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# 51997PC0142(01)

**Proposal for a European Parliament and Council Decision concerning the 5th Framework Programme of the European Community for research, technological development and demonstration activities (1998-2002) /\* COM/97/0142 final - COD 97/0119 \*/** 
  
*Official Journal C 173 , 07/06/1997 P. 0010*

  

Proposal for a European Parliament and Council Decision concerning the fifth framework programme of the European Community for research, technological development and demonstration activities (1998 to 2002) (97/C 173/11) (Text with EEA relevance) COM(97) 142 final - 97/0119(COD)

(Submitted by the Commission on 30 April 1997)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission,

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

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

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

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

Whereas, in accordance with Article 4 (2) of Decision No 1110/94/EC of the European Parliament and of the Council of 26 April 1994 concerning the fourth framework programme of the European Community activities in the field of research, technological development and demonstration (1994 to 1998) (1), amended by Decision No 616/96/EC (2), the Commission is required to have an external assessment conducted into the management of and progress with Community activities carried out during the five years preceding that assessment, prior to presenting its proposal for a fifth framework programme; whereas that assessment, the conclusions thereof and the Commission's comments have been communicated to the European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions;

Whereas on 10 July 1996 the Commission adopted a communication (3) setting out the preliminary guidelines for the fifth framework programme, stressing the need for the latter to meet economic and social needs as a matter of priority; whereas that communication was followed by a first working paper of 20 November 1996 (4), which provided more details about the proposed objectives and the implementation mechanisms, and then a second working paper of 12 February 1997 (5), which set out in detail the possible content of the fifth framework programme;

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

Whereas the fifth framework programme should therefore focus, in the context of the first activity referred to in Article 130 g of the Treaty, on a limited number of topics covering activities for the research and development of generic technologies, actions which bring together this type of activity in a coherent whole, targeted strategically on one and the same mobilizing topic (hereinafter referred to as 'key actions`), and support for research infrastructures;

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

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

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

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

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

Whereas the Community's financial participation in the actions of the framework programme may be varied at the level of the specific programmes according to the nature of the activities concerned and the proximity to the market, in specific and duly justified cases, in compliance with international rules and the provisions of the Community framework for State aid for research and development (6), in particular points 5.12 and 5.13 thereof;

Whereas the criteria that have been laid down to choose the topics covered by the fifth framework programme and the related scientific and technological objectives take into account the abovementioned principles; whereas those criteria should also be applied to the implementation of the fifth framework programme in order to ensure consistency;

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

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

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

Whereas, in addition to the annual report to be submitted to the European Parliament and the Council pursuant to Article 130p of the Treaty, in accordance with the recommendations to be implemented in respect of transparency and sound and efficient management, it is necessary to adopt arrangements for the systematic examination of the progress of the fifth framework programme and its evaluation;

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

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

HAVE DECIDED AS FOLLOWS:

Article 1

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

2. The fifth framework programme shall, in accordance with Article 130g of the Treaty, comprise four Community activities. The first Community activity shall relate to the following three themes:

(a) unlocking the resources of the living world and the ecosystem;

(b) creating a user-friendly information society;

(c) promoting competitive and sustainable growth.

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

(a) confirming the international role of Community research;

(b) innovation and participation of small and medium-sized enterprises;

(c) improving human potential.

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

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

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

Article 2

1. The maximum overall amount for Community financial participation in the fifth framework programme shall be ECU [. . .] million.

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

Article 3

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

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

2. Implementation of the fifth framework programme may give rise, where necessary, to supplementary programmes within the meaning of Article 130k, to Community participation in research and development programmes undertaken by several Member States within the meaning of Article 130l, or to the setting-up of joint undertakings or any other structure within the meaning of Article 130n. It may also give rise to cooperation with third countries or international organizations within the meaning of Article 130m.

Article 4

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

Article 5

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

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

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

Article 6

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

(1) OJ No L 186, 18. 5. 1994, p. 1.

(2) OJ No L 86, 4. 4. 1996, p. 69.

(3) COM(96) 332 final.

(4) COM(96) 595 final.

(5) COM(97) 47 final.

(6) OJ No C 45, 17. 2. 1996, p. 5.

ANNEX I

CRITERIA FOR SELECTING THE THEMES AND OBJECTIVES OF COMMUNITY ACTIVITIES

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

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

Criteria related to social objectives

- improving the employment situation,

- promoting the quality of life and health,

- preserving the environment,

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

Criteria related to economic development and scientific and technological prospects

- areas which are expanding and create good growth prospects,

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

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

Criteria related to the Community 'value-added` and the subsidiarity principle

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

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

- addressing of problems arising at Community level or questions relating to aspects of standardization or connected with the development of the European area,

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

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

ANNEX II

BROAD LINES OF COMMUNITY ACTIVITIES - SCIENTIFIC AND TECHNICAL OBJECTIVES

I. THEMES AND ORGANIZATION OF THE FIFTH FRAMEWORK PROGRAMME

In accordance with Article 130g of the EC Treaty, the fifth framework programme will comprise four activities:

- the first activity covers the research, technological development and demonstration programmes,

- the second activity is aimed at promoting cooperation on research, technological development and demonstration with third countries and international organizations,

- the third activity concerns the dissemination and optimization of the results of research, technological development and demonstration activities,

- the fourth activity is intended to stimulate the training and mobility of scientists.

1. Content and organization of the first activity

The research, technological development and demonstration programmes will comprise:

- 'key actions`,

- activities for research and development of generic technologies,

- activities in support of research infrastructures.

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

(a) 'Key actions`

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

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

(b) Activities for the research and development of generic technologies

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

(c) Support for research infrastructures

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

2. Content and organization of the second, third and fourth activitiesThe horizontal themes are at the crossroads of the European Community's research policy and respectively its external policy, innovation policy, policy on education and training and the promotion of personal mobility, and its social and employment policy.

Each of them comprises:

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

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

3. The joint research centre

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

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

II. SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES

FIRST ACTIVITY

1. Unlocking the resources of the living world and the ecosystem

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

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

(a) Key actions

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

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

- the development of new processing methods to improve food quality,

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

- study of the role of food in preserving health, in particular from the point of view of nutrition, epidemiology and public health.

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

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

- the development of vaccines, especially against viral diseases,

- treatment and prevention strategies,

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

(iii) The living world and the ecosystem (III): the 'cell factory`

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

- new health products (for example, antibiotics and anti-cancer agents),

- waste biotreatment processes,

- new biological processes for the agri-food industry.

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

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

- treatment and purification technologies,

- technologies for monitoring the quality and the level of groundwater and surface waters,

- surveillance, early warning and communication systems,

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

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

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

- epidemiological studies,

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

- the development of processes to reduce causes and harmful health effects.

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

The aim is to mobilize the knowledge and technologies needed to implement innovative approaches to production and exploitation, adapted to recent adjustments in the common agricultural and fishery policies, while also providing the scientific basis for Community regulations. Priority areas include:

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

- non-food uses,

- methods of control,

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

(b) Activities for the research and development of generic technologies

Work will focus on priority research to support:

- the fight against age-related illnesses and health problems (e.g. Alzheimer's disease), degenerative diseases (in particular cancer and diabetes), cardiovascular diseases, diseases of genetic origin and rare diseases; research into genomes and the neurosciences,

- the improvement of health systems, the enhancement of health and safety at work, and the fight against drug-related public health problems,

- the fight against major natural and technological hazards through the development of forecasting, prevention, impact assessment and mitigation techniques,

- understanding of the processes and interactions involved in 'global change` on land, at sea and in the atmosphere, as well as their impact on ecosystems,

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

- the study of problems relating to biomedical ethics and bioethics in the context of a respect for fundamental human values (2),

- the study of the socioeconomic aspects of development of the life sciences and technologies and of environmental change within the perspective of sustainable development (the impact on society, the economy and employment).

c) Support for research infrastructures

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

2. Creating a user-friendly information society

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

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

(a) Key actions

(i) Information society (I): systems and services for the citizen

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

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

- as regards the public authorities: on system utilizing multimedia and tele-systems,

- as regards the environment: on intelligent systems for analysis, surveillance, management and early warning,

- as regards transport: on the advanced intelligent systems needed for management and associated teleservices.

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

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

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

- management systems for supplies and consumers, including interoperable payment systems,

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

(iii) Information society (III): multimedia content

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

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

- education and training: systems, services and software enabling the development and demonstration of new methods using multimedia, broad-band communications, simulation and virtual reality,

- new language technologies which help to make information and communications systems more user-friendly,

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

(iv) Information society (IV): essential technologies and infrastructures

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

- computing, communication and network technologies, together with their implementation and application,

- technologies and engineering for software and systems including high-quality statistics,

- mobile and personal communications and systems, especially satellite-related services,

- interfaces making use of the various senses,

- peripherals, subsystems and microsystems,

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

(b) Activities for the research and development of generic technologies

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

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

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

- real-time and large-scale simulation and visualization technologies and virtual presence technologies,

- quantum, photonic, bio-electronic technologies, and technologies for very large scale integration; ultra-high performance computers and super-intelligent networks.

(c) Support for research infrastructure

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

3. Promoting competitive and sustainable growth

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

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

(a) Key actions

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

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

- the elaboration, development and integration of new technologies for design, manufacturing, control and production, in particular using microengineering,

- information society technologies for 'intelligent` manufacturing (including flexible workshop systems and systems for flexible management of supply and distribution chains, embedded systems and tele-services for operation and maintenance and simulation and shared-work technologies),

- technologies to reduce resource utilization and promote reuse and recycling of waste and the development of clean processes and products based on the concept of 'life-cycle analysis`,

- new methods of organizing production and work and of using skills (including socio economic analyses).

(ii) Competitive and sustainable growth (II): sustainable mobility and intermodality

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

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

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

- the development of socioeconomic scenarios for the mobility of people and goods.

(iii) Competitive and sustainable growth (III): new perspectives in aeronautics

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

- the development and demonstration of advanced technologies for integrated and production, the reduction of energy consumption, emissions and noise for various aircraft concepts,

- the technological and economic feasibility of and the critical technologies for new-generation aircraft concepts,

- the development of technologies to improve operational safety.

(iv) Competitive and sustainable growth (IV): marine technologies

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

- for the development of advanced ships which are safe and efficient,

- for the use of the sea as an economic means of transporting goods and passengers (advanced port infrastructure, regional maritime transport systems) in conjunction with the key action on 'sustainable mobility and intermodality`,

- for the rational and sustainable exploitation of the sea as a source of energy and mineral resources (in particular offshore and subsea technologies).

(v) Competitive and sustainable growth (V): advanced energy systems and services (3)

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

- the main new and renewable sources of energy and their integration, in particular, into decentralized systems,

- technologies for the storage and distribution of energy,

- technologies for the clean production and use of fossil fuels and for the rational use of energy,

- the elaboration of scenarios on economy/environment/energy interactions.

(vi) Competitive and sustainable growth (VI): the city of tomorrow

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

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

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

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

(b) Activities for the research and development of generic technologies

The effort will be focused on the priority research needed: (4):

- to support the development of new and improved industrial materials and the processes for their manufacture: materials resistant to high temperatures and high pressure (e.g. for energy generation and engines); light materials (for transport and construction); functional materials (opto-electronics, biomaterials, sensors) designed and developed with ease of recycling in mind,

- for the development of new materials and production technologies in the coal and steel fields (5);

- for measurements and tests to support standardization, action to combat fraud, and the quality of products, and services (including the development of high-precision measuring instruments and certified reference measures and materials).

(c) Support for research infrastructures

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

SECOND ACTIVITY

1. Confirming the international role of Community research

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

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

- to promote scientific and technological cooperation between organizations and researches from third countries and from the Community, likely to produce significant and balanced benefits for both sides (cooperation for 'mutual benefit`),

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

- to enhance the position and role of Community research in the international scientific and technological arena,

- to prepare for the accession of the associated Central and East European countries (CEECs), to support the Euro-Mediterranen partnership, to stabilize the human potential of the CEECs and the newly independent States of the former Soviet Union (NIS) and to support development policy,

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

International scientific and technological cooperation will be implemented in with cooperation agreements, where these exist, through the specific 'international cooperation` activity and through account being taken of the international dimension of research in the other activities of the framework programme.

(a) Specific actions in the 'international cooperation` activity

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

- Cooperation with certain categories of country:

CEECs: promotion of their centres of excellence,

Mediterranean third countries: notably, regional aspects of managing the Mediterranean sea, support for socioeconomic development including the information society, preservation of cultural heritage,

NIS: support for their research and technological development potential, specific targeted actions (satellite applications, regional problems linked to the environment and health),

Developing countries (including Mediterranean and 'emerging economy` countries): study of the mechanisms and socioeconomic conditions of sustainable development (for example agro-industrial research, energy systems); support for integrating productivity requirements and respect for the environment into these countries' ecosystems (for example water management); work to prevent and combat major diseases specific to these countries and to make their public health systems more effective,

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

- Coordination with COST actions, the Eureka initiative and international organizations involved in research activity, coordination of activities pursued through the other programmes of the framework programme with one another, and with those pursued through the Community's other cooperation actions and with the Member States' cooperation activities.

(b) International cooperation pursued through the other framework programme activities

Four types of participation in the specific programmes are foreseen:

- full association with the framework programme: participation and Community funding for third country entities under similar conditions to Member States entities (EEA, some CEECs, Israel, Switzerland),

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

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

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

THIRD ACTIVITY

1. Innovation and participation of SMEs

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

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

The general objectives of Community action in this area are:

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

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

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

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

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

(a) Action specific to the 'innovation and participation of SMEs` activity

(i) for innovation

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

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

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

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

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

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

(ii) for SMEs

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

(b) Interaction with related actions in the other framework programme activities

(i) for innovation

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

(ii) for SMEs

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

- 'cooperative research` activities enabling at least three mutually independent SMEs from at least two Member States to entrust jointly the resolution of their common technological problems to third legal entities,

- activities to support and encourage SME participation in collaborative and cooperative research projects (for example on the basis of 'exploratory awards`).

FOURTH ACTIVITY

1. Improving human potential

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

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

The general objectives of this activity, to be realized in concert with related actions elsewhere in the framework programme, are:

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

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

- to encourage better use of research infrastructure,

- to develop the socioeconomic knowledge base for a better understanding of key social and economic topics linked to the objectives of the framework programme and for the development of science and technology policy and other Community policies.

(a) Action specific to the 'improving human potential` activity

This activity is structured in five main lines:

(i) Reinforcing the Community's human research capital

The objective is to establish:

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

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

(ii) Improving the utilization of major research infrastructures

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

(iii) Promoting scientific and technological excellence

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

(iv) Harnessing socioeconomic research to the needs of society

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

(v) Supporting the development of science and technology policies in Europe

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

(b) Interaction with related actions in the other framework programme activities

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

(1) There will be specific coordination of the activities relating to 'space technology` applications carried out within each of the three thematic programmes.

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

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

(3) Research activities relating to controlled thermonuclear fusion are described in detail in the proposal for the fifth framework programme of research and training pursuant to the Euratom Treaty.

(4) The research to support nuclear safety and security in the programme on promoting competitive and sustainable growth is outlined in the proposal for the fifth Euratom framework programme.

(5) In the perspective of an increasing implementation within the framework programme, of activities currently being carried out on the basis of the ECSC Treaty, which expires in 2002.

ANNEX III

FIFTH FRAMEWORK PROGRAMME (1998 to 2002) AMOUNTS AND BREAKDOWN

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ANNEX IV

RULES FOR FINANCIAL PARTICIPATION BY THE COMMUNITY

The European Community will contribute financially to the research and technological development activities, including demonstration activities, hereinafter referred to as 'indirect RTD actions` carried out under the programmes implementing the framework programme. In addition, it will carry out directly research and development activities hereinafter referred to as 'direct RTD actions`.

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

1. Indirect RTD actions

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

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

(a) Shared-cost actions

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

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

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

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

- Support for access to research infrastructures

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

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

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

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

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

(b) Training fellowships

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

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

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

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

(c) Support for networks

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

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

(d) Concerted actions

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

(e) Accompanying measures

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

In the Decisions adopting the specific programmes implementing the fifth framework programme there can be no derogations from the financial participation rates set above, with the exception of duly justified special cases. The Decisions may spell out in more detail the indirect RTD actions described above, supplement them or subject them to additional conditions or limitations.

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

2. Direct RTD actions

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

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

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