework Programme, training networks were reoriented towards young postgraduates while Marie
Curie grants are now aimed at post-doctoral students.

Special attention was given to disseminating the results of research among potential users and to
improving mutual understanding between researchers and the general public. These issues have become
major objectives of the Human Potential programme. Equal chances for men and women is another aim
of primary importance under the programme.

Verification of the implementation of the Marie Curie fellowship scheme was completed in 1999, thus
covering all the fellowships awarded under the 4th Framework Programme, and their impact was
evaluated. Moreover, membership of the Marie Curie fellowship association was encouraged.

refined to include evaluation on a
The selection procedure of
multidisciplinary basis in parallel with the overall reform of evaluation under the 5th Framework
Programme; Finally,
taking account of all of the panel's
recommendations.

the Euro conferences were reorganised,

training networks was further

The panel's recommendations for socio-economic research were fully integrated in the 5th Framework
Programme. In particular, all information to potential proposers is now disseminated through CORDIS;
the names of evaluators are regularly passed on to the Programme Committee; joint proposals are treated
together so as to make optimum use of synergies between the different projects; and the accompanying
measures mainly concern the dissemination of results.

77

Main recommendations of the 1999 external monitoring panel

The panel recommended:

– greater clarity of evaluation procedures;

– further strengthening of coordination of activities;

– improving verification systems;

– more openness towards non-member countries.

With regard to key action on socio-economic research, the panel recommended that research
projects should be clearer about the way they contribute new knowledge, which should be
evaluated in the last stage of implementing each project. The panel regards utilisation and
dissemination as priorities in implementing the programme, which may require additional
resources. Lastly, the panel calls for closer integration of support activities in developing S&T
policies (strategic analysis and indicators) in key action.

To increase the number of researchers and encourage their mobility and networking the
support to researcher training and mobility activity supports the training of young researchers,
their mobility and transnational cooperation among research teams. The means used to this
end are grants and training networks which under the 5th Framework Programme forge even
closer links between academic research and research by companies.

Marie Curie fellowships have been diversified into "industry host fellowships" to contribute
to industrial competitiveness, "development host fellowships" for the less favoured regions of
the Community, and "training sites" offering young postgraduates brief stays in another
country at recognised international institutions. Three calls for proposals were issued for the
different types of fellowships, in response to which 2300 applications were submitted, of
which 2230 were eligible and were evaluated. Accordingly, 415 individual fellowships, 85
industry host fellowships, 53 development host fellowships and 203 stays at training sites
123 million. The main achievements
were granted by the Commission for a total amount of
in 1999 were the successful launch of new types of fellowships, the establishment of common
implementing rules for all programmes and the compilation of methods for evaluating the
impact of fellowships financed.

€

In response to the first call concerning research training networks, 454 proposals were
220 million.
received, of which 167 were accepted, involving a Community contribution of
More than 1300 different teams of researchers were involved in the projects financed, which
will ensure 4000 researcher-years of research training for young researcher, and postgraduate
and post-doctoral researchers.

€

Another activity under
the programme is devoted to enhancing access to research
infrastructures. This objective takes the form of aiding researchers in gaining transnational
access to infrastructures and providing support to creating and improving infrastructure
networks. A first call for proposals was launched in 1999 with a budget
115 million. Of the
228 proposals received, with 28 countries participating, 143 were earmarked for financing.

€

The promotion of scientific and technological excellence activity encourages the best
researchers and teams of researchers to engage in research in Europe and to better publicise
their results. This activity also seeks to improve awareness of science and research in society
at large and foster mutual understanding between researchers and the general public.

78

€

The activity is implemented in particular through Euroconferences, practical courses and
summer universities organised at European level. Over the past four years, financing has
amounted to
32 million which made it possible to organise more than 1 000
Euroconferences, summer courses and Eurolabor courses in which hundreds of prominent
European scientists participated. In response to the call for proposals issued in 1999, 213
projects concerning 360 events were selected. To improve the dissemination of results a
conference database has been set up on the Internet. Moreover, new types of conferences such
as EUROTRON conferences (virtual conferences on Internet) and conferences for young
researchers have been organised.

Prizes have also been awarded for the best scientific research projects: the Descartes and
Archimedes prizes which have been newly introduced under the 5th Framework Programme.
The eleventh European Contest for Young Scientists was held in Thessaloniki (Greece) from
18 to 26 September, bringing together 85 young scientists from 30 European countries and
observers from several continents. The twelfth Contest will be held in Amsterdam on
18 September 2000.

The European Science Week and various round tables have also been planned to inform the
general public and raise awareness. Following a first call for proposals in June 1999,
4
million has been earmarked for financing the proposals evaluated. The next European Science
Week is planned for 6 to 12 November 2000. A second call for proposals devoted to round
tables and information services is planned for 2000.

€

An overall goal of the Framework Programme is to give women equal access to disciplines
and scientific research, and a team of the "Human Potential" Programme is entirely dedicated
to promoting this aspect. On 17 February 1999 the Commission adopted a Communication
entitled Women and Science: Mobilising Women to Enrich European Research. It puts
forward an action plan to promote research by, for and on women throughout all the activities
of the 5th Framework Programme. In this spirit, the Commission is setting a 40% target for
the participation of women in the Marie Curie fellowships, in the advisory groups and the
evaluation and monitoring panels (see the main report).

The first annual report on the socio-economic dimension of the 5th Framework Programme
was compiled in accordance with the work programme. It was drawn up in close collaboration
with the Specific Programmes and shows how the socio-economic dimension was integrated
in the activities of these Specific Programmes in the first year of implementation.

The training networks have continued their work started under
the 4th Framework
Programme: monitoring of 249 contracts under the previous programme has continued and
led to more than 60 evaluations at the half-way point of contracts in progress. By the end of
1999 this activity will have made it possible to provide training for about 2 000 young
researchers. The activity is being continued under the 5th Framework Programme and a call
2000.
for

proposals

planned

middle

the

for

of

is

Examples of projects selected in 1999

Marie Curie individual fellowships

79

In the context of exchanges between universities and industry, an experienced Israeli researcher has been
granted an individual Marie Curie fellowship to do research at a prominent European aerospace centre.
He will be studying the fundamental processes of the interaction of the environment in weak terrestrial
orbits and organic and inorganic materials, in particular thermal control linings in satellites. The project
will focus on ways of extending the life of satellites and improving their performance to enable longer
satellite missions at optimum performance.

Marie Curie industry host fellowships

An SME selected to host a Marie Curie fellow will develop a process for rapid evaluation of damage
after natural disasters,
the production of Geographic Information Systems (GIS) maps and the
transmission of information to on-the-spot rescue teams via Internet. The project will be carried out in
cooperation with two universities and will be based on experience gained in earlier projects in Honduras,
Colombia, Peru, Cambodia and the Philippines.

Marie Curie development host fellowships

A Spanish company has proposed a project on biodiversity conservation on the Iberian Peninsula. With
additional skills which it is seeking through the Marie Curie scheme, it wishes to enrich bioecological
studies in progress by using molecular genetics techniques. These techniques should make it possible to
assess genetic variability in target populations to improve estimates of their chances of survival.

Marie Curie training sites

A training site in Greece will offer training through research at PhD level in the following fields: laser-
mater and the manufacture of advanced materials where the accent will be on new materials and
structures, non-linear optics, and environmental and biomedical applications. The young researchers will
be working in an international environment of high quality and will benefit from state-of-the-art
equipment for experiments. This project at the frontier of several disciplines and industries will give the
training scheme considerable added value for the young researchers.

Research training networks

Information archives have become extremely complex with the advent of multimedia. As yet there are
no search tools to efficiently utilise and analyse the data in these archives. The Moumir network will
focus on this problem not only through the theoretical development of methods but also their practical
application. Training young researchers in this network will bring the academic and industrial sectors
together, and tangible results are expected in the relatively short term.

High-level scientific conferences

The Ten Years of Hercules Euroconference was held in Grenoble in April 2000. The aim of the
conference was to teach young European researchers to optimise the use of major research tools (neutron
source, synchrotron radiation) for studies in solid physics, molecular biology and matter sciences. The
conference was organised at a European scientific research centre of major importance because of the
proximity of the European Synchroton Radiation Facility (ESRF), the Laue Langevin Institute (ILL) and
the Nuclear Science Institute (ISN), and benefited from the participation of Professor J. Walker, Nobel
Prize 1997.

80

KEY ACTION : IMPROVING THE SOCIO-ECONOMIC KNOWLEDGE BASE

This key action is designed to define the bases for social, economic and cultural development
which will generate employment and the establishment of the European knowledge society.
Accordingly, it attaches particular importance to the social sciences, the principal domain for
analysing structural trends in economic, demographic and social development.

A first call for proposals was published in 1999, covering 12 research tasks. The resulting
life-long
proposals have been evaluated and selected. The emphasis was on education,
learning, policies of employment linked to technology, social security, changes in family
structure, the concept of European citizenship, the impact of the new media, globalisation, and
the fight against xenophobia and racism.

The continuation of the socio-economic projects of the 4th Framework Programme in 1999
involved the dissemination of results,
in particular on the CORDIS Internet site. The
European conference on socio-economic research held in April 1999 also contributed to this
finalised in
dissemination and to the drawing-up of a second call
December 1999. Moreover, studies were completed for setting up a database on local
initiatives to fight social exclusion. The database contains detailed descriptions of some 750
initiatives in the fifteen Member States of the Union. It will be available on Internet in autumn
2000.

for proposals,

The programme committee actively supported the implementation of activities. A
subcommittee was set up in the field of socio-economic research. The advisory group of
experts connected with the key action provided guidance for the work involved in the key
action.

Example of a project selected in 1999

The impact of macro-economic policies on science and technology is largely unknown or at best
inadequately treated. A new European project starts from the assumption that technological development
and macro-economic circumstances are strongly interconnected. This project is designed to enhance our
understanding of the links between macro-economic (national and supranational) policies and "explicit"
scientific and technological policies. It will in particular assess the compatibility or incompatibility of
these policies in the applicant countries. The project will lead to recommendations which should be
widely disseminated to the political authorities.

81

Joint Research Centre

In 1999, the JRC pursued several initiatives to develop its mission as a reference scientific
and technical research centre devoted to supporting EU policies. These have in particular
consisted of arranging for independent external monitoring of its expertise and scientific
resources, adopting project-based management and total quality management, devising a new
personnel policy accompanied by a recruitment plan and training programme, and setting up a
JRC knowledge.
project group with special

the management of

responsibility for

Mission statement

The JRC's mission is to provide customer-driven scientific and technical support
for the design,
implementation and monitoring of EU policies. As a European Commission department, it functions as a
reference centre of science and technology for the Union. Close to the policy-making process, it serves
the common interest of the Member States, while being independent of special private or national
interests.

To complete its mission, the JRC has a unique combination of facilities and expertise which surpass
national frontiers. In addition, its networks enable it to stimulate collaborative research and to broaden
its knowledge base.

Adopted on 16 April 1999, the JRC work programme in 1999 devoted a budget of some
€
250 million to four main themes:

I.

II.

III.

IV.

Serving the citizen

Strengthening sustainable development

Supporting European competitiveness

Euratom work programme

€

€

€

€

74.1 million

80.98 million

26.15 million

71.8 million.

A large part of the programme is devoted to services directly linked to EU regulations, such as
the activities of the European Chemicals Bureau (ECB), the European Integrated Pollution
Prevention and Control Bureau (EIPPCB) and the European Reference Laboratory for Air
Pollution (ERLAP). This "customer-supplier" relationship has been strengthened by the
signature of agreement protocols with the Directorates-General
the
Environment and Education and Culture.

for Enterprise,

1999 was also the inaugural year for "clusters" at the JRC, i.e. the clustering of projects
around major scientific,
technological and social themes. This operation is intended to
promote an interdisciplinary approach by putting teams of researchers from the various JRC
institutes in touch with each other, making the Centre more widely known and strengthening
mutual links with customers. The clustered themes include e-commerce, emissions and their
impact on human health and the environment, global change,
the agricultural
environment and reactor ageing.

food,

The JRC has made efforts to devise a coherent networking strategy to improve its technical
and scientific support for EU policies. Several agreements have been negotiated and signed
with national research organisations, such as TNO (Dutch Organisation for Applied Scientific

82

Research), and the DERA (the UK Defence Evaluation and Research Agency). In 1999,
negotiations started with European industrial networks such as EUCAR (automobile industry)
and CONCAWE (oil industry) to work together on vehicle emissions. The JRC's approach
gives priority to establishing closer ties with the representative industrial associations rather
than with companies in order to preserve the independent nature of its support for European
competitiveness.

Scientific audit

The aim of the audit carried out between June and October 1999 was to determine whether the JRC was
sufficiently well-equipped, materially and intellectually, to discharge the tasks assigned to it under the
5th Framework Programme. The 30 outside experts who took part made up eight teams (one per
Institute) and have come to the following conclusions:

– The JRC's new mission statement has been warmly welcomed and enjoys the support of management
and staff. Networking with the laboratories in the Member States, an essential part of the JRC's
mission, is strongly encouraged.

– The scientific basis underpinning the mission statement is vital and must remain solid. Special

attention must be paid to the balance between services and research.

– Modest, but significant, participation in joint actions with industry is desired, as are efforts on

technology transfer.

– The importance of clusters for collaboration between the institutes is stressed. Efforts should be made

to strengthen their operation.

– The JRC's effort

to promote nuclear technology is recognised and encouraged; however,

its

sustainability depends on the maintenance of the present level of funding.

– The JRC's recruitment strategy needs to be improved to promote scientific robustness and the

long-term viability of the organisation.

At the beginning of 1999, each JRC institute drew up a plan on competitive activities for the
5th Framework Programme as a whole in order to be certain of taking part in those which
represent genuine added value for the work programme. The plan covers in particular the
shared-cost actions, work for
the client
Directorates-General. The JRC has submitted more than 250 projects under the first call for
proposals; a third of them, with an overall value of

third parties and activities on behalf of

11.6 million, have been selected.

€

The European Technology Transfer Initiative (ETTI) continued in 1999. Twenty JRC
researchers have taken part in the first cycle of business management training which took
place from January to June 1999. Three possible spin-offs are in preparation. A call has been
launched to capital management companies interested in the creation, setting-up and
administration of a start-up capital fund, and negotiations have taken place with the tenderer
selected.

Examples of projects

The fight against BSE: An important step forward was made in the fight against BSE in 1999.
Coordinated by the Health and Consumer Protection DG and in collaboration with expert

83

institutes in the Member States, the JRC prepared over 14 000 samples and evaluated the results
of four candidate BSE diagnostic tests. The resulting statement from the Commission's
Scientific Steering Committee speaks for itself:
three of these tests can identify animals
clinically affected with BSE. Other projects cover the heat-treatment procedures for BSE
decontamination and the detection of animal meal in vegetarian food, the evaluation of newly
developed post-mortem tests (e.g. the presence of prions in blood), the setting-up of a sample
bank for negative BSE samples,
the production of reference materials to calibrate BSE
post-mortem tests and the evaluation of tests to detect and distinguish between bovine
spongiform encephalopathy and scrapie in sheep.

Adoption of the IUCLID base worldwide: In 1999, the International Council of Chemical
Associations (ICCA) adopted the international uniform chemical
information database
(IUCLID), the development and management of which are being handled by the European
Chemicals Bureau. This is a major advance in terms of standardisation as the worldwide
chemical industry will now be using this base to extract and disseminate chemical data and
improve access to information on chemical substances.

84

Nuclear energy

Key indicators

Proposals received in 1999

Proposals selected for
funding in 1999

Number

Contribution
requested
€
(
million)

Number

Contribution
proposed
€
million)
(

Contracts signed on the 1999
budget (up to 31.03.2000)
Number

Contribution
granted
€

(

million)

Shared cost actions
Grants
Support to networks
Concerted actions
Accompanying measures
TOTAL

314

18
11
7
350

360.84

7.70
2.90
2.43
373.83

113

13
8
5
139

93.22

3.33
1.76
0.22
98.53

25

25

24.04

24.04

The Nuclear Energy R&T Specific Programme of the EURATOM FP5 comprises the
following components:

– A key action on controlled thermonuclear fusion;

– A key action on nuclear fission;

– Generic research on radiological sciences;

– Support to research infrastructures.

The transition from FP4 to FP5 was handled well and the response to the new structure and
management arrangements from the research community was generally favourable. A
significant reduction was achieved in the time required to process contracts, which will need
to be sustained in the future. One lesson already evident from the first two calls of FP5 is that
the Commission should be in a position to be more proactive in seeking good proposals in line
with programme objectives. There is evidence of improved collaboration between different
DGs and the JRC.

All activities relating to nuclear fusion are described below in the section relating to the key
action.

Three calls were launched in March, two for the key action on Nuclear Fission with deadlines
to
in June and October, and a continuously open call for generic research, support
infrastructures, training activities and accompanying measures, with different cut-off dates for
the evaluation.

Research in severe accident phenomenology has reached a point where a move from detailed
basic research to problem solving and applications is now possible. Similarly,
in
decommissioning, the research area is now considered mature and future work can focus on
making knowledge more widely available and in bringing interested parties together.
Strategies in the partitioning and transmutation area have been developed to minimise
radioactive waste and to demonstrate the different requirements for the available options.

In the radioactive waste management area, it has been shown that efficient planning and
execution, including public dissemination, of a major cost shared project, can be achieved.

A major step in emergency planning has been the facilitation of the upkeep and development
of effective emergency preparations in Member States and in Candidate Countries. The
generic research in radiological sciences has significantly advanced the understanding of the
induction of cancer in human cells exposed to radiation.

85

The programme was managed with the assistance of the Programme Committee and with the
assistance of the Experts Advisory Group (EAG). The latter was in close contact with the
EAGs on Non Nuclear Energy and on Environment given the multidisciplinary character of
these activities. On every occasion the Committee issued positive opinion and the EAGs
contributed to the preparation of the calls, as well as to the work programme revision.

The Group of Directors responsible for the programme and the related EU policies gave
guidance for initiated activities and contributed in a co-ordinated way. Its clear approach
avoided most potentially harmful delays in the procedures for decisions on selected proposals.

Implementation of the recommendations of the 1998 Monitoring Panel

Most of the recommendations made by the 1998 monitoring panel concerning the improvement of the
management of the programme have been implemented, either as an effect of changed rules for the 5th
Framework Programme or as specific steps introduced. Some of the recommendations, e.g. appointment
of evaluators for the whole of FP5, could, however, not be implemented as they were against the rules
for FP5.

Some of the recommendations concerning dissemination of results and post-job evaluations will be acted
on during this year.

Recommendations on increased networking,
increased participation of industry and utilities, and
activities to maintain expertise in critical areas have been acted on in the work programme for FP5 and
will be implemented further as part of the efforts that will be devoted to the European Research Area.

Main recommendations of the 1999 Monitoring Panel

An examination of the newly revamped evaluation process has led to recommendations on that process,
notably on the selection and guidance of evaluators and panel rapporteurs and the simplification of
information required from proposers. The Panel also suggested that a strategic review of the outcomes
and achievements of FP4 should be prepared in good time for the next monitoring exercise, and that the
case for European centres of excellence should be made well in advance of FP6 decision deadlines.

In 2000 the main priorities of the Specific Programme are on the main revision of the work
programme, the targeting of the next calls, and the exploration of the possibilities for the
energy sector under the Commission’s Communication on the European Research Area.

KEY ACTION 1: CONTROLLED THERMONUCLEAR FUSION

Since its inception, the EU Fusion Programme has been progressing towards a clearly defined
long-term objective: “the joint creation of prototype reactors which will lead to electric power
plants that meet society’s needs: operational safety, respect for the environment, economic
viability”. The Community’s financial support takes the form of shared-cost actions and
accompanying measures (studies of socio-economic aspects, dissemination of
results,
training, etc).

Activities in 1999

86

Since the signature of a Contract of Association by Greece in 1999, all of the EU Member
States (and the Swiss Confederation) are taking part in fusion research on the basis of
contracts of association with EURATOM. Out of the seven candidate countries, which are
associated with the EURATOM Framework Programme, three (the Czech Republic, Hungary,
Romania) signed a contract of association in 1999, while individual shared-cost actions of
limited duration have been prepared for the other candidate countries. The management of
fusion research on the basis of contracts of association makes it possible to ensure that the
programmes of the various Member States are directed towards the long-term objective and
are complementary and coordinated. The joint effort of the Association also enables projects
to be undertaken which would be too big for each member acting on its own.

The Commission coordinates the research programme and grants funds on the opinion of the
committee of representatives of each Member State, the EURATOM Consultative Committee
(Fusion), or CCE-FU. EURATOM financial support of 25% is granted to Associations for
operational expenditure. For investments approved by CCE-FE, preferential support of 45%
may be granted.

In 1999, the European Fusion Development Agreement (EFDA) was established. The EFDA
is a framework contract between EURATOM and its customary fusion research partners. It
covers three activities: the fusion technology activities carried out by the Associations and by
the collective use of JET facilities and the EU’s contribution to
European industry,
international collaboration such as the international
thermonuclear experimental reactor
(ITER). The operation of JET facilities is ensured by means of a separate contract between the
Commission and the UK Atomic Energy Authority.

The physics programmes of the Associations and the JET have been focused on the use of
existing fusion devices in order to develop high-performance operational scenarios of benefit
for a “Next Step”, such as the ITER, and in order to establish new, more precise laws of scale
providing greater confidence in predicting the performance of such a large machine. In
addition, new experimental facilities aimed at providing data to improve the concepts
underlying fusion machines have started to provide results. R&D on fusion technology has
covered a broad range of activities, both for the Next Step (e.g. the construction of a
superconducting coils model and a prototype remote handling system) and for the long term,
such as the development of low-activation materials which will be necessary for a fusion
reactor.

The 1998 external monitoring report has stressed the quality of the work provided, the
compliance with the deadlines set and the saving of resources allocated to the coordination of
the programme.

The funding and coordination of fusion R&D by the Community have resulted in an
integrated Europen programme and have put Europe at the head of world research in this
field. The Fusion key action also contributes to the horizontal programmes of the 5th
Framework Programme. Industrial investment (in particular by SMEs) in the development
and supply of components for fusion devices is set to become increasingly important. The
level of mobility of researchers is also very high (about 500 person-months per annum) and
about forty young researchers receive training grants. Increasing attention has been paid to the
socio-economic aspects of fusion energy, with studies in progress on environmental and
safety issues and acceptability to the general public. Exhibitions and multimedia presentations
fusion.
have

public more

inform the

prepared

about

fully

been

to

87

Example of a project selected in 1999

The EURATOM – CIEMAT Association (Madrid, Spain) has recently brought into operation a new,
large fusion machine known as TJ-II, a Heliac-type stellarator, an alternative to the Tokamak. Its major
role is to explore how the basic concepts of fusion machines could be improved. This installation
provided interesting results in 1999. An operating mode with improved confinement has been obtained
and filamentary structures have been observed in the plasma. Improvement of the diagnostics measuring
the plasma parameters and the increase in the additional heating power are underway and will help to
make progress in this research.

Activities in 2000

The key action will continue with its three main lines of action: activities related to the Next
Step, the aim of which is to develop the capacity to construct and operate an experimental
reactor; structured activities in the field of physics focused on improving the basic concepts
about fusion devices; and structured activities in the field of technology aimed at preparing
the demonstration fusion reactor (DEMO) and then a prototype reactor.

KEY ACTION 2: NUCLEAR FISSION

Activities in 1999

The objectives of the key action are: to improve operational safety of the nuclear installations,
the safety of the fuel cycle, the safety and efficiency of future systems and to improve our
issues in Radiation Protection such as, risk assessment and
understanding of practical
management, off site emergency management and the restoration and long term management
of contaminated environments, as well as others. The knowledge base in Radiation Protection
is also supported via Generic Research in Radiological Sciences.

Most of the projects launched under FP4 have been completed during 1999, final reports are
or are being published and cluster summary reports will be prepared. The results of the
projects in radioactive waste management and disposal and decommissioning have been
presented at a conference, EURADWASTE 99, in mid-November. Equally the results of the
reactor safety projects were presented at FISA-99 in late November. In radiation protection a
mid-term report is also published.

Support has been given to the development of political initiatives, to the setting of terms of
reference and the evaluation of projects under TACIS and PHARE, as well as to the
Environment and Transport European policies. International co-operation has been pursued
through relations with international organisations (IAEA, OECD/NEA and ICRP) as well as
projects.
through

management

scientific

INCO

some

of

Examples of projects selected in 1999

“Loss of reactor core during a serious accident” (COLOSS): this project

is aimed at

improving

88

understanding of the phenomena which would take place in a nuclear reactor following a serious
accident (involving the simultaneous failure of several safety systems). It deals more especially with
core degradation as a function of risks and factors such as combustion rates, MOX fuel and boron
carbide control rods. Experiments will be conducted on different scales, using real fuel materials, and
models will be developed and introduced into the codes for the calculation of serious accidents. The
results will make it possible it improve measures for the management of serious accidents in large light
water reactors of both West European and Eastern European design (Central and Eastern European
countries being associated with the project).

“Steam generator failure scenarios”: this project tackles a serious accident scenario involving failure of a
steam generator tube following a serious accident with core meltdown. This scenario, which could lead
to a short circuit and a release of radioactive gas into the environment, has been considered important on
the basis of probabilistic safety assessments. In particular, the project studies the possibilities of
retention (i.e. non-release) of fission products by deposit in the steam generator. The results are
applicable for testing the various procedures for managing accidents in pressurised water reactors (both
Western and Eastern).

Activities in 2000

Main activities implemented or anticipated during 2000:

– Evaluation of proposals received under the third call (continuously open) and subsequent

contract negotiation and signature ( January - December 2000).

– Mid term review of the work programme (March - July).

– Follow-up of ongoing projects (continuous).

– Preparation and issue of the 4th call for proposals, by mid October 2000 (closing date 22

January 2001).

– Valorisation of results of completed projects to be published in CORDIS and preparation

of cluster synthesis reports (continuous)

– Continuous assessment of technology evolution and active collaboration with international

organisations.

– Training activities (e.g. EUROCOURSES)

RTD ACTIVITIES OF A GENERIC NATURE

These activities cover the following areas of the radiological sciences:

– Radiation protection and health to gain a thorough understanding of radiation action
leading to health effects and to improve the quantification of radiation risk at low doses;

– Environmental transfer of radioactive material with a view to developing good practice in

managing the impact of radiation sources;

– Industrial and medical uses of radiation sources in view of improving the safety and

efficacy application;

– Internal and external dosimetry aiming at improving the methods of exposure assessment.

Main operational activities as for the key action on nuclear fission.

89

Examples of projects selected in 1999

“Methods for the repair of DNA in health physics”: detailed knowledge of the basic mechanisms by
which ionising radiation causes cancer and genetic disorders is essential to make progress in health
physics, in particular as regards the effects of low doses and low dose rates. This project uses new
technologies to study more especially the various damage repair paths and their interactions in order to
gain a better understanding of genetic changes and carcinogenesis in man.

“Late health effects in persons exposed to ionising radiation in the southern Urals”: our knowledge about
the effects of
ionising radiation is based on two information sources: molecular biology and
epidemiological studies. In the latter field, the data are derived chiefly from survivors of the atomic
bomb and patients treated using ionising radiation. In both cases, they refer to the effects of exposure to
a high dose for a short period of time. Since the 1950s, about 10 000 people have been exposed to
ionising radiation in low doses but for long periods in the southern Urals due to the dumping of
radioactive waste in the Techa river. This project (which includes a Russian partner) is studying the
incidence of cancer in this population, which will for the first time make it possible to quantify the
long-term effects of low-dose ionising radiation on human health.

SUPPORT FOR RESEARCH INFRASTRUCTURES

Support for research infrastructures covers the following main activities:

– Support

for
programmes.

the access to large-scale facilities by shared usage and collaborative

– Networking and creation of databases are also included where needed.

Main

operational

activities

as

for

the key

action on

Nuclear

fission.

Example of project selected in 1999

“European Network for the Consolidation of the Integral System Experimental Databases for Reactor
Thermal-Hydraulic Safety Analysis” (CERTA): The reactor safety experimental databases acquired in
European integral system test facilities provide reference information for the understanding of governing
physical phenomena and for the validation of related computational methodologies. This project uses
advanced information technologies to ensure a distributed collection of experimental data together with
supporting test facility design and instrumentation data. The underlining rationale is the fact that
advancement on hardware and software technologies is making traditional data storage obsolete and
retrieval impractical. Since there is a continuous need to access representative experimental data for
benchmarking reactor safety code predictive capabilities, the nuclear community is thus asked to take
prompt action to preserve the experimental heritage acquired in the past with a considerable investment
of resources.

*

*

*

Examples of results from the 4th Framework Programme

90

A comprehensive overview of all results in the areas of reactor safety, radioactive waste management
and disposal, innovative fuel cycle concepts and decommissioning, were discussed at the FISA’99 and
EURADWASTE’99 international conferences, bringing together all major stakeholders (industry, safety
authorities, decision-makers, research organisations, etc.).

The main outcome and recommendations for future activities were:

– The understanding of the phenomenology of severe accident progression has been furthered to the
point where a change in emphasis to problem-solving and end-user application is justified in FP5.

– Research in decommissioning is considered mature.

– Radiation protection and generic research in radiation science has been instrumental in underpinning

optimised radiation protection practices.

– Radioactive waste management issues remain important and are being addressed logically leading in

a stepwise fashion towards practical demonstration.

– The dissemination of results to the technical community and collaboration with other directorates

general have been improved.

– A strategic review of the technical achievements of FP4 is recommended

91

ANNEX 2

STATISTICAL AND FINANCIAL DATA

TABLE OF CONTENTS

Table 1A: FP5 overview: all proposals received in 1999
All proposals selected for funding in 1999............................................................................ 93

Table 1B: FP5 overview: contracts signed in 1999
All FPs overview: contracts under way................................................................................. 94

Table 1C: FP5 overview: contracts signed until 31 March 2000 (budget 1999)..................... 95

Table 2A: FP5: contracts signed until 31 March 2000 (budget 1999)
by type of financial participation .......................................................................................... 96

Table 2B: FP5: contracts signed until 31 March 2000 (budget 1999)
by type of shared-cost actions............................................................................................... 98

Table 3: FP4: contracts under way, cumulative figures and payments................................. 100

Table 4A: FP5: contracts signed until 31 March 2000 (budget 1999)
by type of organisation....................................................................................................... 101

Table 4B: FP5: contracts signed until 31 March 2000 (budget 1999)
by type of organisation (%) ................................................................................................ 103

Table 5A: FP5: shared-cost contracts signed until 31 March 2000 (budget 1999)
by type of organisation....................................................................................................... 105

Table 5B: FP5: shared-cost contracts signed until 31 March 2000 (budget 1999)
by type of organisation (%) ................................................................................................ 107

Table 6: FP5: proposals received in 1999 and contracts signed until 31 March 2000
(budget 1999) by country ................................................................................................... 109

Table 7: FP5: co-operation links in shared-cost contracts signed until 31 March 2000
(budget 1999)..................................................................................................................... 111

Table 8: FP5: Funding of EC FP5 and Euratom FP............................................................. 112

Table 9A: Community research commitments: trend for the period 1984 - 2002
(current prices)................................................................................................................... 113

Table 9B: Community research commitments: trend for the period 1984 - 2002
(1992 prices) ...................................................................................................................... 114

Notes ................................................................................................................................. 115

Country codes .................................................................................................................... 116

92

TABLE 1A: FP5 OVERVIEW: ALL PROPOSALS RECEIVED IN 1999 - ALL PROPOSALS SELECTED FOR FUNDING IN 1999 (1)

93

TABLE 1B: FP5 OVERVIEW: CONTRACTS SIGNED IN 1999 - ALL FPS OVERVIEW: CONTRACTS UNDER WAY (1)

94

TABLE 1C: FP5 OVERVIEW: CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) (1)

95

TABLE 2A: FP5: CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY TYPE OF FINANCIAL PARTICIPATION
(1)

96

TABLE 2A: FP5: CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY TYPE OF FINANCIAL PARTICIPATION
(1)

(continued)

97

TABLE 2B: FP5: CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY TYPE OF SHARED-COST ACTIONS (1)

98

TABLE 2B: FP5: CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY TYPE OF SHARED-COST ACTIONS (1)

(continued)

99

TABLE 3: FP4: CONTRACTS UNDER WAY, CUMULATIVE FIGURES AND PAYMENTS

100

TABLE 4A: FP5: CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY TYPE OF ORGANISATION
(contributions in million euros)

101

TABLE 4A: FP5: CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY TYPE OF ORGANISATION

(continued) (contributions in million euros)

102

TABLE 4B: FP5: CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY TYPE OF ORGANISATION
(in %)

103

TABLE 4B: FP5: CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY TYPE OF ORGANISATION

(continued) (in %)

104

TABLE 5A: FP5: SHARED-COST CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY TYPE OF
ORGANISATION
(contributions in millios euros)

105

TABLE 5A: FP5: SHARED-COST CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY TYPE OF

ORGANISATION

(continued) (contributions in million euros)

106

TABLE 5B: FP5: SHARED-COST CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY TYPE OF ORGANISATION

(in %)

107

TABLE 5B: FP5: SHARED-COST CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY TYPE OF ORGANISATION
(continued) (in %)

108

TABLE 6: FP5: PROPOSALS RECEIVED IN 1999 AND CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY COUNTRY

109

TABLE 6: FP5: PROPOSALS RECEIVED IN 1999 AND CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999) BY COUNTRY

(continued)

110

TABLE 7: FP5: CO-OPERATION LINKS IN SHARED-COST CONTRACTS SIGNED UNTIL 31 MARCH 2000 (BUDGET 1999)

111

TABLE 8: FP5: FUNDING OF EC FP5 AND EURATOM FP

112

TABLE 9A: COMMUNITY RESEARCH COMMITMENTS: TREND FOR THE PERIOD 1984 - 2002

€

(ECU and

million, current prices)

113

Table 9B: Community research commitments: trend for the period 1984 - 2002

€

(ECU and

million, 1992 prices)

114

Notes

115

COUNTRY CODES

Belgium
Germany
Denmark
Greece
Spain
France
Ireland
Italy
Luxembourg
Netherlands
Austria
Portugal
Finland
Sweden
United Kingdom

MEMBER STATES
B
D
DK
EL
E
F
IRL
I
L
NL
A
P
FIN
S
UK
CANDIDATE COUNTRIES AND COUNTRIES ASSOCIATED WITH FP5
Candidate countries
BG
CY
CZ
EE
HU
LV
LT
MT
PL
RO
SK
SI
TR
EEA countries
IS
LI
NO
Other States associated with FP5
CH
IL

Bulgaria
Cyprus
Czech Republic
Estonia
Hungary
Latvia
Lithuania
Malta
Poland
Romania
Slovakia
Slovenia
Turkey

Iceland
Liechtenstein
Norway

Switzerland (10))
Israel

116

–

–

–

–

–

–

–

–

–

–

ANNEX 3

MAIN REPORTS RELATING TO
COMMUNITY RESEARCH ACTIVITIES

1.

MAIN DOCUMENTS OF RELEVANCE TO COMMUNITY RTD
ACTIVITIES PUBLISHED BY THE EUROPEAN COMMISSION

Five-year Assessment of the European Union Research and Technological
Development Programmes, 1995-1999: Report of the Independent Expert Panel
chaired by J. Majó, not yet published, available on the CORDIS website
(www.cordis.lu/fp5/5yr_reports.htm).

Five-year Assessments of the Specific Programmes, 1995-1999: Reports of the
CORDIS website
available
Expert
Independent
(www.cordis.lu/fp5/5yr_reports.htm).

Panels,

the

on

Annual Monitoring Reports drawn up for the EC and Euratom Framework
Programmes and for all the Specific Programmes for 1995, 1996, 1997, 1998
and 1999.

Joint Research Centre: 1999 Annual Report (COM(2000) 366 final)

Implementation of the JRC's Mission: Report by ann Independent High-level
Panel chaired by Viscount E. Davignon, available on the JRC's website
(www.jrc.org).

Scientific Audit of
(www.jrc.org).

the JRC Institutes, available on the JRC's website

Evaluation of the Joint Research Centre 1995-1999, Communication from the
Commission (not yet published).

Second European Report on S&T Indicators 1997, EUR 17639 (1997) and Key
figures (2000).

Research and Development
Commission (1999).

: Annual Statistics 1999 – Eurostat, European

R&D and Innovation Statistics for the Candidate Countries and the Russian
Federation (Eurostat) .

117

2.

–

–

–

MAIN ANNUAL BUDGETARY DOCUMENTS OF RELEVANCE TO
COMMUNITY RTD ACTIVITIES

General EC Budget for the Financial Year 2000, OJ L 40 (14 February 2000).

Revenue and Expenditure Account and Balance Sheet, relating to Operations
under the 1999 Budget (not yet published).

The Community Budget: the Facts in Figures, which provides a time series of
research payments from the year 1958, SEC(98) 1100.

118

ANNEX 4

MAIN ACRONYMS AND ABBREVIATIONS USED

ASEM

COST

CRAFT

Asia-Europe Meeting

European Cooperation in the field of Scientific and Technical research

Cooperative Research Action For Technology (technology stimulation measures for
SMEs)

CREST

Scientific and Technical Research Committee (advises the Commission)

EU

European Union

EURATOM

European Atomic Energy Community

INCO-DC

INTAS

JRC

OJ

R&D

RTD

SMEs

S&T

Cooperation with third countries and international organisations in the field of RTD
(second activity under 4th Framework Programme)

International Association for the promotion of cooperation with scientists from the
Independent States of the former Soviet Union

Joint Research Centre

Official Journal

Research and Development

Research and Technological Development

Small and Medium-sized Enterprises

Science and Technology

119