CELEX: 51998PC0008(01)
Language: en
Date: 1998-01-14
Title: Second modified 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)

COMMISSION OF THE EUROPEAN COMMUNITIES
                                     Brussels, 14.01.1998
                                     COM(1998) 8 final
                                     97/0119 (COD)
                                     97/0120 (CNS)
               Second modified proposal for a
      EUROPEAN PARLTAMENT AND COUNCIL DECISTON
CONCERNING THE 5TH FRAMEWORK PROGRAMME OF THE
EUROPEAN COMMUNITY FOR RESEARCH, TECHNOLOGICAL
   DEVELOPMENT AND DEMONSTRATION ACTIVITIES
                         (1998-2002)
               Second modified proposal for a
                    COIJNCIL DECISION
CONCERNING THE 5TH FRAMEWORK PROGRAMME OF THE
EUROPEAN ATOMIC ENERGY COMMUNITY (EURATOM) FOR
        RESEARCH AND TRAINING ACTIVITIES
                         (1998-2002)
               (presented by the Commission)
 ---pagebreak---  ---pagebreak---                            EXPLANATORY MEMORANDUM
On 30 April 1997, the Commission adopted its proposals for Decisions concerning the
5th Framework Programme for Research and Technological Development, in accordance
with the EC and Euratom Treaties. At the.end of July, the Commission supplemented its
proposals by including an overall amount of ECU 16.3 billion for the 5th Framework
Programme as a whole for the period 1998-2002.
The 5th Framework Programme is based on a new approach, the keywords of which are
concentration and flexibility. The Commission is convinced that research efforts should.
as a matter of priority, address issues of public concern (employment, quality of life.
competitiveness), and that only a limited number of themes should be selected. in order
to increase the impact of the measures and resources deployed.
The proposals have been examined by the two bodies involved in the co-decision process
relating to the EC Framework Programme, namely the Council and European Parliament.
as well as by the Economic and Social Committee and the Committee of the Regions.
The latter two bodies h'ave already issued favourable opinions.
The European Parliament delivered its opinion on first reading on 17 and
18 December 1997. In order to expedite the discussions in Parliament and the Council.
the Commission has decided to revise its proposals, but without calling into question the
fundamental principles that have guided it in its work.
The intention is to ensure that the discussions in the Research Council on
12 February 1998 culminate in the adoption of a common position on the EC Programme
and political agreement on the Euratom Programme.
Examination by the Council
Pending ihe opinion of the Eurepean Parliament and subject to examination of that
opinion, substantial progress has alre.'ady been made with the examination of the texts, at
the Research Council meetings on 15 May 1997 and 10 November 1997.
While it was not yet able to reach agreement on the structure of the 5th EC Framework
Procramme, the 10 November Council nevertheless manased to reach a consensus on the
content of most of the key actions. In so doing, it ondorsed the opinion.of the Scientific
and Technical Research Committee (CREST) adopted in mid-October.
Examination by the Europea^Parliament
The amendments adopted by Parliament on 17 and 18 December 1997 mainly concern
the structure and the key actions of the EC Framework Programme. In general, they
reflect the fact that it strongly supports the principles of concentration and flexibility
upheld by the Commission in its original proposals.
                                                                                            1^
 ---pagebreak--- In particular, Parliament proposes an additional thematic programme lbr the EC
Framework Programme. Where the number of key actions is concerned. Parliament
advocates a slight increase; the general thrust of the key actions is to a large extent in
accordance with the majority position within the Council.
With regard to the overall amount, Parliament has given an important signal by
proposing ECU 16.7 billion.
The Commission's position
The amended proposals take over, in their spirit and their content, if not in their precise
wording, several of Parliament's amendments where they make a major contribution and
are likely to facilitate the subsequent negotiations.
This applies in particular to the number of thematic programmes under the EC
Framework Programme; a majority of the Council delegations has come out in favour of
five thematic programmes, whereas the European Parliament proposes four. The
Commission takes the view that this figure can be the basis for a balanced compromise..
However, some of Parliament's amendments concerning the wording of the themes and
the detailed formulation of their scientific and technological content reflect an approach
by sectors and by disciplines which departs from that advocated by the Commission. In
addition, where the points of view converge as to the substance. the Commission's
amended proposals are based on suggestions made by the Council. This is the case in
particular with the formulation of the texts of the new key actions.
The major amendments concern the EC Framework Programme. They concern:
• The structure of the First action which now comprises the following four thematic
   programmes [Article 1(2); Article 3(1); Annex II, Annex III]:
    (a)  improving the quality of life and the management of living resources;
    (b)  creating a user-friendly information society;
    (c)  promoting competitive and sustainable growth;
    (d)  preserving the ecosystem.
    In this reconfiguration, which basically redefines the first and third thematic
   programmes and creates a fourth, the Commission is encouraging the integrated.
    multidisciplinary and multisectoral approach pursued so far. The first programme is
    refocused around concerns relating to health, the quality of life and the management of
    living resources, while the new (fourth) programme addresses the safeguarding of the
    natural resources heritage.
    Where the latter is concerned, the Commission considers that the interactions between
    environmental and energy issues are sufficiently strong to justify an additional
    programme on this theme.
    The third programme will now focus mainly on a combination of issues relating to
    production and transport.
                                                                                            -i b
 ---pagebreak--- • The kev actions [Annex II]
   - The two key actions "health and food" and "environment and health" of the
       programme "Improving the quality of life and the management of living
       resources" have major basic features in common, and have therefore been merged
       into one single key action "health, food and environmental factors" and
       reformulated in such a way as to limit the number of subjects [Annex II. II. 1 (a)(i)]:
   - The key action "advanced energy systems and services" is split into two separate
       key actions "promoting the sustainable use of energy ' and "developing clecmcr,
       more competitive and diversified energy supply" and transferred to the new
       programme "Preserving the ecosystem" with the content reformulated in the light
       of CREST's opinion [Annex II, II.4(a)(iii) and (iv)];
   - Two additional key actions are created: the first on "the ageing populaiion" within
       the programme "Improving the quality of life and the management of living
       resources" [Annex II, II.l(a)(iv)] and the second "global environmental changu
       and climate" within the new programme "Preserving the ecosystem" [Annex II,
       II.4(a)(ii)] with in both cases the content formulated to some extent in the light of
       CREST's opinion;
   - An indent on the development of the scientific base for the sustainable use of
       marine resources is included in the key action 'global environmental change and
       climaté" [Annex II, II.4(a)(ii)];
   - The title of the key action "The city of tomorrow' is amended to include the
       cultural heritage [Annex II, II.4(a)(iv)].
• As regards the overall allocation and distribution of funds. it is proposed that the
   figures proposed by the Commission for the overall amount of funding and its
   breakdown over the four activities should be confirmed.
   As regards the breakdown of resources within the first activity. the changes made
   reflect the revised structure on the basis of four programmes:
                                                                                     MECU
   (a) improving the quality of life and the management of living resources:         2650
   (b) creating a user-friendly information society; "                               3925
   (c) promoting competitive and sustainable growth;                                 3100
   (d) preserving the ecosystem.                                                     2100
Conclusion
By adopting its revised proposals on 14 January, the Commission is fulfilling its
commitment to provide the basis for reaching a compromise at the Research Council
meeting on 12 February 1998. It is vital that progress should be made at that meeting. in
order to ensure that the timetable for the adoption of the 5th Framework Programme and
the specific programmes can be adhered to, and that the decisions can be implemented
from the beginnintz of 1999.
                                                                                               7c
 ---pagebreak---    SECOND AMENDED PROPOSAL FOR A DECISION OF THE EUROPEAN PARLIAMENT
    AND OF THE COUNCIL CONCERNING THE FIFTH FRAMEWORK PROGRAMME OF
   THE EUROPEAN COMMUNITY FOR RESEARCH, TECHNOLOGICAL DEVELOPMENT
                            AND DEMONSTRATION ACTIVITIES (1998-2002)
               ORIGINAL PROPOSAL                                     AMENDED PROPOSAL
THE EUROPEAN PARLIAMENT AND THE                       THE EUROPEAN PARLIAMENT AND THE
COUNCIL OF THE EUROPEAN UNION,                        COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the          Having rcgard to the Treaty establishing the
European Community, and                 in particular European        Community, and in           particular
Article 130i(l) thereof,                              Article 130i(l) thcreof,
Having regard          to  the   proposal  from   the Having rcgard          to   the  proposal  from    the
Commission1,                                          Commission,1
Having regard to the opinion of the Economic and      Having regard to the opinion of the Economie and
Social Committee2,                                    Social Committce,2
Having regard to the opinion of the Committce of      Having rcgard to the opinion of the Committee of
the Regions ,  3                                      the Regions,3
Acting in accordance with the procedure laid down     Acting in accordance with the procedure laid down
in Article 189b of the Treaty,                        in Article 189b of the Treaty.
Whereas a multiannual framework programme             Whereas a multiannual framework programme
covering all Community activities, including          covering all Community activities, including
demonstration activities, in the field of research    demonstration activities, in the field of research
and technological development should be adoptcd;      and technological development should be adopted;
Whereas, in accordance with Article 4(2) of           Whereas, in accordance with Article 4(2) of
Decision No 1110/94/EC of the European                Decision No 1110/94/EC of the European
Parliament and of the Council of 26 April 1994        Parliament and of the Council of 26 April 1994
concerning the fourth framework programme of          concerning the fourth framework programme of
the European Community activities in the field of     the European Community activities in the field of
research,        technological     development   and  research,        technological     development    and
demonstration (1994 to           1998)^ amended by    demonstration (1994 to 1998),4 amended by
                                                      Decision No 616/96/EC,5 the Commission is
Decision No 616/96/EC-' the Commission is
                                                      required to have an external assessment conducted
required to have an external asscssment conducted
                                                      into the management of and progress with
into the management of and progress with
                                                      Community activities carried out during the five
Community activities carried out during the five
                                                      years preceding that assessment, prior to
years preceding that assessment, prior to
                                                      presenting its proposal for a Fifth Framework
presenting its proposal for a Fifth Framework
                                                      Programme; whereas that asscssment, the
Programme; whereas that assessment, the
                                                       1
 ^ J N o C 173, 7.6.1997, p. 10.                          OJ No C 173, 7.6.1997, p. 10, and OJ No C 291,
                                                       25.9.1997, p. 15.
 2                                                     2
   O J N o C 3 5 5 , 21.11.1997, p. 38.                  OJ No C 355, 21.11.1997, p; 38.
 3                                                     3
   OJ No C 379,15.12.1997, p. 26.                        O J N o C 3 7 9 , 15.12.1997, p. 26.
 4                                                     4
   O J L 126, 18.5.1994, p. I.                           O J L 126. 18.5.1994, p. 1
 5                                                     5
   O J N o L 8 6 , 4.4.1996, p. 69.                      OJN0L86, 4.4.1996, p. 69
                                                      ut
 ---pagebreak--- conclusions thereof and the Commission's              conclusions thcrcof and the Commission's
comments have been communicated to the                commcnts have bccn communicalcd to the
European Parliament, the Council, the Economic        Europcan Parliamcnt, thc Council, thc Economic
and Social Committee and the Committee of the         and Social Committce and the Commiltce of the
Regions;                                              Regions;
Whereas on 10 July 1996 the Commission adopted        Whcrcas on 10 July 1996 the Commission adopted
a communication6 setting out the preliminary          a communicalion6 setting out the prcliminary
guidelines for the Fifth Framework Programme,         guidclines for the Fifth Framework Programme,
stressing the need for the latter to meet economic    strcssing thc nccd for the lattcr to mcct economic
and social needs as a matter of priority; whercas     and social nccds as a matter of priority; whereas
that communication was followed by a first            that communicalion was followcd by a first
                                                      working papcr of 20 November 1996,7 which
working paper of 20 November 1996,7 which             providcd more dctails about the proposed
provided more details about the proposed              objcctivcs and the implcmentation mechanisms,
objectives and the implcmentation mechanisms,
                                                      and thcn a sccond working paper of
and then a second working paper of
                                                      12 Fcbruary 1997,8 which set out in detail the
12February 1997^ which set out in detail the          possible contcnt of the Fifth Framcwork
possible content of the Fifth Framework               Programmc;
Programme;
                                                      Whcrcas,       following     the      Commission's
                                                      communication of November 1994,9 the Council
                                                      concludcd in June 1995 that appropriate steps
                                                      should bc takcn to promote coopcration and
                                                      coordination bctween the Member States, in
                                                      accordance wilh Article 130h of the Treaty;
Whereas the objectives of the Community's             Whcrcas the objcctivcs of the Community's
research and technological development policy         rescarch and tcchnological development policy
reflect current thinking about the challenges which   rcfiect currcnt thinking about the challcnges which
the Community must meet and the opportunities         the Communily must meet and the opportunities
which it intends to address relating, as a matter of  which it intcnds lo address relating, as a matter of
priority, to the problems of society, industrial      priorily, to the problems of society, the
competitiveness, job creation, quality of lifc,       improvcment of the international competitiveness
globalisation of knowledge, contributing to the       of Community industry, economic growth, job
development and         implementation of the         crealion, environment, quality of life, globalisation
Community's policies in line with Article 130f,       of knowlcdge, contributing to the development and
paragraph 1 of the Treaty, and the role of the        implcmcntation of the Communily's policies in
Community in the world as a focal point of            linc with Article 13()f, paragraph 1 of the Treaty,
scientific and technological excellence;              and thc rolc of thc Community in the world as a
                                                      focal point of scicntific and technological
                                                      exccllcncc;
Whereas the FifCh Framework Programme should          Whercas the Fifth Framework Programme should
therefore focus, in the context of the first aclivity thcreforc focus, in the conlext of the first activity
referred to in Article 130g of the Treaty, on a       rcfcrrcd to in Article 130g of the Treaty, on a
limited number of topics covering activities for the  limitcd numbcr of topics covering rcsearch and
research and development of generic technologies,     lcchnological dcvclopmcnt activitics of a generic
actions which bring together this type of activities  nature, aclions which bring togelhcr this type of
 6                                                    6
   COM(96)332 final.                                     COM(96)332 final.
 7                                                    7
    COM(96)595 final.                                    COM(96)595 final.
 8                                                    8
    COM(97)47 final.                                     COM(97)47 final.
                                                      9
                                                         COM(94)438 final.
 ---pagebreak--- in a coherent whole, targeted strategically on one       activilics in a cohcrcnt whole, targeted
and the same mobilising topic (hereinafter rcferrcd      stralcgically on onc and the samc mobilising topic
to as "key actions"), and support for research           (hcrcinaflcr rcfcrrcd to as "kcy aclions"), and
infrastructures;                                         support for rcscarch infrastructures;
Whereas, in addition, the Fifth Framework                Whcrcas, in addition, the Fifth Framework
Programme should, in the context of the second,          Programmc should, in.the contcxt of the second,
third and fourth activities referred to in               third and fourlh activities refcrred to in
Article 130g of the Treaty, include topics covering      Article 130g of the Treaty, include topics covering
aspects specific to them and others, for horizontal      aspccts spccific to them and othcrs, for horizontal
coordination, in support of and interacting with         coordinalion, in support of and inlcracting with
 activities of the same type carried out under the       activitics of the same type carncd out under the
first activity;                                          firsl aclivity;
 Whereas       this    approach     presupposes     the  Whcrcas        this    approach    presupposes     the
 maintenance and strengthening of the potential for      mainlenancc and strenglhening of the potential for
 scientific, technical and technological excellence      scicnlific, tcchnical and technological excellence
 existing within the Community taking full account       cxisting within thc Community taking full account
 of the efforts made by its main international           of the increascd efforts in research . and
 partners; vvhereas this potential concerns both         tcchnological dcvclopmcnt investmenls made by its
 physical and non-tangible infrastructure and the        main intcmational partners; whercas this potential
 human resources;                                        conccms both physical and                non-tangible
                                                         infrastructurc and thc human resourccs;
 Whereas it is appropriate, in this same framework,      Whcrcas it is appropriate, in this same framcwork,
 to place special emphasis on small and medium-          to placc spccial cmphasis on small and medium-
 sized enterprises (SMEs), vvhich generate a great       sized cntcrpriscs (SMEs), which generate a great
 deal of employment, on the diffusion and transfer       dcal of cniploymcnt, on the diffusion and transfer
 of results, on innovation and on the training and       of rcsulls, on innovation and on the training and
 mobility of researchers;                                 mobility of rcsearchers, encouraging              the
                                                         emcrgcnce of a ncw generation of enterprising
                                                          rcscarchcrs with innovative ideas;
                                                          Whereas rescarch and technological development
                                                          can slimulale cconomic growth and, as a result,
                                                          lcad to thc crcalion of lasling cmploymcnt;
                                                          Whcreas promoting sustainable growth for
                                                          Europe's economy and sustainable competitiveness
                                                          for ils industry rcquires strengthcning its science
                                                          and tcchnology base in the mcdium or long tcrm;
  Whereas the formulation and implementation of           Whcreas thc formulation and implcmentation of
 the Community's policies and actions must take           thc Community's policics and actions must take
  into account the objectives related to economic and     into account thc objcctives rclatcd to economic and
  social cohesion; whereas, in accordance with this       social cohcsion; whcrcas, in accordance wilh this
 principle, the framework programme must                  principlc, thc framcwork programme must
 contribute to the harmonious development of the          conlributc lo thc harmonious devclopmcnt of the
  Community         while    maintaining      scienlific  Conununity         while    maintaining     scientific
  excellence as an essential criterion; whereas it is     exccllcncc as an csscntial criterion; whereas it is
 therefore necessary to strengthen the synergy            Ihercfore ncccssary to strengthen the synergy
 between research and technological development           bctwccn rcscarch and technological development
  activities and the action undertaken by the             activilics and the aclion undcrlaken by the
  Community through the structural funds;                 Community through the structural funds;
  Whereas, in accordance with the principles of           Whcrcas, in accordance with the principles of
  subsidiarity and proportionality as provided for in     subsidiarity and proportionality as provided for in
  Articlc3b of the Treaty, the objectives of              Articlc 3b of thc Trcaty. the objcctives of
  Community         research     and      technological   Community          rcsearch     and     lechnological
 ---pagebreak--- development policy reflected in the Fifth            dcvclopmcnt policy rcflcclcd in the Fifth
Framework Programme cannot be sufficicntly           Framcwork Programmc cannol bc sufficicntly
achieved by the Member States', since they require   achicvcd by thc Mcmbcr States, since thcy require
the establishment of a critical mass in human and    the establishmcnt of a critical mass in human and
financial terms and a combination of expertise       financial tcrms and a combination of expertise
exceeding the confines of a- single Member State;    excccding the confines of a single Member State;
whereas these objectives can therefore, in view of   whcrcas thcse objcctives can therefore, in view of
the multiplier effects that they generate, be better thc multiplicr cffccts that thcy gcnerate, be better
achieved at Community level; whereas this            achicvcd at Community level; whereas this
Decision is limited to the minimum required to       Dccision is limitcd to the minimum required to
achieve these objectives and does not exceed what    achicvc thcsc objcctivcs and does not exceed what
is necessary to this end;                            is ncccssary to this cnd;
Whereas the Community's financial participalion      Whcrcas thc Community's financial participation
in the actions of the framework programme may be     in the actions of the framcwork programme may be
varied at the level of the specific programmes       varicd at the lcvcl of the specific programmes
according to the nature of the activities concerncd  according to the nature of the activities concerned
and the proximity to the market, in specific and     and the proximily to the markct, in specific and
duly justified cases, in compliance with             duly justificd cascs, in accordance with the
international rules and the provisions of the        principles laid down in this Dccision, especially in
Community Framework for State aid for research       Anncx IV thcre to , and in compliance with
and development,       in particular points 5.12 and inlcrnational rulcs and the provisions of the
5.13 thereof;                                        Community Framcwork for State aid for research
                                                     and dcvclopmcnt10 in particular poinls 5.12 and
                                                     5.13 thcrcof;
                                                     Whcreas thc budgetary authority will make every
                                                     efforl to rcach the maximum overall amount
                                                     providcd that thc financial perspcctive for the
                                                     forlhcoming pcriod is compalible with the justified
                                                     nccds of all thc olhcr policies;
                                                     Whcrcas thc maximum overall amount allocated to
                                                     thc Fiflh Framcwork Programme will be revised in
                                                     the cvcnt of thc acccssion of new Mcmber States
                                                     bcforc thc expiry of the framcwork programme;
                                                     Whcreas thc administrative expenditure arising
                                                     from the rcscarch aclivities should be financed
                                                     within thc limits of thc gencral amount allocated to
                                                     the framcwork programme, and whereas it should
                                                     howcvcr bc includcd in thc budgct in a transparent
                                                     fashion; whcrcas thc budgctary authorily requires
                                                     of thc Commission a dctailed, comparable analysis
                                                     of     administralive     cxpcndilure    and     the
                                                     implcmentation thcrcof;
Whereas the criteria that have been laid down to     Whcrcas thc critcria that have bccn laid down to
choose the topics covered by the Fifth Framework     choose thc topics covcrcd by the Fiflh Framework
Programme and the related scientific and             Programme and the relatcd scicntific and
technological objectives take into account the       lcchnological objcctivcs take into account the
above-mentioned principles;           whereas those  abovc-mcntioncd principles;         whereas those
criteria should also be applied to the               critcria should also be applicd to the
implementation        of the Fifth        Framework  implcmcnlalion       of the Fiflh        Framework
Programme in order to ensure consistency;            Programmc in ordcr to ensure consistcncy;
 9                                                    10
   O J C 4 5 , 17.2.1996, p. 5                           OJC45, 17.2.1996, p. 5.
 ---pagebreak--- Whereas, in the implementation of the Fiflh
Framework Programme, a fair balance must be
struck within the themes and in parlicular betwccn
the activities for research and development of
generic technologies and the key actions, bctwecn
the different themes of the Fifth Framework
Programme, aitd 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       Whereas ihc Joint Research Centre (JRC) will
towards the implementation of the framework             implcmcnt dircct research and lcchnological
programme in the areas of activities in which it        dcvclopmcnt actions through research and
provides impartial and independent expertise and        scienlific and tcchnical support activilies of an
 the scientific and technical support needed for        instilulional charactcr whcre it has spccial or even
 implementation of the various Community                unique cxpcrtisc and facilities in ihc Community
 policies, and in addition, it will participate, in the or whcrc it is taskcd with activilies necessary for
 context of consortia, in carrying out research         the framing and implementation of Community
 activities foreseen by way of indirect actions;        policics and tasks incumbent on the Commission
                                                        pursuant lo the Trcaly which require the JRC's
                                                        impartiality; in addition it will participate,
                                                        progressively in a competitive approach, in the
                                                        context of consortia, in carrying out research
                                                        activitics forcsccn by way of indircct aclions;
 Whereas it is necessary to take into account the       Whcrcas it is nccessary to take into account the
 ethical aspects of advances in knowledge and           ethical aspccts of advances in knowledge and
 technologies and their application, and to conduct     tcchnologics and their application, and to conduct
  research activities in compliance with fundamental     research activitics in compliance with fundamental
 ethical principles and with the protection of          ethical principles and with the protection of
  privacy;                                              privacy;
  Whereas, in addition to the annual report to be        Whereas, in addition to the annual report to be
  submitted to the European Parliament and the           submitlcd to the European Parliament and the
  Council pursuant to Article 130p of the Treaty, in     Council pursuant to Article 130p of the Treaty, in
  accordance with the recommendations to bc              accordancc with ihc recommcndations to be
  implemented in respect of transparency and sound       implcmcntcd in rcspcct of transpnrcncy and sound
  and efficient management, it is necessary to adopt     and cfficicnt managcmcnt, it is ncccssary to adopt
  arrangements for the systematic examination of the     arrangemcnts for thc systcmatic examination of the
  progress of the Fifth Framework Programme and          progrcss of thc Fiflh Framework Programme and
  its evaluation;                                        its evaluation;
                                                         Whercas the Europcan Parliamcnt has expressed
                                                         its inlcnlion of sclting up mechanisms allowing for
                                                         scrutiny by ils Membcrs of the implcmentation of
                                                         the framcwork programme, while not impinging
                                                         upon thc Commission's executivc rolc;
                                                         Whcrcas ihc Communily cqual opportunities
                                                         policy must bc lakcn into account in the
                                                         implcmcnlation of the Fifth Framework
                                                         Programme.
  Whereas in order to ensure consistency bctween Whcrcas in ordcr to ensure consislency between
  the research activities undertaken under the Treaty the rcscarch activiiics undertaken undcr the Treaty
  establishing the European Community and those establishing the European Community and those
  carried out under the Euratom Treaty, the Decision carricd out undcr the Euratom Treaty, the Decision
  concerning the framework programme for nuclear conccming thc framcwork programme for nuclear
  research and training activities should be adoptcd rescarch and training aclivitics should be adopted
 ---pagebreak--- at the same time as and for thc same pcriod as this    at thc samc limc as and for thc same pcriod as this
framework programme                                    framcwork programmc
Whereas the Scientific and Technical Research          Whcrcas thc Scicnlific and Technical Research
Committee (CREST) has been consulted,                  Commillcc (CREST) has bccn consulted.
HAVE DECIDED AS FOLLOWS:                               HAVE DECIDED AS FOLLOWS:
                        Article 1                                              Article 1
        A multiannual framework programme for          1.      A mulliannual framcwork programme for
        all    Community activities,         including         all    Communily        activities,  including
        demonstration activities, in the field of              dcmonstralion activities, in the ficld of
        research and technological development,                rcscarch and technological dcvelopment,
        hereinafter referred to as the "Fifth                  hcrcinaflcr rcferrcd to as the "Fifth
        Framework Programme", is hereby adopted                Framcwork Programme", is hereby adopted
        for the period 1998-2002.                              for the pcriod 1998-2002.
        The Fifth Framework Programme shall, in        2.      Thc Fiflh Framcwork Programme shall, in
        accordance with Article 130g of the Treaty,            accordance with Article 130g of the Treaty,
        comprise four Community activities. The                comprisc four Community activities. The
        first Community activity shall relate to the           first Community activity shall relate to the
        following three themes:                                following four thcmcs:
        (a) unlocking the resources of the living              (a) improving the qualily of life and the
        world and the ecosystem;                               managcmcnt of living rcsources;
        (b) creating a user-friendly information               (b) crcaling a user-friendly information
        society;                                               socicly;
        (c) promoting competitive and sustainable              (c) promoting compctitive and sustainable
        growth.                                                growth;
                                                               (d) prcserving the ecosystem.
        The second, third and fourth Community                 Thc sccond, third and fourth Community
        activities shall relate to the following three         aclivilics shall rclate to the following three
        themes respectively:                                   themes respectively:
        (a) confirming the international role of               (a) confirming the inlcrnational role of
        Community research;                                    Communily research;
        (b) innovation and participation of small              (b) innovation and participation of small
        and medium-sized enterprises;                          and mcdium-sizcd cntcrpriscs;
        (c) improving human potenlial.                         (c) improving human potential.
        The latter three themes will also be taken             The lattcr thrce themes will also be taken
        into account in the context of the first               into account in the context of the first
        Community activity.                                    Comnuinity activity.
        The criteria for selecting the thcmes                 Thc critcria for sclccling the themes
        referred to in paragraph 2 and the related             rcfcrrcd to in paragraph 2 and the related
        objectives are set out in Annex I. They will           objcctivcs are sct out in Anncx I. They will
        apply for the implementation of the Fifth              apply for thc implementation of the Fifth
        Framework Programme.                                   Framcwork Programme.
        The general outlines of the Community                  Thc gcncral outlincs of the Community
        activities, their scientific and technological         aclivilics, thcir scicntific and technological
        objectives and the related priorities arc sct          objcclivcs and thc relalcd priorilies are set
        out in Annex II.                                       out in Anncx II.
 ---pagebreak---                Article 2                                         Articlc 2
The maximum overall amount for                   Thc maximum ovcrall amount for
Community financial participation in the         Communily financial participation in the
Fifth Framework Programme shall be ECU           Fifth Framcwork Programme shall be ECU
14 833 million.                                   14 833 million.
                                                 If this amount is consislcnt with the
                                                 financial pcrspcctive for the period
                                                 2000-2002, it shall be dccmed to be
                                                 confirmcd.          Otherwise, the annual
                                                 appropriations allocatcd by the budgetary
                                                 authority shall be consistcnt with the
                                                 financial pcrspective for each of the years
                                                 in that pcriod, in compliance with the
                                                 priorities set in this Decision.
                                                 Thc amount rcfcrred to in the first
                                                 paragraph of this Article may be rcvised in
                                                 ihc cvcnt of the acccssion of new Mernber
                                                 States bcfore the expiry of the framework
                                                 programmc.
Annex III fixes the respective shares in         Anncx III fixes the respeclive shares in
each of the Community activities envisaged       cach of the Community activities envisaged
 in Article 1 and indicates the breakdown        in Articlc 1 and indicatcs the breakdown
between the themes in the first Community        bclwccn thc thcmcs in the first Community
activity defined in Article 1(2).                aclivity dcfincd in Article 1(2).
                                                   All thc administrative expcnditure arising
                                                   from ihc rcscarch activities shall be paid
                                                   from ihc ovcrall amount allocated to the
                                                   programme. It shall appear in the same
                                                   way as other comparable administrative
                                                   expcnditure in the Community budget.
                                                   Thc Commission shall communicate each
                                                   ycar, with the preliminary draft budget,
                                                   dctailcd      comparable,      analyses     of
                                                   administrative expenditurc and the
                                                   implcmcntalion thereof.
                Article 3                                         Article 3
The Fifth Framework Programme shall be           The Fifth Framcwork Programme shall be
implemented through           seven    specific  implcmcnlcd        through     eight    specific
programmes, three of which correspond to         programmcs, four of which corrcspond to
the three themes of the first Community          ihc four thcmcs of ihc first Community
activity, three are linked to the second, third  aclivity, ihrcc arc linkcd to the sccond, third
and      fourth      Community        activities and      fourth       Community       activities
respectively, and one is a programmc             rcspcctivcly, and one is a programme
specific to the Joint Research Centre.           spccific lo thc Joint Research Centre.
Each specific programme shall specify the        Each spccific programme shall specify the
detailed rules for its implementation, fix its   dctailcd nilcs for its implcmcnlation, fix its
duration and provide for the means deemed        duration and providc for thc mcans deemed
necessary.                                       ncccssary.
 ---pagebreak---        Implementation of the Fifth Framework                  Implcmcnlation of the Fifth Framework
       Programme may give rise, where necessary,              Progranunc may give risc, whcrc ncccssary,
       to supplementary programmes within the                 to supplcnicnlary programmcs within the
       meaning of Article 130k, to Community                  mcaning of Article 130k, to Community
       participation in research and development              participation in research and dcvclopment
       programmes        undertaken     by    several         programmes        undcrtaken     by    several
       Member States within the meaning of                    Mcmbcr Stales within the mcaning of
       Article 1301, or to the setting-up of joint            Article 1301, or to the sctting-up of joint
       undertakings or any other structure within             undcrlakings or any other stnicture within
       the meanihg of Article 130n. It may also               the mcaning of Article 130n. It may also
       give rise to cooperation with third countrics          givc risc to coopcration with third countries
       or international organisations within the              or inlcrnalional organisalions within the
       meaning of Article 130m.                               mcaning of Arliclc 130m.
                      Article 4                                              Articlc 4
The detailed rules for financial participation by the  The dclailcd rulcs for financial participalion by the
Community in the Fifth Framework Programme             Community in the Fifth Framcwork Programme
shall be those laid down in accordance with the        shall bc thosc laid down in accordance wilh the
special provisions concerning research and             spccial provisions concerning rcsearch and
technological development appropriations in the        technological dcvelopment appropriations in the
Financial Regulation applicable to the general         Financial Rcgulation applicable to the general
budget of the European Communities, as                 budgct of thc Europcan Communities, as
supplemented by Annex IV to this Decision.             supplcmcnlcd by Anncx IV to this Decision.
                       Article 5                                              Article 5
       The Commission shall examine each year,                Thc Commission shall examine each year,
       with the help of appropriately qualified               with thc hclp of approprialcly qualified
       independent experts, the implementation of             indcpcndcnt cxpcrts. the implcmentation of
       the Fifth Framcwork Programme and its                  ihc Fifth Framcwork Programme and its
       specific programmes in the light of the                spccific programmes in the light of the
       criteria set out in particular in Annex I. It          critcria sct out in particular in Annex I. It
       shall assess, in particular, whether the               shall asscss, in particular, whcthcr the
       objectives, priorities and financial resources         objcclivcs, priorities and financial resources
       are still appropriate to the changing                  arc slill appropriate to ihe changing
       situation.    Where appropriate, it shall              situalion.    Where appropriate, it shall
       submit proposals to adapt or supplement the            submit proposals to adapt or supplement the
       framework programme and/or the specific                framcwork programme and/or the specific
       programmes.                                            programmcs.
       Before submitting its proposal for a                   Bcforc submilting its proposal for a
       Sixth Framework           Programme,        the        Sixth Framework           Programme,        the
       Commission shall have an external                      Commission shall have an external
       assessment conducted by independent                    asscssmcnt conducted by independent
       high-level expcrts into the implementation             high-lcvcl cxpcrts into the implementation
       of Community activities carricd out during             of Communily activitics carried out during
       the five years preceding that assessment in            thc fivc ycars preccding that assessment in
       the light of the criteria set out in particular        ihc light of Ihe crileria set out in particular
       in Annex I. The Commission shall                       in Anncx I. The Commission shall
       communicate the conclusions thereof,                   comnuinicatc the conclusions thereof,
 ---pagebreak---        accompanied by its comments, to the               accompanicd by its comments, to the
       European Parliament, the Council, the             Europcan Parliament, the Council, the
       Economic and Social Committee and the             Economic and Social Committce and the
       Committee of the Regions.                         Commiltce of thc Regions.
       The independent experts referred to in            The indcpcndcnt experts rcferred to in
       paragraphs 1 and 2 shall be chosen by the         paragraphs 1 and 2 shall be chosen by the
       Commission, which shall take account, in a        Commission, which shall take account, in a
       balanced fashion, of the various research         balanccd fashion, of the various rcsearch
       players.                                          playcrs.
                    Article 6                                           Article 6
All the research activities conducted pursuant to All the rcscarch activities conducted pursuant to
the Fifth Framework Programme shall be carried the Fifth Framcwork Programme shall be carried
out in compliance with fundamental ethical out in compliance with fundamental ethical
principles.                                       principlcs, including animal welfare rcquirements.
Done at Brussels,                                 Done at Brusscls,
For the European Parliament                       For the Europcan Parliament
For the Council                                   For thc Council
The President                                     The Prcsidcnt
The President                                     The Prcsidcnt
 ---pagebreak---                       ANNEXI                                                   ANNEX I
CRITERIA FOR SELECTING THE THEMES                          CRITERIA FOR SELECTING THE THEMES
              AND OBJECTIVES OF                                        AND OBJECTIVES OF
           COMMUNITY AGTIVITIES                                      COMMUNITY ACTIVITIES
The     implementation       of     the     European    1.     Thc Europcan Communily's research and
Comrnunity's       research     and     technological   tcchnological dcvclopment policy is directed towards
development policy is based on the twin principles      strcnglhcning the scientific and technological bases
of scientific and technological excellence and the      of Community industry and encouraging it to
relevance of research activities to the objectives of   bccome more competitive at inlernational level,
the Treaty establishing the European Community.         while promoling all the research activities deemed
                                                        nccessary by virtue of olher Chaplers of the Treaty.
                                                        Its implcmcntation is based on the twin principles of
                                                        scicntific and tcchnological excellence and relevance
                                                        to thc abovc mcntioncd objectives.
In pursuit of a cost-benefit approach dictated by       Morcovcr, in pursuit of a cost-bcnefit approach
concern for optimum allocation of European              dictatcd by conccrn for optimum allocation of
public funding, the choice of themes for the 5th        European public funding and in accordance with the
Framework Programme and the related objectives          subsidiarity principle, themes for the 5th Framework
is made on the basis of a set of common criteria,       Programmc and the related objcctivcs are selected on
divided into three categories.                          the basis that thc Communily shall take action only
                                                        if and in so far as the objectives cannot be
                                                        sufficicnlly achievcd by the Member States.
                                                        2. In application of the foregoing principles, the
                                                        Framcwork Programme shall bc defined on the basis
                                                        of a sct of common criteria, divided into three
                                                        catcgorics:
                                                        •    Criteria related to the Communitv           "value
                                                             added" and the subsidiarity principle:
                                                        -    need to establish a "critical mass" in human and
                                                            fmanciat terms, in parlicular through the
                                                             combination of the complementary expertise and
                                                             resources available in the various Member
                                                             States,
                                                        -    significant contribution to the implementation of
                                                             one or more Community policies,
                                                        -    addressing of problems arising at Community
                                                             level or questions relating to aspects of
                                                             standardisalion or connected            with the
                                                             development ofthe European area,
                                                        so as to select only objectives which are more
                                                         effectively pursued at the Community level by means
                                                         of research activities conducted at that level.
    Criteria related to social objectives:               •   Critcria related to social objectives:
    improving the employment situation,                  -   improving the employment situation,
                                                      10
 ---pagebreak---     promoting the quality oflife and health,         -    promoting the quality oflife and health,
    preserving the environment,                      -    preserving the environment,
                                                     in  orckr   to
in order to further major social objectives of the                  further "iaJor socio1 objectives of the
Community rejlecting the expectations and             Community rejlecting the expectalions and concerns
concerns ofits citizens.                              °fits citizens-
     Criteria related to economic development and     •    Criteria related to economic development and
    scientific and technolozical prospects:               scientific and technoloqical prospects:
     areas which are expanding and create good        -   areas which are expanding and create good
    growth prospects,                                     growth prospects,
     areas in which Community businesses can and      -    areas in which Community businesses can and
     must become more competitive,                        must become more competitive,
     areas in which prospects of significant          -    areas in which prospects of significant scientific
     technological progress are opening up.               and technological progress are opening up,
                                                          offering possibilities for dissemination and
                                                           exploitation of results in the medium or long
                                                           term
                                                      in order to contribute to the harmonious and
                                                      sustainable development ofthe European Union as a
                                                      whole.
 •    Criteria related to the Communitv "valuc
     added" and the subsidiaritv 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
     ofone or more Community policies,
 -   addressing of problems arising at Community
     level or questions relating to aspects of
     standardisation or connected with the
     development ofthe 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      3. Thcsc critcria will be used, and where nccessary
 supplemented, for the implementation of the 5th       supplcmenlcd, for the implementation of the 5th
 Framework Programme, in order to define the           Framcwork Programrne, in order to define the
 specific programmes and select the research and       specific programmcs and selcct the research and
 lechnological development activities, including       technological dcvelopmenl ' activities, including
 demonstration activities.                             dcmonslration activities. The three categories of
                                                       crilcria will apply simultaneously and must all be
                                                       mct, although to a diffcrcnt extcnt from casc to case.
                                                    11
 ---pagebreak---                        ANNEX II                                                    ANNEX II
       BROAD LINES OF COMMUNITY                                     BROAD LINES OF COMMUNITY
                     ACnVITIES                                                   ACTIVITIES
         SCEENTIFIC AND TECHNICAL                                    SCIENTIFIC AND TECHNICAL
                    OBJECTIVES                                                       OBJECTIVES
I.        THEMES AND ORGANISATION OF                       I.         THEMES AND ORGANISATION OF
          THE            5TH          FRAMEWORK                       THE            5TH          FRAMEWORK
          PROGRAMME                                                   PROGRAMME
In accordance with Article 130g of the EC Treaty,          With rcgard to the themes and organisation of the
the 5th Framework Programme will comprise four             5th Framework Programme, it is recallcd that, in
activities:                                                accordance with Article 130g of thc EC Treaty, the
                                                           5th Framcwork Programme will comprise four
                                                           activilics:
    the first activity covers the research,                    ihe first activity covers the res'earch,
    technological development and demonstration                tcchnological dcvclopmcnt and demonstration
    programmes;                                                programmcs;
    the second activity is aimed at promoting                  the sccond activity is aimed at promoting
    cooperation       on    research,     technological        coopcralion        on    research,    technological
    development and demonstration with third                   dcvclopmcnt and dcmonstralion with third
    countries and international organisations;                 counlrics and intcrnational organisations;
    the third activity concerns the dissemination               thc third aclivily concerns the dissemination
    and optimisation of the results of research,               and optimisation of thc results of research,
    technological development and demonstration                tcchnological dcvclopmcnl and demonstration
    activities;                                                 acliviiics;
    the fourth activity is intended to stimulate the            the fourih activity is intcnded to stimulate the
    training and mobility of scientists.                        training and mobilily of rescarchcrs.
 1.        CONTENT AND ORGANISATION OF                      1.         CONTENT AND ORGANISATION OF
           THE FIRST ACTIVITY                                          THE FIRST ACTIVITY
 The research, technological development            and    Thc rcscarch, tcchnological dcvclopment and
 demonstration programmes will comprise:                    dcmonstralion programmcs will comprise:
 -   "key actions";                                         -   "kcv aciions";
 -   activities for research and developmcnt of             -    rcscarch and tcchnological            development
     generic technologies;                                      activitics of a gcncric nature;
 -   activities in support of research infrastruclurcs.     -    activitics in support of rcscarch infrastructures.
                                                            Thcse programmes will, where appropriate,
                                                            undcrtakc sludics and rescarch aclivities on
                                                            rclcvant cthical and lcgal aspccts, within a context
                                                            of rcspcct for fundamcntal human values. A
                                                            parlicular cflbrt will be made to cnsure coherence
                                                            bctwccn thcsc socio-cconomic rcscarch activities
                                                            carricd out in thc various kcy aciions in order to
                                                        12
 ---pagebreak---                                                          oplimisc ihc cxploilalion and disscmination of
                                                         rcsults by uscrs.
                                                         Particular account will be takcn of the economic
                                                         and social implicalions of thc implcmcntation, use,
                                                         and cficcts of thc tcchnologics and processes
                                                         involvcd in cach of thcse programmes.                A
                                                         pariicular cfforl will bc made to cnsure coherence
                                                         bctwccn ihcsc socio-cconomic rcscarch activities
                                                         carricd out in thc various kcy action in order to
                                                         optiinise ihc cxploitalion and dissemination of
                                                         rcsulls by uscrs.
In addition, in the framework of a cohercnt              In addition, in the framcwork of a coherent
approach involving also the second, third and            approach involvihg also the sccond, third and
fourth activities, these programmes will implement,      fourih activitics, thcsc programmcs will implement,
in their respective areas, actions contributing to the   in Ihcir rcspcctivc arcas, actions contributing to the
aims of these activities.                                aims of ihcsc activilics.
                                                         Synergy will bc sought wilh othcr Community
                                                         instrumcnts. such as thc Siructural Funds, the EIF
                                                         and ihc EIB.
a)        "Kcy actions"                                  a)        "Kcv actions"
The aim of the key actions is to mobilise, in thc        Kcy aciions will bc problcm-oricntcd and clearly
context of an overall approach, the resourccs of         dcfincd corrcsponding to Ihc critcria and be
different disciplines, technologies and know-how         spccifically targctcd to the objcclives of each
and related skills of various origins. Thcy will fit     prograinmc and lo the desircd rcsults, taking into
into a European context and bring together a             account ihc vicws of uscrs. Thcy should have a
maximum of public and private effort on the              clcar Europcan focus. The "kcy action" is regarded
subject concerned. The key actions have bccn             as a cluslcr of small and largc, applied, generic
strategically selected on the basis of the problems to   and, as appropriatc, basic rcscarch projccts directed
be resolved and explicitly formulated economic and       towards a coinmon European challcnge or problem
social objectives.                                       nol cxcluding globai issues.
The research activities carried out in this context      Thc rcscarch aclivitics carricd oul in this context
will cover the entire spectrum of activities necdcd      will intcgratc thc cntire spcclmm of activities
to achieve the objectives, and range from basic          nccdcd to achicvc thc objcctivcs, and range from
research through development to demonstration.           basic     rcscarch      through     dcvclopment      to
                                                         dcmonslration. Appropriatc links wilh relevant
                                                         national and intcrnalional initialivcs (including
                                                         complcincnlary         Europcan       rcscarch     and
                                                         lcchnological dcvclopincni framcworks) will be
                                                         givcn propcr atlcnlion.
b)        Activities for the          rcscarch    and    h)        Rcscarch           and          technological
          dcvclopment of gcncric tcchnologics                      dcvclupmcnt      activitics  of    a gcncric
                                                                   naturc
These activities, which are to be carried out in a       Thcsc activitics, which are esscnlial to achieve the
limited numbec of areas selected using the criteria      objcctivcs of thc ihcmatic programmcs, will be
set out in Annex I, will complement the key              carricd out in a limited numbcr of areas not
actions. Their main aim is to help the Europcan          covcrcd by thc kcy actions. Complementing the
Community maintain and improve the flow of idcas         kcy actions. ihcir main aim is to hclp the European
and knowledge and its technological capability in        Coininunily lo maintain and improvc its scientific
those areas of research and enabling technologics        and tcchnological capabiliiy in those areas of
which have many and varied potential applications        rcscarch and cnabling technologics which should
but are not covered by the key actions.                  bc uscd widcly.
                                                      13
 ---pagebreak--- c)         Support for rcscarch infrastructurcs         c)          Support for rcscarch infrastructurcs
The aim is to encourage optimum use to be madc of       Thc aim is to cncouragc oplimum usc lo bc made of
the Community's research infrastructure and lo           thc Community's rcscarch infrastnicturc and to
improve the consistency of the European research         improvc thc consistcncy of thc Europcan research
fabric.                                                  fabric.
2.         CONTENT AND ORGANISATION OF                              CONTENT AND ORGANISATION OF
           THE SECOND, THIRD AND FOURTH                             THE SECOND, THIRD AND FOURTH
           ACTIVTTIES                                               ACTIVITIES
The horizontal themes are at the crossroads of thc       Thc horizontal thcmcs are at the crossroads of the
European Community's research policy and                 Europcan Community's research policy and its
 respectively its external policy, innovation policy,    policics for external relations, innovation, SMEs
policy on education and training and the promotion       and human resources, and for social* and
 of personal mobility, and its social and employmcnt     employmcnt issucs.
 policy.
 Each of them comprises:                                 Each of ihcm comprises:
       specific activities linked to the gencral               specific activitics Iinkcd lo ihe general
       objectives of the European Community's                  objectives of thc Europcan Community's
       policy with regard to external relations,               policy wilh regard to external relations,
       innovation and human resources which are                 innovation. SMEs and human resources which
       not carried out as part of the thcmcs of ihc            are not carried out as part of the themes of the
       first activity;                                          first aclivilv;
       activities essentially in the form of                    activities essentially in thc form of
       coordination, support and accompanying                   coordination, support and accompanying
       activities to ensure the coherence of                    activitics to cnsurc the coherence of equivalent
       equivalent activities carried out under the              activities carried out under the themes of the
       themes of the first activity.                            first aclivitv.
                                                          In coordination and inlcraction wilh the horizontal
                                                          progranuncs, thc thcmalic programmcs will take
                                                          thc ncccssary mcasurcs lo activcly contribute, in the
                                                          contcxl of thcir own activities, to the achicvement
                                                          of thc gencral objectives of Ihe horizontal
                                                          programmcs. Furthcrmore, the coordination of the
                                                          diffcrcnt       horizontal    programmcs      amongst
                                                          thcmsclvcs will be cnsured in ordcr to reinforce
                                                          thcir nuilual contribulion to the achicvement of
                                                          thcir own objectives.
                                                          Comnumity support for rcscarch infrastructures in
                                                          thc conlext of thc fourih activity will centre in
                                                          parlicular on mcasurcs cnhancing acccss to such
                                                          infrastructurcs.
                                                      14
 ---pagebreak--- 3.        THE JOINT RESEARCH CENTRE                           THE JOINT RESEARCH CENTRE
The Joint Research Centre is the scientific and     The dirccl research and technological dcvelopment
technical body which the Commission needs to        aclions to be implemcnted by the Joint Research
perform the tasks that it is empowered to conduct.  Ccntrc (JRC) will comprise research and scientific
The scientific and technological objectives of its  and technical support activities of an institutional
activities are located more especially in areas     characlcr. The JRC may providc support where it
requiring impartial and independent expcrtise at    has spccial or cvcn unique expcilisc and facilities
European Community level and in areas related to    in the Community or where it is tasked with
the objectives of its main policies.                activities ncccssary for the framing and
                                                    implcmcnlalion of Community policies and tasks
                                                    incumbcnt on the Commission pursuant to the
                                                    Trcaty which rcquirc the JRC's impartiality (for
                                                    example in the cascs of standardisation and the
                                                    monitoring of ihc application of ccrtain community
                                                    policies).
                                                    The JRC is also progrcssivcly involvçd in
                                                    compclilivc activities.
These activities correspond to the scientific and
technological objectives of the 5th Framcwork
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.
                                                    The Joint Research Centre will .carry out these
                                                    activities in closc coopcration with: on the one
                                                    hand, the Community's scientific community, in
                                                    particular by slrcngthcning its links with the main
                                                    research institulcs and, on the olhcr hand, the
                                                    Community's undcrtakings, in particular by
                                                    dcvcloping its rolc as a tcchnology transfcr centre.
                         *****                                              *****
                           **                                                 **
                                                 15
 ---pagebreak--- II.       SCIENTIFIC AND                              II.      SCIENTIFIC AND
          TECHNOLOGICAL OBJECTIVES                             TECHNOLOGICAL OBJECTIVES
               FmST ACTIVITY                       ||                FIRST ACTIVITY
          UNLOCKING THE RESOURCES OF THE                       1MPRQVING THE OUALITY OF LIFE
          LIVING WORLD AND THE ECOSYSTEM                       AND THE MANAGEMENT OF
                                                               LIVING RESOURCES
Improving the quality of life and health and Improving the quality of life and health are
addressing environmental problems are major major challenges, and the Union plans to
challenges and the Community plans to tackle tackle them by helping to increase knowledge
thent by helping to increase knowledge and and develop technologies in the field of the
develop technologies in the fields of the living living world.
world and the environment.
At the same time, progress in this area >w7/ help to  At the same time, progress in this area will
increase the competitiveness of the Community's       help to increase the competitiveness of the
enterprises by opening up ne\v prospects in areas     Community's enterprises by opening up new
in yvhich the Community already has a strong          prospects in areas in which the Community
hand, such as biotechnology, agro-industry, and       already has a strong hand, such as
the fields of health and the environment.             biotechnology, agro-industry, and health care.
 a)       Key actions                                 a)       Kcy actions
 i)       The living world and the ecosystem (I):     i)       Quality of lifc and living rcsourccs:
          hcalth and food                                      (I) Health, food and environmental
                                                               factors
The aim of this key action is to promote the          The aim of this key action is to promote the
 development of knowledge, technologies and           dcvclopmcnt of knowlcdge. tcchnologies,
 methods, based on biotechnology, for example, to     proccsscs and mcthods, including prenormative
produce a safe, healthy, balanced and varicd food     aspccls, bascd on mullidisciplinary approaches
 supply for consumers. This requires as a priorily:   lo producc a safe, hcalthy, balanced and varied
                                                      food supply for consumcrs. It will also help to
                                                      rcducc thc advcrse impact of environment on
                                                      hcalth, covcring in parlicular, issues such as the
                                                      cffccts on hcallh of air pollulion, hcavy metals,
                                                      toxic subslanccs, clcclromagnclic radiation,
                                                      noisc and Ihc cficcts of pollution at the
                                                      workplacc. This rcquircs as a priority:
 * the developmcnt of new proccssing methods to       * thc dcvclopmcnt of safe, flcxible and new or
    improve food quality;                                 improvcd manufacturing proccsscs and
                                                          tcchnologics to improvc food quality and
                                                          consumcr acccplability, while guaranteeing
                                                          traccabilily of raw malcrials and final
                                                          products;
                                                   16
 ---pagebreak---      the development of tests to detect and processcs        thc dcvclopmcnl of tcsts to dctcct and
     to eliminate infectious and toxic agents;               proccsscs to eliminate infcctious and toxic
                                                             agcnts;
     study of the role of food in preserving health, in      research into the role of food in promoting and
     particular from the point of view of nutrition,         sustaining health with respect to diet and
     epidemiology and public health.                         nulrition,        toxicology,         epidemiology,
                                                             cnvironmental interactions, consumer choice and
                                                             public heallh;
                                                             research into diseases and allergies related to or
                                                             influenced by the environment, and research into
                                                             their treatment and prevention;
                                                             the developinent of new methods of diagnosis and
                                                             risk assessment and of processes to reduce causes
                                                             and hannful envirotunental heallh effects. .
ii)        The living world and the ccosystcm           ii)         Quality of life and living rcsourccs:
           (II): control of viral and other infcctious              (II) Control of viral and othcr
           diseases                                                 infectious diseases
The priority objectives of this key action are the      The priority objectives of this key action are the fight
fight against Aids and control of the "new plagues"     against AIDS, research into and combating of
(such as the reappearance of tuberculosis and the       infectious diseases, both huinan and animal, of
                                                        increasing impact, whelher established, newly
emergence of diseases linked to new or mutant
                                                        emerging or in resurgence as well as research seeking
agents). Close attention is to be paid to:              a better understanding of the iinnume system. Close
                                                        attenlion is to be paid to:
     the development of vaccines, especially against         the development of new and more effective
     viral diseases;                                         vaccines, especially against viral diseases;
* treatment and prevention strategies;                       new and improved treatment and prevention
                                                             strategies;
     aspects connected with public heallh and care-          aspects connected with public health and care-
     delivery systems.                                       deliveiy systems.
iii)       The living world and thc ccosystcm           iii)        Quality of life and living rcsources:
           (III): the "ccll factory"                                (III) The "ccll factory"
This key action is aimcd at hclping thc                 This kcy aclion is aimcd at helping the
Community-'s enterprises exploit the advanccs           Coinmunity's cntcrpriscs cxploit the advances
made in life sciences and technologies, parlicularly    madc in lifc scicnccs and technologies,
in the fields of health and the environmcnt. It is      parlicularly in thc ficlds of health and the
aimed at the devclopmcnt of multidisciplinary           cnvironmcnt. It is aimed at thc devclopment of
technologies based on exploitation of the propcrtics    mullidisciplinary        tcchnologics       bascd    on
of micro-organisms, plants and animals at thc           cxploitation of the propcrlics of micro-
                                                    17
 ---pagebreak--- cellular and sub-cellular levcls. The objcctive is to organisms, plants and animals at thc cellular
develop ncw bio-moleculcs with high added-valuc       and sub-ccllular lcvcls. Thc objcctive is to
capable of enhancing the quality of life and health,  undcrstand ihe functioning of cells and to
including:                                            develop new bio-molecules with high added-
                                                      valuc capablc of cnhancing the quality of life
                                                      and hcalth, including:
* new health products. (for example, antibiotics      * new health-care processes, active substances
    and anti-cancer agents);                             and producls (for example, antibiotics and
                                                         anti-canccr agents);
* waste biotreatment processes;                          wastc biolrealment processcs;
    new biological processes for the agri-food            ncw biological proccsses for. the agri-food
    industry.                                             industry.
iv)       Thc living world and thc ccosystcm
          (TV): managcmcnt and quality of watcr
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 thc ccosystcm (V):
      cnvironmcnt and hcalth
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:
 * epidcmiological studies;
* the development of ncw methods of diagnosis,
    risk assessment and prevention;
* the development of processes to rcduce causcs
    and harmful health effects.
                                                  18
 ---pagebreak---                                                      iv)        Quality of lifc and living rcsourccs:
                                                                (IV) Thc ageing population
                                                     The overall goal of this key action is to promote
                                                     healthy ageing and independence in old age by
                                                     preventing and treating age-related diseases and
                                                     disabilily. Furthennore, it aims to help to reduce Uie
                                                     need for long-tenn care and limit the constantly
                                                     increasing costs of health care systems. The
                                                     demographic and socio-ecohomic aspects will be
                                                     taken into account in all the activilies of this key
                                                     action. Priority areas include:
                                                     * the fight against age-related illnesses and health
                                                         problems (eg Alzheimer's and Parkinson's
                                                         diseases as well as certain forms of cancer);
                                                     * understanding the genetic and molecular basis of
                                                         healthy ageing and mechanisms leading to
                                                         postponement of diseases and of disability,
                                                     * epidemiological and clinical research , study of
                                                         aspects related to the public health care system;
                                                     * improvement of the qualily of life and better
                                                         funclioning of the elderly and disabled in society.
vi)       The living world and the ccosystem         v)         Quality of lifc and living rcsourccs:
          (VI): integratcd dcvclopmcnt of rural                 (V) intcgrated dcvclopmcnt of rural
          and coastal arcas                                     and coastal arcas
The aim is to mobilise the knowledge and             Thc aim is to mobilise ihe knowledge and
technologies needed to implement innovalive          tcchnologics nccdcd to implcmcnt innovative
approaches to production and exploitation, adapted   approachcs lo production and exploitation,
to recent adjustments in the common agricultural     adaptcd to rccent adjustments in the common
and fisheries policies, whilst also providing the    agricultural and fisheries policics, whilst also
scientific basis for Community regulations. Priority providing thc scicnlific basis for Community
areas include:                                       rcgulations. The priority arcas are as follows:
new systems of production and exploitation in        ncw systcms of production and exploitation in
agriculture, forestry, fishing and aquaculturc,      agricullurc, forestry, fisheries and aquaculture,
taking into account profitability, the sustainable   taking inlo account profitability, the sustainable
management of resources, product quality and         managcmcnt of rcsources, product quality and
employment;                                          cmploymcnt;
* methods of control;                                * mclhods of control;
* non-food uses;                                     * non-food uscs;
* the production of new models for the                   thc productioii of ncw modcls for the
    sustainable development of rural and coastal         suslainablc dcvclopment of rural and coastal
    areas based on optimisation of the specific          arcas bascd on optimisation of the specific
    potential of each area, the diversification of       polcntial of each area, the divcrsification of
    activities and land use, and the involvement of      activitics and land use, and ihe involvement
    the people concerned.                                of thc pcoplc concerncd.
                                                19
 ---pagebreak---    b)        Activitics for thc rcscarch and               h)      Rcscarch         and       tcchnological
             dcvclopmcnt of gcncric tcchnologics                   dcvclopmcnt activitics of a gcncric
                                                                   nature
   Work will focus on priority research to support:        Work will focus on priority research to support:
       the fight against age-related illnesses and            thc fight against degencrative diseases,
       health problems (e.g. Alzheimer's disease),            canccr, diabctes, cardio-vascular diseases,
       degenerative diseases (in particular cancer and        discascs of genetic origin and rare and
       diabetes), cardio-vascular diseases, diseases of       orphan discascs; research into genomes and
       genetic origin and rare diseases; research into        the ncurosciences;
       genomes and the neurosciences;
        the improvement of health systems, the                thc improvement of health systems, the
       enhancement of health and safety at work, and          enhanccmcnt of health and safety at work
        the fight against drug-related public health          and thc study of social medical or public
        problems;                                             hcalth aspccts of the use of dmgs;
        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 technologies1, for
        environmental monitoring and resources and
        ecosystem management;
1
   There will be specific coordination of the
activities relating to "space technology"
applications carricd out within each of the three
thematic programmes.
                                                       20
 ---pagebreak---       the study of problems relating to biomcdical            rcscarch into issues conccrning medical
      ethics and bioethics in thc context of a respect        ethics and biocthics wiih regard to respecting
      for fundamental human values2;                          fundamcntal human valucs;2
       the study of the socio-economic aspects of              rcscarch inlo thc socio-economic aspecls of
       development of the life sciences and                   devclopment of       the life scicnces and
       technologies and of environmental change                lcchnologics.
       within    the   perspective     of  sustainable
       development (the impact on society, the
       economy and employment).
   c)       Support for rcscarch infrastructurcs           c)        Support for rcscarch infrastructures
   The priority is to make optimum use, at                 Thc priorily is to make optimum use, at
   Community level, of databases and collections of        Community lcvcl, of databases and collections of
   biological material, centres for clinical trials,       biological malcrial, ccntrcs for clinical research
   marine research facilities and computer centres for     and thcrapcutic trials, and fishery and
   climate studies.                                        aquaculture rcscarch facilities.
2
   No research activity which modifies or is          2. No rcscarch aclivity which modifies or is
intended to modify the genetic heritage of human       intcndcd to modify thc gcnelic hcritage of human
beings by alteration of germ cells or by acting at    bcings by allcralion of gcrm cells or by acting at
any other stage in embryonic stage developmcnt        any olhcr slagc in cmbryonic stage development
and which can make such alteration herilable will      and which can makc such allcration heritable will
be carried out under the present Framework            be carricd out undcr the present Framework
Programme. In the same way, no research activity,      Programmc. In thc same way, no rescarch activity,
understood within the term "cloning" will be           undcrstood wilhin the term "cloning" will be
conducted with the aim of replacing a germ of          conduclcd wiih thc aim of rcplacing a germ of
embryo cell nucleus with that of the cell of any       embiyo ccll nucleus with that of the cell of any
replacing individual, from an embryo or coming         rcplacing individual, from an embryo or coming
from a later stage of development to the human         from a latcr stagc of dcvelopmcnt to the human
embryo.                                                cmbryo.
To the extent possible, animal experiments and To the cxtcnt possib'.e, animal expcriments and
tests on animals should be replaced with in vitro or tesls on animals should be replaced with in vitro or
other alternative methods. Modification of the 'othcr allcrnalivc mclhods. Modification of the
gcnetic heritage of animals and animal cloning gcnctic hcrilage of animals and animal cloning
will be envisaged within the current Framework will bc cnvisagcd wilhin ihe current Framework
Programme only for objectives which are justified Programmc only for objeclives which are justified
on ethical grounds and to the extent that thc on ethical grounds and to the extcnt that the
operations involved are effected on an ethical opcralions involvcd are efTected on an ethical
basis, with respect for the well being of animals basis, wiih rcspcct for thc well being of animals
and the principles of genetic diversity.               and thc principlcs of gcnctic divcrsily.
                                                    21
 ---pagebreak---         CREATING A USER-FRIENDLY                       2.     CREATING A USER-FRIENDLY
        INFORMATION SOCIETY                                   INFORMATION SOCIETY
                                                        The     convergence       between      information
 The advent ofthe Information Society is opening
                                                       processing,     communication and content is
 up the possibility of a mde range of new
                                                       increusingly important to all industrial and
 activities, for both individuals and companies of
                                                       societal activities and are increasingly critical
 the Community, in the fields of trade, work,
                                                       to Europe's competitiveness and quality of life
 transport, environment, education and truining,
                                                        The advent of the Information Society is
 health and culture. Continuous efforts in relation
                                                       opening up the possibility of a wide range of
 to research, technological development and
                                                       new activities, for both individuals and
 technology take-up are necessary to realise the
                                                       companies in the Community, in the fields of
full potential of the Information Society. The
                                                       commerce, work, transport,            environment,
 technological range of key actions allows the
                                                       education and training, health and culture.
possibility of a flexible concentration and a
                                                       Continuous efforts in relation to research,
 dynamic implementation            of the activities,
                                                       technological development and technology
 reflecting socio-economic priorities.
                                                       take-up are necessary to realise the full
                                                      potential of the Information Society. . The
                                                       technological range of the key actions allows
                                                       the possibility of dynamic concentration and
                                                      flexible implementation of the activities,
                                                       rejlecting socio-economic priorities.
 These efforts must, in all activities, tackle the     These efforts must, in all activities, tackle
 universal issues such as access, ease of use, cost-   universal issues such as usability accessibility,
 effectiveness and interoperability, as well as        interoperability,         dependability        and
 socio-economic impact.                                affordahility as well as socio-economic impact.
 a)         Key actions                                a)        Kcv actions
            Information Socicty (I): systcms and       i)        Information Society (I): systcms and
            scrvices for thc citizcn                             serviccs for the citizcn
 The aim of this key action is to provide users with   Thc aim of this kcy aclion is to provide users
 easier access at the lowest cost to quality general-  with casicr acccss at the lowest cost to quality
 purpose services and boost the industry providing     gcncral-intcrcst scrviccs and boost thc industry
 these services. In this context, it will be bascd on  providing ihcse scrviccs. In this contcxt, it will
 the following priorities:                             bc bascd on ihc following prioritics:
 * as regards health and the eldcrly: on                   as rcgards hcallh: on compulcriscd medical
     computerised mcdical syslems, on secure high-         systcms, on sccurc high-capacity health
     capacity health nctworks and telemedicine, on         nctworks and tclcmcdicine;
     advanced interfaces and on tele-systems to
     integrate the elderly and the disabled into
     society;
                                                           as rcgards thc cldcrly and the disabled: on
                                                           advanccd intcrfaccs and on lclc-systems to
                                                           inlegratc the eldcrly and the disablcd into
                                                           socicty;
     as regards the public aulhorities: on syslcms         as rcgards public adminislrations: on
     utilising multimedia and tcle-systcms;                advanccd mullimcdia systcms and tele-
                                                           systcms to facilitate access to and provision
                                                           of scrviccs of public inlcrcsi;
                                                  22
 ---pagebreak---     as regards thc environmcnt: on intelligcnt               as regards thc environmcnt: on intclligent
    systems for analysis, surveillance, managemcnt           systems      for   analysis,    surveillance,
    and early warning;                                       managemcnt and early warning and support
                                                             systems for the humanilarian disposal of
                                                             landmincs;
    as regards transport: on the advanccd                    as regards transport      on the advanced
    intelligent systems needed for managemcnt and            intclligent systems needed for management
    associated tele-services.                                and associated tele-services, including
                                                             systems for tourism;
ii)        Information Socicty (II): ncw             ii)       Information Society (II): ncw mcthods of
           mcthods of work and clcctronic                      work and clcctronic commcrcc
           trading
The aim of this key action is to help companies Thc aim of this kcy action is to dcvelop tcchnologies
operate more efficiently and to make trading in lo help companies operate more efficiently and to
goods and services more efficient. The priority makc trading in goods and services more efîïcient
topics will be:                                      and improvc working conditions and the qudlity of
                                                     work. Thc priorily topics will be:
    flexible, mobile and remote working                  flexible, mobile and remote working methods,
     methods, for individuals and for cooperative        for individuals and for cooperative and group
    and group working and working methods                working and working methods based on
    based on simulation and virtual reality;             simulation and virtual reality, and analysis of
                                                         social cffccts;
     management systems for suppliers and                managemcnt syslcms for suppliers and
     consumers, including interoperable payment          consumers, including systems supporting mass
     systems;                                            customisation and interoperable and secure
                                                         payment systems;
     information and network security, including         information and nclwork security, including
     the technical means for authentication and          cryplography, techniques for combating and
     the protection of integrity and intelleclual        prcvcnting piracy of computer sitcs, the
     property      and     'privacy    enhancing         technical means for authcnlicalion and the
     technolosies'.                                      prolcclion of inlcgrity and inlcllcctual property
                                                         and privacy enhancing technologics.
                                                         inlcgratcd applications platforms, covering the
                                                         wholc of this programme, paving the way to
                                                         "digital communilies".
                                                  23
 ---pagebreak--- iii)        Information        Soclcty       (III):    iii)       Information Socicty (III): multimcdia
            multimcdia contcnt                                    contcnt and tools
The aim of this key action is to facilitate life-      Thc aim of this kcy action is to facilitate life-long
long education and training, to stimulate              educalion and training, to stinuilate creativify,
creativity, promote linguistic and cultural            facilitatc linguislic and cultural diversity and
diversity and improve the functionality and            improvc thc functionality and uscr-fricndliness of
user-friendliness of future information products       fulurc informalion products and scrvices. The
and services.        It puts emphasis on the           rcscarch will place the emphasis on the
development of intelligent systems for                 dcvclopmcnt of inlclligcnt systcms for education
education and training and of innovative forms         and training and of innovative forms of multimedia
of multimedia content, including audiovisual           conlcnt, including audiovisual contcnt, and tools for
content, and tools for structuring and                 structuring and proccssing thcm. It will focus on
processing them. It will focus on four main            four main lincs:
lines:
* interactive electronic publishing with new                intcractivc clcclronic publishing with new
     methods for creating and structuring                   mclhods      for     crcaling    and     structuring
     publications and for the personalised                  publications     and     for    the    pcrsonalised
     dissemination of information and accessing             disscminalion of information and accessing of
     of cultural items through virlual librarics            scicnlific, cultural and olhcr itcms through
     and museums;                                           nctworking of librarics, archives and museums;
     education and training: systems, serviccs              cducalion and training: systcms, scrvices and
     and software enabling the development and              softwarc cnabling the dcvclopmcnt and
     demonstration of new methods using                     dcmonslralion       of new        mcthods      using
     mullimedia, broad-band communications,                 mullimcdia,      broad-band       communications,
     simulation and virtual realily;                        simulalion and virtual rcalilv;
     new Ianguage technologies which help to                ncw Ianguagc lcchnologies, including inlerfaces,
     make information and communications                    which hclp to make information and
     systems more user-friendly;                            comnumicalions syslems more user-friendly;
     advanced technologies for accessing,                   advanccd lcchnologics for acccssing, filtering,
     filtering and analysing information to help            analysing and processing information to help
     manage the information explosion and                   managc thc informalion explosion and facilitate
     facilitate the use of multimedia contents,             thc usc of multimcdia contents, notably as
     notably as regards geographical information            rcgards gcographical information systcms.
     systems.
iv)         Information Socicty (IV): essential        iv)        Information Society (IV): csscntial
            tcchnolouies and infrastructurcs                      tcchnolo"ics and infrastructurcs
The aim of this key action is to promotc               Thc aim of this kcy aclion is to promotc excellcnce
excellence in the technologies which are crucial       in thc lcchnologics which arc cnicial to the
to the Information Society, to speed up thcir          Informalion Socicty, lo specd up thcir introduction
introduction and broadcn their ficld of                and broadcn thcir ficld of application. This action
application. This action will focus as a mattcr        will focus as a mattcr of priority on:
of priority on:
 computing, communication and             nctwork            compuling, communication and network
 technologies,        together       with     their          lcchnologics, including broadband networks,
 implementation and application;                             togcthcr      with      thcir      implementation,
                                                             managcmcnl, inlcropcrability and application;
                                                    24
 ---pagebreak--- * technologies and engineering for software and            * lcchnologics and cngincering for softvvare
    systems including high-quality statistics;                 syslcms and scrviccs including high-quality
                                                              statistics;
                                                           * rcal-timc and largc-scale simulation and
                                                              visualisation tcchnologies;
* mobile and personal communications and                   * mobilc and pcrsonal communications and
    systems, especially satellite-related services;            syslcms, including satcllitc-rclated syslems and
                                                                        •2
                                                               scrviccs
* interfaces making use of the various senses;             * inlcrfaccs making usc of the various senses;
* peripherals, subsystems and microsystems;                * pcriphcrals, subsystcms and microsystcms;
* micro-electronics (technologies, expertise, * micro-clcctronics                      (technologics,      tools,
    equipment and hardware necessary for the                   equipmcnt and hardware necessary for the
    design and manufacture of circuits and the                 dcsign and manufacture of circuils and the
    development of applications).                              dcvclopnicnl of applications).
b)        Activitics for thc rcscarch and l>)                        Rcscarch         and          tcchnological
          dcvclopmcnt of gcncric tcchnologics                        devclo|)ment activitics of a gcncric
                                                                     naturc
Universal issues such as access, ease of use, cost-
effectiveness      and       interoperability       and
socio-economic impact will be fully addressed in all
the key actions.
From a visionary perspective, covering future and To makc it possible to develop, from a visionary
emerging technologies and applications, research pcrspcctivc. fulure and cmerging tcchnologies with
will focus as a priority on:                               a potcnlial impact on induslry and socicly, research
                                                           topics could includc, in a non-prescriptivc way:
    technologies for the representation, creation and          tcchnologics for the represcntation, creation and
    handling of knowledge;                                     handling of knowledge;
    real-time and large-scale simulation and
    visualisation technologies and virtual presence
    technologies;
    quantum, photonic, bio-electronic technologics,            nanoscalc, quantum. photonic, bio-electronic
    and technologies for very large scalc                      tcchnologics, and tcchnologies for very Iarge
    integration; ultra-high performance computcrs              scalc inlcgralion; ultra-high performance
    and supcr-intelligent networks.                            computcrs and supcr-intelligent nelworks.
                                                               Thcrc will bc spccific coordinalion of the
                                                          activilies relaling to "space technology"
                                                          applicalions carricd out wilhin cach of the
                                                          Ihcmalic programmcs concerncd.
                                                       25
 ---pagebreak--- (c)        Support for rcscarch infrastructurc            (c)        Support for rcscarch infrastructurc
The priority is to provide support for'the advanced       Thc priorily is to provide support for the advanced
high-speed computer systems needed for research           high-spccd computcr systcms nccdcd for rescarch
in all fields of science and technology, for exaniple     in all ficlds of scicnce and lechnology, including in
advanced INTERNET-2.                                      thc global contcxt of the dcvclopmcnt of the
                                                          INTERNET.
                                                          Mcmbcr States shall conlinue to have rcsponsibility
                                                          for the promotion and expansion of national
                                                          nctworks and infrastructure.       Thc role of the
                                                          European Community shall be to provide added
                                                          value lo promole furthcr opening, nctworking and
                                                          inlcropcrabilily.
           PROMOTING COMPETITIVE AND                      3.         PROMOTING COMPETITIVE AND
           SUSTAINABLE GROWTH                                        SUSTAINABLE GROWTH
 The objective is to produce and disseminate the           The objective is to produce and disseminate the
knowledge and technologies needed to design and           knowledge and technologies needed to design and
 develop processes        and produce         "clean",    develop processes         and produce         "clean",
high-quality products that will be competitive on         high-quality products that will be competitive on
tomorroyv's market, to help increase groyvth and          tomorroyv's market, to help increase growth and
 creaie new jobs in Europe and to give firms the          create new jobs in Europe and to give firms the
 opportunity to make the necessary changes to             opportunity to make the necessary changes to
 their activities.                                        their activities.
 This goes hand in hand with the development of This goes hand in hand with the development of
 high-performance energy systems and services, transport systems which are economic, safe, and
 and transport systems which are economic, safe, protective ofthe environment and quality oflife.
 and protective of the environment and quality of
 life.
 a)         Kcy actions                                    a)        Kcy actions
            Compctitivc and sustainablc growth (I):        i)        Competitivc and sustainablc growth (I):
            products, proccsscs, organisation                        products, proccsscs, organisation
 The aim of this key action is to facilitate the           Thc aim of this key action is lo facililate the
 development of high-quality innovative products           dcvclopmcnt of high-quality innovative products
 and services that meet the needs of the citizen and       and scrviccs thal mect the necds of the citizen and
 the market and new methods of produclion and              thc markct and ncw mcthods of production and
  manuiacture that save resources and are                  manufaclurc, including those designed to improve
 environmentally safe, whatever the melhod of              the compctitivcncss of iraditional industries, that
 production. Research will focus as a matter of            save rcsourccs and are environmentally safe,
 priority on:                                              whatcvcr thc mclhod of produclion. Rcsearch will
                                                           focus as a maltcr of priorily on:
      the elaboration, development and integration of          thc claboralion, dcvelopmcnt and integration of
       new technologies for design, manufacturing,             ncw tcchnologics for design, manufacturing,
      control and production, in particular using              conlrol and production, in parlicular using
       microengineering;                                       micro-scalc and nano-scale tcchnologies and
                                                               cnginccring;
                                                       26
 ---pagebreak---     Information      Society     technologies      for          dcploymcnt, adaptation and inlcgration of
    "intelligent" manufacturing (including flexible             Information        Socicly    tcchnologies     for
    workshop systems and systems for flexible                   "intclligcnt" manufacturing (including flexible
    management of supply and distribution chains,              workshop systems and systcms for flexible
    embedded systems and tele-services for                      managcmcnt of supply and distribution chains,
    operation and maintenance and simulation and                cmbcddcd systems and tcle-services for
    shared-work technologies);                                 opcration and maintenance and simulation and
                                                                sharcd-work tcchnologies);
* technologies to reduce resource utilisation and               tcchnologics to reduce rcsourcc utilisation and
    promote reuse and recycling of vvaste and the               promotc rcusc and recycling of waste and the
    development of clean processes and products                 dcvclopmcnt of clean proccsses and products
    based on the concept of "life cycle analysis";              bascd on the concept of "life-cycle analysis";
    new methods of organising production and                    ncw mcthods of organising production and
    work and of using skills (including                         work and of using skills (including
    socio-economic analyses).                                   socio-cconomic analvscs).
ii)       Competitivc and sustainable growth               ii)        Compctitivc and sustainable growth
          (II):    sustainable      mobility      and                 (II):     sustainablc      mobility     and
          intcrmodality                                               intcrmodality
The aim is to ensure the mobility of people and            Thc aim is to cnsurc the mobility of pcople and
goods efficiently and without damage to the                goods cfficicntly and without damage to the
environment. This key action will contribute               cnvironmcnt. This kcy action will contribute
towards this by helping to set up a safe, intelligent,     towards this by hclping to sct up a safe, intelligent,
efficient and interoperable rail and road, air and         efficicnl and inlcropcrable rail and road, air and
maritime transport system for passengers and               watcrbornc iransport system for passengers and
freight on a broadly intermodal basis at the               frcight on a broadly intcrmodal basis at the
European level to meet the mobiliry needs of               Europcan lcvcl to mcct thc mobiliry needs of
industry and the public. This requires as a mattcr         industry and thc public. This rcquires as a matter
of priority:                                               of priorily:
     the development, validation and dcmonslralion              thc dcvclopmcnt, validation and dcmonstration
     of modal and intermodal transport managcmcnt               of ralional modal and intcrmodal transport
     systems, including second-generation satellile              managcmcnt             systems,         including
     navigation and positioning systems;                        second-gcncralion satellite navigation and
                                                                posilioning syslcms3 and thc inlegralion and
                                                                usc of advanccd travcller and transport operator
                                                                 information scrviccs;
     research on infrastructures and their intcrfaces      * rcscarch on infrastnicturcs and their interfaces
     with transport facilities and systems, whilc               with transport mcans and systems, while
     reducing the environmental impact and laking                rcducing thc cnvironmcnlal impact and taking
     account of accessibility and the integralion of            account of acccssibility and the inlegration of
     regional planning and transport policics;                   rcgional planning and iransport policies;
                                                          3
                                                               Thcrc will bc spccific coordination of the
                                                          aciivitics        rclating to "spacc tcchnology"
                                                          applicalions carricd out within each of the
                                                          Ihcinalic programmcs conccrncd.
                                                       27
 ---pagebreak---      the development of socio-economic sccnarios             thc dcvclopmcnt of socio-cconomic sccnarios
     for the mobility of people and goods.                   for thc sustainable mobilily of pcople and
                                                             goods.
iii)       Competitive and sustainable growth           iii)       Compctitivc and sustainablc growth
           (III): ncw pcrspcctivcs in acronautics                  (III): ncw pcrspcctivcs in acronautics
The aim of this key action is to hclp the European      Thc aim of this kcy aclion is lo hclp the European
Community consolidate its position in this sector       Communily consolidatc its posilion in this scctor
by developing its mastery, in an environmentally        by dcvcloping its maslcry, in an cnvironmentally
friendly manner, of the most advanced aeronautical      fricndly manncr, of the most advanced aeronautical
technologies. It will cover as a malter of priority:    tcchnologics, It will cover as a malter of priority:
* the development and demonstration of                  * thc dcvclopmcnt and dcmonstration of
     advanced technologies for integrated design and         advanccd tcchnologics for integrated design and
     production,     the     reduction   of    energy        production,     ihe      reduction   of     energy
     consumption, emissions and noise for various            consumption, emissions and noise for various
     aircraft concepts;                                      aircrafl conccpts;
* the technological and economic feasibility of         * thc tcchnological and economic fcasibility of
     and the critical technologies for new-gcneration        and thc critical lcchnologics for new-generation
     aircraft concepts;                                      aircraft conccpts;
* the development of technologies to improve            * thc dcvclopmcnt of technologies to improve
     operational safety.                                     opcrational safcty.
iv)        Compctitive and sustainablc        growth    iv) Compctitivc and sustainablc growth (IV):
           (TV): marine tcchnologics                         marinc tcchnologics
The aim is to encourage, whilst preserving ihe          Thc aim is to cncourage, whilsl prcserving the
environment, the development and integration of         cnvironmcnt, ihe dcvelopment and inlegralion of
knowledge and technologies, specific to sea-based       knowlcdgc and lcchnologies, specific to sea-based
applications to enable the Community to fully           applications to cnable the Community to fiilly
exploit the sea's potential and to improve the          cxploit thc sca's potcntial and to improve the
competitiveness of the marine industry, to support a    compctilivcncss of ihc marinc induslry, to support a
veritable "sea" policy. The priority emphasis will      vcrilablc "sca" policy. Thc priority emphasis will
be on the technologies needed:                          bc on thc tcchnologics nccdcd:
     for the development of advanced ships which             for thc dcvclopmcnt of advanced ships which
     are safe and efficient;                                 arc safc and cfficicnl;
     for the use of the sea as an economic mcans of          for ihe usc of ihc sca as an cconomic means of
     transporting goods and passengers (advanced             transporting goods and passcngers, by
     port infrastructure, regional maritime transport        maximising        vcsscl     pcrformance       and
     systems) in conjunction with the key action on          intcropcrabilily, in conjunction with the key
     "sustainable mobilily and intermodality;                action     on     "sustainable     mobility    and
                                                             intcnnodality";
     for the rational and sustainable exploitalion of        for ihc raiional and sustainable exploitation of
     the sea as a source of energy and mincral               ihc sca as a source of cncrgy and mincral
     resources (in particular off-shore and subsca           rcsourccs (in parlicular off-shore and subsea
     technologies).                                          tcchnologies).
                                                     28
 ---pagebreak--- v)         Compctitive and sustainablc growth (V):
           advanccd cncrgy systcms and scrviccs3
The aim of this key action, taking into account [This key action has bccn subdividcd and
market necds, is to help satisfy the Community's transfcrrcd in an amcndcd form to thc ncw
demand for energy while minimising the risks to programmc "Prcscrving thc ccosystcm".!
the environment. It helps to promote the
development and improvement of advanced energy
systems that are efiicient in terms of both
production and consumption, in particular to
achieve a substantial reduction in C02 emissions
and other greenhouse gases and to boost the
Community's industrial competitiveness. Work will
focus by way of priority on:
     the main new and renewable sources of energy
     and their integration, in particular, into
     decentralised systems;
     technologies for the storage and distribution of
     energy;
     technologies for the clean production and use of
     fossil fuels and for the rational use of energy;
     the      elaboration       of     scenarios      on
     economy/environment/energy interactions.
vi)         Compctitive and sustainable growth v)                    Compctitivc and sustainablc growth
           (VI): the city of tomorrow                                (V): thc city of tomorrow and cultural
                                                                     hcritauc
The aim of this key action is the harmonious               Thc aim of this kcy action is the harmonious
development of the citizens' urban environment             dcvclopmcnt of ihc citizens' urban environment
from a global, innovative and resource-saving              from a global, innovaiive and resource-saving
viewpoint, in an environmentally sound manner,             viewpoint, in an environmentally sound manner,
using advanced models of organisation bringing             using advanccd models of organisation bringing
together in particular the improvement of quality of       togclhcr in parlicular the improvemcnt of quality of
life, the restoration of social equilibria and the         life, Ihe rcsloration of social equilibria and the
protection and enhancement of the cultural                 protcclion, conscrvation and enhancement of the
heritage. Action will focus as a matter of priority        cullural hcritagc (with a view to the sustainable
on:                                                        hamcssing of its socio-cconomic potential with
                                                           rcgard to cmploymcnt and tourism). Action will
                                                           focus as a maltcr of priority on:
     new models for the sustainable development of              ncw modcls for thc sustainable development of
     European cities, the elaboration of medium- and            Europcan cilics and urban regions, the
     long-term socio-economic scenarios and                     claboration of mcdium- and long-term socio-
•* Research activities relating to controlled
   thermonuclear fusion are described in detail in
   the proposal for the 5th Framework Programme
   of research and training under the Euratoin
   Treaty.
                                                        29
 ---pagebreak---     research, development and demonstration                 cconomic sccnarios and rcscarch, dcvelopmcnt
    activities focusing in particular on problems of        and dcmonstration activitics focusing in
    town planning and architecture, social                  particular on supporting and accompanying
    integration, safety, energy efficiency and              cconomic compctilivcncss, town planning and
    conservation (in particular in buildings and in         archilcclurc, social intcgralion, safcty, energy
    integrated management of transport) and                 cfficicncy and cncrgy savings (in particular in
    democratic information networks (the concept            buildings and urban transport) and information
    of'digitalcities");                                     nctworks (ihc conccpt of "digital citics");
    development and demonstration of technologics           dcvclopincnt and dcmonslration of tcchnologies
    for economic, clean, effective and sustainablc          and products for diagnosis, protection,
    recovery, renovation and construction, in               conscrvalion, rcsloration and sustainable
    particular for large groups of buildings and for        cxploilalion of ihc European cullural heritage,
    the protection of the cultural heritage;                focusing on bolh movablc and immovable
                                                            cultural asscts to promolc their value and the
                                                            quality of Iifc;
                                                            dcvclopmcnt and dcmonstration of tcchnologies
                                                            for cconomic, clcan, effcclive and sustainable
                                                            prescrvation,     rccovcry,     rcnovation    and
                                                            consiruclion. in particular for large groups of
                                                            buildings;
    development and demonstration in an urban               dcvelopmcnt and dcmonstration of technologies
    context of technologies for economic, clean,            for cconomic, clean, safe, efficient and
    safe and intelligent vehicles (e.g. zero-emission       intclligcnt vchiclcs, opcraling in the total
    vehicles), compatible with a context of                 Iransport cnvironmcnt, including its urban
    sustainable mobility (cf. key action on                 contcxt, and compatible wilh a context of
    "sustainable mobility and intermodality");              sustainable mobility (complcmcntary to the key
                                                            action     on    "sustainable      mobility   and
                                                            inlcrmodality");
b)        Activitics for the rcscarch            and     b)        Rescarch         and          tcchnological
          dcvclopmcnt of gcncric tcchnologics                      devclopmcnt    activitics   of a gcncric
                                                                   naturc
The effort will be focused on the priorily rescarch      Thc cfforts will bc focused on thc priority rescarch
needed4 :                                                nccdcd.
    to support the development of new and                   to support thc dcvclopmcnt of new and
    improved industrial materials and the processcs         improvcd industrial malcrials and the processes
    for their manufacture: materials resistant to           for thcir inanufacturc: malcrials resistant to
    high temperatures and high pressure (e.g. for           high tempcralurcs and high pressurc (e.g. for
    energy generation and engines); light materials         cngincs); light matcrials (for transport and
    (for transport and construction); functional            construclion); functional       materials (opto-
    materials      (opto-elcctronics,    biomalcrials,      clcctronics, biomalcrials, scnsors) designed and
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 5th Euratom Framework
  Programme.
                                                      30
 ---pagebreak---    sensors) designed and dcveloped with ease of              dcvclopcd with casc of rccycling in mind;
   recycling in mind;                                         for thc dcvclopmcnt of ncw matcrials and
   for the development of new materials and                   produclion tcchnologies in the stccl industry;4
   production technologies in the coal and steel              for lncasuremcnls and tcsts to support
   fields;5                                                   standardisalion, aclion to combat fraud, and the
   for measurements and tests to support                      quality of producls, and scrviccs (including the
    standardisation, action to combat fraud, and thc          dcvclopmenl of high-prccision measuring
    quality of products, and services (including the          inslrumcnts and ccrtificd rcfcrcncc measures
    development of high-precision measuring                   and materials).
    instruments and certified reference measures
    and materials).
c)         Support for rcscarch infrastructures         c)          Support for rcscarch infrastructurcs
The priorities concern the networking and               Thc priorilics conccrn the networking and
optimum use, at Community level, of computing            optimum usc, at Community levcl, of compuling
centres for industrial research, high-power wind         ccnlrcs for induslrial rcscarch, high-power wind
tunnels, specialised databases, laboratories and         lunncls, spccialiscd databascs, laboratorics and
facilities for measurements and tests.                   facilitics for mcasurcmcnts and tests.
                                                         4.         PRESERVING THE ECOSYSTEM
                                                         Research and technological development in the
                                                        field of the environment, energy and the
                                                         sustainable management of ecosystem resources
                                                         is essential for the implementation of Union
                                                        policies. Making use of the knowledge and
                                                         technologies needed will make it possible to meet
                                                         a wide range of needs. These new markets will
                                                         bring growth and employment. The results ofthis
                                                         research will provide the basisfor the framing of
                                                         policies formulated at Community level or
                                                         deriving from international treaties.
                                                          This objective goes hand in hand with economic
                                                         development that respects the environment and
                                                         the quality of life. It necessitates efficient and
                                                         reliable energy systems and services.
      In thc perspective of an increasing                  Will thc prospcct of incrcasing implcincntation
     implementation      within   the    Framework          thc Framcwork Programme of aclivitics
     Programme, of activities currenlly bcing              curr:iulv bcing carricd out on the basis of the
     carried out on the basis of the ECSC Trcaty,           ECSC f rcaty. which cxpircs in 2002.
     which expires in 2002
                                                     31
 ---pagebreak---    a)         Kcy actions
   i)         Prcservimi         thc     ceo.svstcm    (T):
              managcmcnt and quality of watcr
   Thc aim of this key aclion is to produce the
   knowlcdge and tcchnologies nccdcd for the rational
   managcmcnt of watcr resources for domcstic nceds
   and ihosc of industry and agricullurc. Among the
   priority ficlds conccmcd are:
   * ircatmcnt and purification tcchnologies to
        prcvcnt pollulion, to purify watcr and to use
        and/or rc-usc watcr rationally (including closed
        loops; rcliabilily of distribution nctworks);
        contribution to the dcvclopment of intcgrated
        approachcs to managcmcnt of watcr resources
        and wcilands;
        lcchnologics for monitoring and prevention of
        pollulion, prolcction and managcment of
        ground-watcr and surfacc-water resources;
    * surveillancc, carly warning and communication
        syslems;
        tcchnologies       for     the    rcgulation   and
        managcmcnt of stocks and tcchnologies for arid
        and scmi-arid arcas and gcnerally water-
        dcficicnl rcuions.
    ii)       Prcscrving thc ccosvstcm (II): Global
              cnvironmcntal changc and climatc
    Thc aim of this kcy action is lo dcvclop the
    scicntific and lcchnological tools nccessary to
    undcrpin implcmcntalion of Community policies,
    notably in rclaliou to thc cnvironment and
    biodivcrsily, and to support thc rescarch obligations
    slcmming from            inlcrnational    trcaties and
    convcntions signcd by thc Community and its
    Mcmbcr Slatcs. Primarily, the kcy action seeks to
    incrcasc the undcrslanding of processcs in these
    arcas in ordcr to hclp dcliver the goal of sustainable
    dcvclopment. In this contcxt the priorities are:
         to undcrsland, dctcct, asscss and prcdict global
         changc processcs, with thc cmphasis on
         Europcan and sub-rcgional causcs and impacts,
32
 ---pagebreak---         wilh rcspcct to bolh natural and anthropogenic
        phcnomcna, in thc contcxt of ihc sustainable
        usc of nalural rcsourccs.          Thc natural,
        socio-cconomic and cullural scicnccs will be
        uscd;
   * lo fostcr bcttcr undcrstanding of ccosystems;
        to dcvclop sccnarios and stratcgies for         the
        prevcnlion and mitigation of global change     and
        for adoption lo global change taking           into
        account climale change and the need             for
        conscrvalion of biodivcrsitv;
        to support thc dcvelopment of the European
        componcnt of thc global obscrving systems for
        climatc, tcrrcslrial ccosyslcms (including
        biodivcrsily) and oceans (for example
        EuroGOOS, the European Global Ocean
        Obscrving Syslcm);
        to dcvclop thc necessary scicntific base (ocean
        proccsscs and intcraclions, in particular at great
        dcplhs) for sustainable use of the marine
        cnvironmcnt.
   iii)       Prcscnin*;      thc     ccosvstcm       (III)
              Promoting thc sustainablc usc of cncrgy5
   Thc aim of this kcy action, is to develop and
   accclcrate thc adoplion of tcchnologics which offer
   the prospcct of reducing cncrgy demand,
   minimising impacts on the cnvironment, CO2
   emissions, olhcr grccnhouse gascs and other
   pollutants. Taking into account market prospects
   in ihc Communily and globally, the long-term
   challcngc is to lowcr cncrgy intcnsity in all sectors
   of ihc cconomy.          Rcscarch and tcchnological
   dcvclopmcnt work will focus by way of priority on:
   •     thc claboration of sccnarios on supply and
         dcmand               managcmcnt                  in
         cconomy/cnvironmcnt/encrgy systcms and their
         inlcractions
         tcchnologics for Ihc rational and cfficicnt use of
         cncrgy
         thc dcploymcnt and intcgralion of new and
         rcncwablc cncrgics in dcccntraliscd systems
33
 ---pagebreak---         cncrgy sloragc and dislribution in local systems
    iv)       Prcscrvini;     thc     cco.svstcm      (IV)
              Dcvcloping clcancr, morc compctitivc
                                              5
              and divcrsificd cncrgy supply
    This kcy action recogniscs that radically new
    encrgy lcchnologics and systems must bc dcvelopcd
    to providc Europe with encrgy supplies and
    scrviccs which are rcliable, efficient, safe and
    economic, thus contributing to industrial
    compclilivcncss and sustainable growth. Action is
    nccdcd at cvcry stage of the supply cycle to improve
    efficiency and rcduce costs. In thc short term the
    challcngc is lo dcvclop cncrgy tcchnologies which
    lcad to an carly reduction of greenhouse gas
    emissions and in the longer tcrm the focus will be
    on brcakthrough solulions for further fadical
    advances to assure the transition from fossil to new
    encrgy sourccs. The work will focus by way of
    priorily on rcscarch inlo:
    • clcan and efficient exploration, production and
        usc of fossil fucls
         large-scalc convcrsion of cncrgy (electriciry and
         hcat)
         incrcasing new and rencwable energy sources
        and thcir intcgration in small-scale supply
         long-distancc transmission and distribution of
         cncrgy
   5
      Rcscarch activilics rclating to controllcd thermo-
   nuclcar fusion are dcscribcd in the proposal for the
   5th Fraiucwork Programme of rcscarch and
   training undcr thc Euratom Trcaty.
34
 ---pagebreak---     b)         Rcscarch            and       tcchnological
               dcvclopmcnt    activitics   of a gcncric
               naturc
   Thc cfforts will bc focuscd on:6
    •    the fight against major             natural and
       . tcchnological hazards through the dcvclopmcnt
        of forccasting, prcvcntion, impact assessment
        and mitigation tcchniqucs;
        thc dcvclopmcnt of gcncric Earth observation
         tcchnologics, notably satellile technologies,7 for
        cnvironmcnlal monitoring and rcsources and
        ccosystcm managcmcnt;
         thc study of thc socio-cconomic aspects of
         cnvironmcntal change wilhin thc pcrspective of
         sustainablc dcvclopmcnt (the impact on society,
         thc cconomy and cmploymcnt).
         thc dcvclopmcnt of new matcrials and
         produclion tcchnologics in the coal industry.8
    c)         Support for rcscarch infrastructures
    Thc priority in this arca is to cnsure access to and
    use of, on a Community scale, specialised
    databascs, vcry powcrful computcr centres, in
    parlicular for climate studies, and marine research
    facilitics.
   " Rcscarch activitics in support of nuclcar safcty
   and safeguards are dcscribed in the proposal for
   thc 5lh Framcwork Programme of research and
   iraining undcr thc Euratom Trcaty
   7
       Thcrc will bc spccific coordination of the
   activitics     rclaling to "space          tcchnology"
   applicalions carricd out wilhin each of the
   thcinalic prograiumcs conccrned.
   8
      With Ihc prospcct of incrcasing implcmcntation
   wilhin thc Framcwork Programme of activitics
   currcnlly bcing carricd out on the basis of the
   ECSC Trcaty, which expircs in 2002.
35
 ---pagebreak---                     SECONDACTIVITY
                                                         2                     SF.CONI) ACTIVITY
 1.         CONnR.MI.NG TIIE INTERNATIONAL ROLE OF                     CONFIRMINGTIIE l.NTKUNATIONAL ROLE OF
            CX)MMUMTY RESEARCII                                        COMMUNITY RF.SEARCÏI
 The mabt purposes of the "international                     The main purposes of this horizontal theme are to
 cooperation" activity are to contribute significantly       pronwte scientific and technical cooperation
 to the implementation of the Community's external           internationally, to reinforce Community capacities in
policy, especiaUy towards the Central and Eastern            the fields of science and technology, to generally
 European accession candidates, and to help the              support the achievement of scientific excellence
 Community establish industrial cooperation and              within the wider international framovork, and to
 open up new markets.                                        contribute to the implementation             of the
                                                             Community's external policy, in particular with the
                                                             accession of new Union members in miiuL
 In die context of the Community's external policy, and      The gcncral objectives of international scicntific
 with the accession of new Member States in mind, the        cooperation are:
 general objectives of the "international cooperalion"
 activity are:
- to promote scientific and technological cooperalion            to promote scicntific and technological
between organisations and rescarchers from third                 cooperation         bclwccn         undcrtakings,
countries and from the Community, likely to produce              organisations and rescarchers from third
significant and balanced benefits for both sidcs                 countries and from the Community that is likely
(cooperation for "mutual benefif );                              to produce significant mulual and balanced
                                                                 bcncfils, laking into account the different needs
                                                                 and circumstanccs of individual groups of
                                                                 countries and regions whilst respccting the
                                                                 protcction of the intellcctual property rights of
                                                                 participants;
- to facilitate access for rescarch centres and busincsscs       to facilitate access for rescarch centres and
establishcd in the Community to scientific and                   undcrtakings establishcd in the Community to
teclmologicai knowiedge available outside the                    scicnlific and technological knowiedge available
Community and useful to the Community's interests;               outside the Community and useful to the
                                                                 Comnumilv's interests;
- to enhance the position and role of Community                  to cnhancc the position and rolc of Community
rescarch in the international scicntific and                     rescarch in the international scicntific and
technological arena;                                             technological arena and promote a European
                                                                 scicntific and technological culture;
                                                          36
 ---pagebreak--- - to prcpare for Uie accession of Uie associatcd Ccntral        lo prcparc for ihc acccssion of ncw Mcmber
and Eastern Europcan countries (CEEC), to support               Stalcs. c.g. by cncouraging thcir full association
the Euro-Mediterranean partnership, to stabilise Uic            with thc Framcwork Programmc; to contribute
human potenUal of Uie CEEC and Uie Ncwiy                        to thc slabilisalion of ihc rcscarch and
Independent States of Uie former Soviet Union (N1S)             lcchnological dcvclopment potcnlial of the
and to support development policy;                              CEECs in gcncral and of the Ncvvly
                                                                Indcpendcnt Slalcs of thc formcr Sovict Union
                                                                (NIS); to        support    and     dcvelop       the
                                                                Euro-Mcditcrrancan        partncrship     and       to
                                                                conlributc to ihc sustainable economic, social
                                                                and scicnlific dcvclopmcnt of developing
                                                                countrics;
- to help European research players acquirc                     to liclp Europcan rcscarch players acquire
informaUon on research capacity, acUvity and                    information and gain expcrience of the research
prioriUes outside Uie Commimily (industriaJiscd                 capacitics,    aclivitics   and     priorities of
counuies, "emerging economy" countries) so as to                induslrialiscd third counlries and "emerging
make Community industry more compeUUve and                      cconomy" countrics, so as to make Community
enhance its presence on Uie new markels.                        industry more competiiivc and enhance its
                                                                prcscncc on ncw niarkets.
InternaUonal scienUfic and teclinological cooperation       Intcrnational      scicntific    and      tcchnological
will be implemented in line wiUi coopcraUon                 coopcraiion will bc implcmentcd on ihe basis of
agreements, where these exist, through Uie spccific         cooperation agrccmcnts, whcrc thcsc exist, and
"internaUonal coopcraUon" acUvity and Uirough               through ihis horizontal international cooperation
account being taken of Uie internaUonal dimension of        programme, as wcll as through aclivities
 research in Uie oUier acUviUes of Uie Framework            undcriaken within. the olher programmes of this
Programme.                                                  Framcwork Programmc.
 (a)      Spccific actions in      thc    'intcniational    1.        Spccific activities in thc "intcrnational
          coopcration" activity                                       coopcration" programmc
 On Uie basis of Uie cooperaUon policies Uic                On the basis of Ihc cooperation policies in specific
 Community frames according to its relaUons wiUi its        arcas which thc Community pursucs vis-a-vis its
 various potenUal partners, Uiree categorics of action      various potcnlial parlncrs, thrce catcgorics of action
 will be implemented, linked to specific problcms           will bc implcmcnlcd, wilh a spccific international
 facing Uiese counuies and not covered by Uie oUier         dimcnsion, linkcd to spccific problcms facing these
 acUviUes of Uie Framework Progranune. Thcsc                countrics and not addrcsscd by olhcr activities of
 acUons will be financed Uirough Uie specific               thc Framcwork Programme. Only these activities
 "internaUonal cooperaUon" acUvity:                         will bc financcd ihrough Ihe spccific "intcrnational
                                                            coopcraiion" prograinmc.
   Cooperation with certain categorics of counlry:          (a)       Coopcraiion with ccrtain calegorics of
                                                                      third counlry:
 CEEC: promotion of their centres of excellcncc.                 STATES IN THE PRE-ACCESSION PHASE:
                                                                 promolion of thcir cenlrcs of cxcellcnce,
                                                                 accompanying        ineasurcs     to       facilitate
                                                         37
 ---pagebreak---                                                        participation in the olher programmes of the
                                                       Framcwork Programme, including through
                                                       coopcralion nctworks;
MEDITERRANEAN              THIRD       COUNTRIES:
notably, regional aspects of managing Uie
Mediterranean Sea, support for socio-economic
development including the information society,
preservation of cultural heritage.
NIS: support for their research and technological      NIS AND CENTRAL AND EAST EUROPEAN
development potential, specific targeted acUons        COUNTRIES NOT IN THE PRE-ACCESSION
(satellite applications, regional problems linked to   PHASE: support for their rcsearch and
the environment and health).                           tcchnological dcvclopment polenlial; (including
                                                       through INTAS for the NIS, provided that a
                                                       ncw agrccmcnt is reached between ils members
                                                       on its continuation), cooperation in areas of
                                                       mutual intcrcst (including satellite applicaUons,
                                                       rcgional problcms linked to the environment
                                                       and hcallh);
                                                       MEDITERRANEAN PARTNER COUNTRIES:
                                                       improving, through joint aclivities, their
                                                       rcscarch and        tcchnological     development
                                                       capacilics     and      promoling      innovation;
                                                       coopcralion in areas of mutual interest, notably
                                                       regional aspccts of the Mediterranean Sea,
                                                       including cnvironmental aspccts; support for
                                                       socio-cconomic dcvelopmcnt, including the
                                                       urban dimcnsion, iransition to Ihc information
                                                       socicty and preservation of cullural heritage;
                                                       accompanying         measures     to      facilitate
                                                       parlicipalion in the othcr programmes of the
                                                       Framcwork Programmc, including through
                                                       coopcralion nctworks;
DEVELOPING             COUNTRIES          (including   DEVELOPING COUNTRIES:                   a policy
Mediterranean and 'emerging economy' countrics):       dialoguc on rcscarch and lcchnological
study of the mechanisms and socio-economic             dcvclopmcnl nccds and prioritics with groups of
conditions of sustainable development (for example     countrics and rcgions will be developed.
agro-industrial research, energy systems); support     Coopcralion activitics will be cnvisaged, in
for integrating productivity requirements and          particular in llic following areas: mechanisms
respect for the environment into thcse countries'      and conditions for sustainable dcvelopment;
ecosystems (for example water management); work        sustainablc management and usc of natural
to prevent and combat major diseases specific to       rcsourccs, including agricultural production and
these countries and to make their public health        food sccurity, environnicntal and energy
systems more effective.                                aspccls; hcalth and nutrition;
                                                       EMERGING                ECONOMY               AND
                                                       INDUSTRIALISED COUNTRIES: exchanges
                                                       of scicntisls; organisation of workshops;
                                                       accompanying         mcasurcs      to      promote
                                                       parlncrships and to cnhancc mutual access to
                                                    38
 ---pagebreak---                                                            cach olhcr's research and tcchnological
                                                           dcvclopmcnt activities including, where
                                                           appropriatc,       through . scicnlific       and
                                                           tcchnological coopcration agrccmcnts.
- Training of researchers: a system of fellowships     (b)       Training of researchers:
will be set up to give young researchers from
developing countries (including Mediterranean and      A s>'Slcm of fellowships will be set up to give young
'emerging economy' countries) a chance to spend        researchers       from      developing      countries,
time in Community laboratories and take part in        Mediterranean and "energy economy" countries the
Framework Programme research activities.               opporlunily of collaborating within laboratories in
Another fellowship scheme will be provided for         the Community on specific projccts of the
young Community researchers to work in industrial      Framework Programme.             Another fellowship
laboratories in Japan and South Korea.                 schcmc will be provided for a limitcd number of
                                                       young Community researchers to work in
                                                       induslrially-oricnlcd laboratories of the highest
                                                       qualily in third counlrics in arcas of particular
                                                       interest to the Community.
- Coordination with COST actions, the EUREKA           (c)       Coordination
initiaùve and international organisations involved
in research activity; coordination of activities       Coordination with COST Actions, and support for
pursued through the other programmes of the            COST adininislralion; coordination with EUREKA
Framework Programme - with one another, and            and with international organisations involved in
with those pursued through the Communily's other       research activities; coordination of activities
cooperaUon acUons and with the Member Stalcs'          pursued through the other programmes of the
cooperation acdviues.                                  Framework Programme - with one another, with
                                                       those pursued through the Communily's other
                                                       coopcralion activities (notably PHARE, TACIS and
                                                       MEDA) and with the Member Slates' cooperation
                                                       activities.
(b)       International coopcration pursued through 2.           International      coopcration      pursued
          the other Framework Programme                          through other Framework Programme
          activities                                             activities
Four types of participaUon in Uie specific programmes ParticipaUon by cnlitics of third countries in the
are foreseen:                                          specific programmes may basically takc two forms:
- full associaUon with the Framework Progranune:           programme participation based on full
participaUon and Community funding for Uurd counlry        associaUon with the Framework Programme:
enUUes under similar condiUons to Member Slalc             participation for third counlry cnlitics undcr
enUUes (EEA, some CEECs, Israel, Switzerland),             similar condilions to Member State entities.
                                                           Full associaUon of States in the pre-accession
                                                           phasc could be facilitated through appropriate
                                                           dcgrcssivc financing mechanisms, niaking use,
                                                           whcrc appropriatc, of other rclcvant Community
                                                           insirumcnls (c.g. PHARE). For other States in
                                                           the prc-acccssion phasc for which full
                                                           participation in the Framework Programme is
                                                           not yct fcasiblc, parlial associaUon with one or
                                                           niorc complclc specific programmes could be
                                                           cnvisagcd;
                                                    39
 ---pagebreak--- - participation in programmes open to tiiird countrics        participation in spccific programmcs on a
on the basis of bilateral or -multilateral agreements:        projcct-by-projcct basis: if a bilateral or a
participation without Community funding for Uurd              multilatcral coopcration agrecmcnt is necessary,
country entiUes, on a project-by-project basis (certain       in the Community's interest, in order lo provide
industrialised and 'emerging economy' countries).             acccss to high-quality third counlry programmes
Measures will be taken to enliance access to Uie              and suitable intellectual property rights
Framework Programme for "emerging economy"                    arrangcmcnts, project-by-project participaUon
countries,                                                    will bc subjcct to the conclusion of such an
                                                              agrccment. In the case of projcct-by-project
                                                              participation, participating enlilics of third
                                                              countrics will in principle not bcnefit from
                                                              funds undcr thcse programmcs, cxcept in cases
                                                              duly justificd as being in the Community's
                                                              inlcrcst. Mcasures will be taken to enliance access
                                                              lo Uie Framcwork Programmc for "emerging
                                                              cconomy" counlrics,
- participaUon in programmes open to third countrics
without specific cooperation agreements: participaUon,
in principle without Community funding for Uiird
country entiUes, on a project-by-project basis (CEECs
not associated with the specific programmes, European
NTS, Mediterranean partners),
- participaUon in projccts in vvhich it is in Uie
Community's interest to involve Uiird country
participants: participaUon funded in principle by Uie
Uiird country or, in certain didy justified cases, as
defined in the rules on participaUon adopted under
Article 130j of Uie Treaty, by Uie Community Uirough
the specific programme concerned.
                                                          Thc dctailcd conditions undcr which entities from
                                                          third countrics and inlcrnational organisations
                                                          involved in rcscarch aclivities can participate in the
                                                          Framcwork Programme, including the financial
                                                          arrangcmcnts, will be specificd in the Decision
                                                          which will be adoptcd pursuant to Article 130j of
                                                          the Trcaty.
                                                       40
 ---pagebreak---                     TlIIRDACTIMTY                                              THIRDACTIVITY
1.           INNOVATION      AND     PARTICIPATION     OF    1.         INNOVATION    AiND- PAKT1CIPATION       OF
             SMEs                                                       SMEs
                                                             Innovation is a key factor in industrial
Innovation is the key factor in industrial
                                                             competitiveness, sustainable social and economic
competitiveness and job creation. The aint is to
                                                             development andjob creation. The aim is to promote
promote it, facilitate the exploitation of research
                                                             innovative activities, including the creation of
results and foster the creation of innovative
                                                             innovative enterprises, and to facilitate the
enterprises.
                                                             dissemination aird exploitation of research results
                                                             andsupport technology transfer.
Small and mediunt-sized businesses are important             Small and medium-sized businesses are important
vectors and actors in innovation. They should be             vectors and actors in innovation. The development
provided with easy access to the advanced                    of SMEs can make a vitul contribution to economic
technologies which they need, and to the possibilities       and social development, new economic activities, job
offered by the Community's research programmes.              creation and competitiveness. SMEs should be
                                                             provided with easy access to the advanced
                                                             technologies which they need, and to the possibilities
                                                             offered by the Community's as well as the Member
                                                             States' research programmes.
The general objectives of Community action in Uiis
area are:
 - to improve Uie economic and social impact of
 programme research activities by reinforcing Uie
 mechanisms designed to ensure better exploitaUon of
 their results, as well as the transfer and dissemination
 of technology,
 - to facilitate Uie access of programme participants,
 particularly SMEs, to Uie instruments which finance
 innovation and support the creation of imiovative
 enterprises (financial engineering; venture capital),
 - to stimulate SME participaUon in Uie rcsearch
 programmes - both SMEs active in research and high
 technology and those with littie or no research
 capability but with substantial technological necds; to
 help SMEs, notably in. the least favoured regions, to
 develop their technological capabilities,
 - lo help implement Communily innovation policy,
 notably by adding a European dimension to national
 innovation systems.
 Community eflbrts to promote innovation and support
 SME participation in research programmes must be
 undertaken in Uie dual framework of Uie various
 Community actions and Uie specific innovation and
 SME activity. Th6 objectives and metiiods of Uicse
                                                          41
 ---pagebreak--- actions will be principally as follows:
(a)        Action spcciflc to thc "innovation ajid
           participation of SMEs" acti\ity
(i)       for innovation
- rationalisation and coordination at Community
level of networks providing information and
assistance on the Community's research and
innovation activities; management, in concert with
the programmes, of the support network for
innovation and technology transfer; consolidation
of the mechanisms for gathering and disseminating
information, such as the CORDIS information
service (joint action: innovation/SMEs),
- creation and development of assistance activities
in the area of intellectual property rights and access
to private finance, notably venture capital funds
(joint action: innovation/SMEs),
- definition, in concert with the programmes, of
mechanisms (value analyses, market research,
training) to facilitate, in the life-cycle of projecls,
the exploitation, private financing and transfer of
technologies and results produced, whilc
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 aclivities and help in creating
innovative start-ups, principally via European
organisations and funds (European Investment
Fund, European Investment Bank, and the Eurotech
Capital scheme),
- conception and definition of ncw methodologies
for technology transfer actions integrating the
technological, economic and social aspects of
innovation,
- identification and dissemination of bcst practice in
innovation and technology transfer (joint aclion:
innovation/SMEs) and coordinalion of sludies and
analyses, particularly in the area of innovation
policy.
(ii)      for SMEs
- management of a 'one-stop shop' - for all the
rcsearch programmes - in the Commission's
departments for project proposals to be
implemented specifically by SMEs; definition and
managemcnt of common tools facilitating SME
participalion in the programmcs (fullest possible
                                                       42
 ---pagebreak--- use of electronic methods for information dossicrs,
submission of proposals, "help line", etc).
                                                       Promotion of innovation and cncouraging SME
                                                       participation, although not synonymous, are closely
                                                       linkcd. As far as possible, this thcme will thercfore
                                                       be implcmcnted by means of joint aclion covering
                                                       both arcas. Furthcrmorc, the aclivilics carricd out
                                                       in this programme will be coniplementary to
                                                       activitics undertakcn within Mcmbcr Slales and to
                                                       aclivilics to promote innovation and encourage
                                                       SME participation carried out clscwhere in the
                                                       Framcwork Programme, and will thcrefore support,
                                                       supplcmcnt and, as appropriale, give direction to
                                                       thcsc various cfforts.
                                                       1.        Gcncral ohjcctivcs
                                                       a)        Promotion of innovation
                                                       -   to hclp implcmcnt innovation policies in the
                                                           Europcan Union, in particular by contributing to
                                                           the crcation of an environnicnt conducive to
                                                           innovation,
                                                       -   to ciihancc public awareness of the bcnefits of
                                                           innovation;
                                                       -   to improve the cconomic and social impact of
                                                           Framcwork Programme rcscarch activities by
                                                           cnsuring bcttcr disscmination and exploitation
                                                           of thcir results, as wcll as the transfer and
                                                           disscmination of technology from various
                                                           sourccs, taking account of the needs of
                                                           cuslomcrs and uscrs;
                                                       -   to facilitalc acccss of programme participants
                                                           (parlicularly SMEs), through provision of
                                                           informalion and advice, to instrumcnts which
                                                           support innovation.
                                                       b)        Encouraging SME participation
                                                       -   to stimulatc SME participation in the research
                                                           progranuucs and technology transfer to
                                                           SMEs - both SMEs activc in rcscarch and high
                                                           technology and those with lililc or no research
                                                           capabilily but with substantial tcchnological
                                                           nccds and a capacity to absorb new
                                                           lcchnologics; to hclp SMEs throughout the
                                                           Europcan Union to dcvclop thcir tcchnological
                                                           capabililics, also taking into account specific
                                                           problcms of SMEs in lcss-favoured rcgions;
                                                    43
 ---pagebreak---        to assist SMEs in selting up transnational
       nciworks and partncrships for thc absorption
       and diffusion of ncw tcchnologics;
       to cncouragc thc dcvclopmcnt of transnational
       links bctwccn SMEs, large companics, research
       ccntrcs and univcrsitics.
   2.         Activitics spccific     to thc   horizontal
              programmc
   a)         Promotion of innovation
   -    idcnlificalion and dissemination, in concert with
       Ihc othcr programmcs of ihe Framework
       Programmc, of adcquate mcchanisms to
       facililatc, in the life-cycle of projects, the
       cxploilalion, privatc financing and transfer of
       tcchnologics and rcsulls produced, *while
       guaranlccing prolcction of the knowledge
       acquircd;
   -    dcvclopmcnl, validation and implcmcntation of
        niclhodologics      for     lcchnology    transfer
        intcgrating the technological, economic and
        social aspccts of innovation and, vvhere
        ncccssary, transnational dissemination and
        cxploilalion of rcsulls not stemming from the
        thcnialic programmcs;
   -    coordination of studies and analyses carried out
        in various fora and integration of their results,
        wilh a vicw lo establishing a common reference
        framework in thc area of innovation policy.
    b)         Encouraging SME participation
   -    managcmcnt of a single complementary entry
        point for SMEs - for all the research
        programmcs - in           the        Commission's
        dcparimcnts, making usc of existing support
        nctworks in Mcinbcr Statcs; dcfmition and
        managcmcnt of common tools facilitating SME
        participation in thc programmcs (fullcst possible
        usc of clcclronic mclhods for information
        dossicrs, submission of proposals, "help line",
        spccialiscd Intrancts to slimulate SME
        participation in innovation, etc); provision of
         inforinalion on programmcs and training on
         proposal prcparation; incrcasing involvement of
         the       SMEs         concerned      in      the
         consullation/asscssmcnt process; ensuring a
         stnicturcd and rapid fccdback systcm for all
         applicants; assistance for the establishment of
         consortia; establishment of verlical "innovation
         nctworks" which could act as "virtual centres of
44
 ---pagebreak---                                                        cxccllcncc" and would include partners
                                                       involvcd in dcvclopmcnt, starl-up, management
                                                       andfinancingof ncw producls and proccsses;
                                                       assistancc lo SMEs in idcntifying thcir current
                                                       and fulurc tcchnological nceds and provision of
                                                       informalion and advice with a vicw to meeting
                                                       thcsc nccds.
                                                   c)         Joint "innovation/SMEs" actions
                                                   - aclions at Communily lcvel for the
                                                       ralionalisalion and coordination of networks
                                                       providing informalion and assistance on the
                                                       Comniunily's rcscarch            and   innovation
                                                       activilics; nianagcment, in conccrt with the
                                                       other programmes of the Framework
                                                       Programmc, of the support nctwork for
                                                       innovalion and technology transfcr, making best
                                                       use of thc innovation relay ccntres ahd the
                                                       CRAFT focal points; consolidalion of the
                                                       nicchanisms for gathcring and disseminating
                                                       informnlion, such as the CORDIS information
                                                       scrvicc;
                                                        provision of information and advice (as well as
                                                       pilot activilics) in the arcas of:
                                                       * intcllcctual propcrty righls;
                                                        * acccss to private finance, notably venture
                                                           capital funds;
                                                        * ihc crcation of innovative firms, principally
                                                           via Europcan organisalions and funds
                                                            (Europcan Invcstment Fund, European
                                                            Invcstmcnt Bank, and the Eurotech Capital
                                                            schcme);
                                                       Thc objcclivc of the pilot activilies will be to
                                                        improvc ihc cxisting capacilies for information,
                                                        advicc and analysis, to facilitale access to
                                                        existing public and private instruments at
                                                        national or Communily lcvcl wilhout providing
                                                        financial subsidics to cntcrprises or creating a
                                                        compctingfinancialinslrumcnt.
                                                   -    Idcnlificalion and promotion, in concert with
                                                        thc olhcr progranimes of the Framework
                                                        Programmcs, of bcst practices in innovation.
(b)      Intcraction with rclatcd actions in thc 3.            Intcraction with rclatcd actions in thc
         other Framcwork Programmc activitics                 other Framcwork Programmc activitics
(i)     for innovation                              a)         Promotion of innovation
- ensuring that the setting-up and management of - cncouraging prcparation for thc exploilation
                                                45
 ---pagebreak--- activities under the thematic programmes are                   and dissemination of rcsults during the rescarch
consistent with those specific to the "innovation               phasc;
and participation of SMEs" activily; encouraging               cnsuring consislcncy bclwecn aclivitics to foster
preparation for the exploitation and dissemination              innovation undcr the othcr programmes and
of results during the research phase.                           thosc carricd out in this prograninic;
                                                                coordination of thc activitics of the "innovation
                                                                units" lo bc sct up in the thcniatic programmes,
                                                               with ihc aim of integrating the innovation
                                                               dimcnsion       in    the     iniplcnicntation  of
                                                                programmcs (c.g. in the sclcction and
                                                                monitoring of projecls) and securing, as
                                                               appropriatc, thc follow-up of technology
                                                                transfcr, including tcchnology transfer projects
                                                               wilh a dcmonslrativc cffcct.
(ii)      for SMEs                                         b)         Encouraging SME participation
Support for SME participation in the "cooperative          Support for SME participation in research and
research" activities and in the other research,            tcchnological dcvclopment and dcmonstration
technological development and demonstration                activitics lo bc carricd out in thc framewbrk of
activities to be carried out in the programmes.            olhcr programmcs:
- "cooperative research" activities enabling at least           "coopcrativc rcscarch" activilics enabling at
Uiree mutually independent SMEs from at least two               lcast Ihrcc mutually indcpendcnt SMEs from at
Member States to entrust jointiy Uie resolution of Uicir        lcasl two Mcmbcr States to joinlly entrust the
common technological problems to Uiird legal enUUes.            rcsolution of thcir common technological
                                                                problcms lo third legal enlities with appropriate
                                                                rcscarch capacilics;
- activities to support and encourage SME                       activilics lo support and cncourage SME
participation in collaborative and cooperative research         participation in collaboralive and coopcrative
projects (for example on the basis of "exploratory              rcscarch projccts (for exaniplc on the basis of
awards").                                                       "cxploralory awards") respecting the needs of
                                                                SMEs for a flexible and easily accessible
                                                                support systcm.
                                                           Support for cnsuring and improving disscmination
                                                           and cxploitation of rcsults within the thematic
                                                           programmcs.
                   FOURTH ACTIVITY                       |1                    FOURTH ACTIVITY
 1.        IMPROVING HUMAN POTENTIAL                                  IMPKOVINC; IIUMA.N POTKNTIAL
 The world is increasingly based on knowledge. The         The world is increasingly based on knowledge. The
Community'sprime asset in this area is the quality of      Community's prime asset in this area is the quality of
its researchers, engineers and technicians. The aim        its researchers, engineers and technicians. The aim
is to preserve and help develop this knowledge             is to preserve and help develop this knowledge
potential through greater supportfor the train'mg and      potential through greater supportfor the training and
mobility of researchers, including towards                 mobility of researchers, including towards
enterprises, and by supporting better use of research      enterprises, and by supporting better use of research
infrastructure.                                            infrastructure.
                                                        46
 ---pagebreak--- The Community           also has a solid tradition of The Community also has a solid tradition of
research in social and economic science which neeils research in social and economic science which needs
to be nwbilisedto identify economic and social trends to be nwbilisedto identify economic and social trends
and requirements, both current andfuture.                     and requirements, both current and future
The general objectives of this activity, to bc rcaliscd in    The gcncral objccUvcs of tiiis activity, to bc rcaliscd in
concert with related actions elsewhere in Uic                 concert witii rclatcd actions clscwhcre in Uie
Framework Programme, are:                                     Framework Programme, are:
- to develop the Community's human potential,                 - to dcvclop Uic Community's human potential,
notably through the training and mobility of                  notably through Uie training and mobility of
researchers (including towards indusUy and in                 researchers (including towards indusUy and in
particular SMEs) and through innovation in Uic                particular SMEs) and tiirough innovation in the
methods and technologies of education and training            mclhods and lcchnologics of education and training
with a view to creating new jobs;                             w ilh a view lo crcating new jobs;
- to help make the Community an attractive location           - to help make Uie Community an attractive location
for researchers and for investment in research and to         for researchers and for invesUiient in research 'and to
promote European research in the international arcna;         promote European research in the inlernaUonal arena;
- to encourage better use of research infrastructure;         - to cncouragc bcttcr usc of research infrastructure;
- to develop Uie socio-economic knowledge base for a          - lo dcvclop Uic socio-economic knowledge base for a
better understanding of key social and economic topics        bcttcr understanding of kcy social and economic topics
linked to the objectives of Uie Framework Progranune          linked lo ihc objectives of Uie Framework Programme
and for the development of science and technology             and for Uie development of science and technology
policy and other Community policies.                          policy and olhcr Community policies.
                                                              - to cnsurc, by Uic dcploymcnt of spccific efforts,
                                                              cqualily of access and a bcltcr balance belween men
                                                              and womcn participaling in Uiis activity
(a)       Action spccific to the "improving human             (a)       Action spccific to the "improving human
          potential" activity                                           potential" activity
This activity is structured in five main lines:               This activity is structured in five main lines:
 (i)      Re'inforcing the Community's            human       (i)       Reinforcing the Community's             human
          research capital                                              research capital
The objective is to establish:                                The objective is to establish:
- research training networks, created in advanccd - research training networks, crcatcd in advanced
 and emerging fields of research, on topics frcely and emerging fields of research, on topics freely
chosen by the researchers. The accent will bc chosen by the researchers. The accent will be
placed on the training of young researchers at pre placed on the training of young researchers at pre
and post-doctoral level.                                      and post-docloral lcvcl.
 - a coherent system of "Marie Curie" fcllowships             - a coherent system of "Marie Curie" fcllowships
 including: fellowships for young high-quality                including: fcllowships for, young high-quality
 researchers with proven research experience,                 researchers with proven research experience,
awarded for topics chosen by the researchers                  awarded for topics chosen by the researchers
themselves; industrial host fellowships awarded to            themselves; industrial host fellowships awarded to
enterprises (including SMEs) for the training of              enterprises (including SMEs) for the training of
young researchers; host fellowships to help dcvclop           young researchers; host fcllowships lo help develop
                                                           47
 ---pagebreak--- high-level research capacity in the less favoured        high-lcvcl rcscarch capacily in thc lcss favoured
regions of the Community.              Supplemcntary     rcgions of thc Community.              Supplementary
fellowship measures will include those to promole        fcllowship mcasurcs will includc thosc lo promote
the mobility of researchers in both dircctions           thc mobilily of rcscarchers in both directions
between industry and academia, and to provide            bclwccn industry and academia, and to provide
travel bursaries to centres of excellcnce for docloral   travcl bursarics to ccntrcs of cxccllcnce for doctoral
studies.                                                 studics.
(ii)       Improving the utilisation of major            (ii)      Improving the utilisation of major research
            research infrastructures                               infrastructures
The aim is to promote optimum use of research            Thc aim is to promotc oplimum use of research
infrastructures (large facilities, networks of           infrastnicturcs (Iarge facilitics, networks of
distributed facilities, centres of competence) in        distribulcd facililics, centres of competence) in
those areas (including economic, legal and social        thosc arcas (including mathcmatical, economic,
sciences) not covered by other activities of the         lcgal and social scicnccs) not covcrcd by other
Framework Programme, or for categories of                aclivitics of thc Framework Programme, or for
infrastructure not considered by those activities. To    catcgorics of infraslructure not considcred by those
this end, measures are envisaged to hclp                 aclivilics. To this end, mcasurcs arc cnvisaged to
researchers with transnational access, to set up         hclp rcscarchcrs wilh transnalional access, to.set up
networks between infrastructure operators and to         nctworks bclwccn infrastructure opcrators and to
support research projects to improve access to           support rcscarch projects to improve access to
infrastructures.                                         infraslniclurcs.
(iii)       Promoting scientific and technological       (iii)     Promoting scientific and technological
            excellence                                             excellence
The objective here is to stimulate, through              Thc objcctivc here is to stimulate, through
exchange, scientific and technological excellence        exchangc, scicntific and tcchnological excellence
and to make the most of the achievements of              and lo makc ihc most of the achievements of
research. This vvill be achieved through support for     rcscarch. This will be achieved through support for
high-level scientific conferences, the networking of     high-lcvcl scicnlific conferences, the networking of
Community researchers active outside thc                 Community rcscarchcrs aclive outside the
Community, distinctions for high-level research          Communily, dislinclions for high-level research
work, and action to raise public awareness and lo        work, and aclion lo raisc public awareness and to
make information on important scientific issues          make informalion on important scicnlific issues
available to the public at Community level via           availablc lo ihc public at Conimunity level via
electronic networks.                                     elcctronic nclworks. .
(iv)        Harnessuig socio-economic research to        (iv)      Harnessing socio-economic research to the
            the needs ofsociety                                    needs ofsociety
These actions cover a limited number of subjccts         Thcsc actions covcr a limitcd number of subjects
linked to the general objectives of the Framcwork        linkcd lo thc gcncral objcctives of the Framework
Programme and aim at defining the base for               Prograininc and aim at defining the base for
employment-generating social and economic                cmploymcnl-gcncraling social and economic
development and for building a Europcan                  dcvclopincnt and for building a European
knowledge society. Work vvill focus primarily on         knowicdgc socicly. Work will focus primarily on
analysing the interplay between technological            analysing thc intcrplay bclwccn technological
progress, employment, innovation in education and        progrcss, cmployment, innovalion in education and
training, the Iegal environment and economic             training, ihc Icgal environmcnt and economic
competitiveness; studying the socio-economic             compclilivcncss; sludying the socio-economic
impact of the development of services and the "non-      impacl of thc dcvclopment of services and the "non-
tangible" economy; producing and validating new          langiblc" economy; producing and validating new
development models fostering growth, employment          dcvclopmcnl modcls fostcring growlh, employment,
and quality of life.                                     cqual opportuniiics for womcn and men, and
                                                         qualily of lifc.
                                                      48
 ---pagebreak--- (v)        Supporting the development of science          (v)      Supporting the development of science and
           andtechnology policies in Europe                        technology policies in Europe
This will be achieved by setting up an exchange           This will bc achicvcd by sclting up an exchange
forum in the form of the ETAN network (European           forum in thc form of thc ETAN nctwork (European
Technology Assessment Network), bringing                  Technology Assessment Network), bringing
together political decision-makers and researchers        togcthcr political dccision-makcrs and researchers
specialised in the study of science and technology        spccialiscd in thc study of scicnce and technology
policies, by technology evaluation, watch and             policics, by lcchnology evalualion, watch and
foresight activities, by the evaluation of scientific     forcsight aclivilics, by the evalualion of scientific
and technological choices; by the development of a        and tcchnological choiccs; by the development of a
system of statistics and scientific, technological and    systcm of statislics and scienlific, tcchnological and
innovation indicators.                                    innovation indicalors.
(b)        Interaction with rclatcd actions in thc (h)              Intcraction with rclatcd actions in the
           other Framcwork Programmc activitics                     other Framcwork Programmc activitics
This activity will include the coordination, support      This activity will includc llie coordinalion, support
and accompanying actions needed to ensure                 and acconlpanying actions nccdcd to ensure
consistency with related actions undertaken               consistency wilh related actions undertaken
elsewhere in the Framework Programme on the               clscwhcrc in ihc Framcwork Programme on the
aspects referred tc in 1(a) above.                        aspccts rcfcrrcd to in 1(a) above.
                                                       49
 ---pagebreak---                                                 ANNEX III
                          5TH FRAMEWORK PROGRAMME (1998-2002)
                                   AMOUNTS AND BRJEAKDOWN
                                                                           ECU million
                                                                          (current prices)
First activity (research, technological development and dcmonslration         11 7752
programmes)
Second activity (cooperation with third countrics and intcrnalional             4912
organisations)
Third activity (dissemination and optimisation of results)                      3502
Fourth activity (stimulation of the training and mobilily of rcscarchcrs)      1 4022
                                        MAXIMUMOVERALL AMOUNT                  14 8 3 3 1
Indicativc brcakdown bctwccn thc thcmcs of thc first activity:                  ECU million
- improving the quality of life and the management of livi'ng resources            2650 2
- creating a user-friendly information society                                     3925 2
- promoting competitive and sustainable growth                                     3100 2
-preserving the ecosystem                                                          2100 2
                                                                                11 7752
1
   Of which ECU 815 million for the JRC.
2
   Excluding the amount for JRC dircct actions.
                                                    50
 ---pagebreak---                ANNEXIV                                                   ANNEX IV
RULES FOR FINANCIAL PARTICIPATION BY                       RULES FOR FINANCIAL PARTICIPATION BY
                 THE COMMUNITY                                             THE COMMUNITY
The European Community will contribule                    The Europcan Community will contribute
financially to the research and technological             financially lo thc rescarch and tcchnological
development activities, including demonstralion           devclopmcnt activitics, including dcmonstration
activities, hereinafter referred to as "indirect RTD      activilics, hcrcinaflcr rcfcrrcd to as "indirect RTD
actions" carried out under the programmes                 aclions" carricd out under thc programmes
implementing the Framework Programme. In                  implcmcnting the Framework Programme. In
addition, it will carry out directiy research and         addition, it will carry out dircctly rcsearch and
development activities hereinafter referred to as         development activities hereinafter referred to as
"direct RTD actions".                                     "dircct RTD actions".
The key actions, the activities for the research and      The kcy actions, ihc research and tcchnological
development of generic technologies, support for          dcvclopmcnt aclivitics of a generic na'ture, support
research infrastructures and the activities carried       for rcscarch infraslructurcs and the activities
out in the context of activities 2, 3 and 4, as           carricd out in ihc context of activities 2, 3 and 4,
described in Annex II, will be implemcntcd                as dcscribcd in Anncx II, will bc implemented
through indirect RTD actions and direct RTD               through indircct RTD aclions and direct RTD
actions.                                                  actions.
1.         Indirect RTD actions                           1.         Indircct RTD actions
The indirect RTD actions will comprise five               Thc indircct RTD aclions will comprise five
categories:         shared-cost actions, training         catcgorics:         shared-cost aclions,       training
fellowships, support for networks, concerted              fcllowships, support for networks, concerted
actions and accompanying measures. Shared-cost            aclions and accompanying mcasures. Shared-cost
actions will be the main mechanism for                    aclions will bc llie main mcchanism for
implementing the programmes.                              implcnicnting Ihc programmes.
The rate of financial participation by the                The ralc of financial parlicipation by the
 Community in these actions will be as follows:           Communily in thcse aclions will be as follows:
 (a) Shared-cost actions                                  (a) Sharcd-cost actions
 -   Research and technological development               -    Research and technological development
     projects, demonstration projects, integrated              projects, demonstration projects, integrated
     projects:                                                 projects:
 Research and technological development projccts          Rcscarch and tcchnological development projects
 are projects designed to obtain new knowicdge            are projccls dcsigncd to obtain new knowledge
 likely to be useful either to develop or significantly    likcly lo bc uscful citlicr to develop or significantly
 improve existing products, processes and serviccs         improvc cxisling products, processcs and services
 or to meet the needs of society. They will bc            or lo mccl ihc nccds of socicly. Thcy will be
financcd in principle at a level of 50% of the             financcd in principlc at a level of 50% of the
 eligible costs. In the special case of lcgal entilies     eligible costs.
 which do not keep analytical accounts, the
 additional costs generated as a result of the
 research vvill be financed at the rate of 100%.
 Dcmonstration projects are projects which are             Dcmonstration projccts are projccls which are
 designed to prove the technical viability of              dcsigncd to provc thc technical viability of
 technologies and which cannot be commcrcialiscd           tcchnologics and which cannot bc coinmcrcialised
 directiy. They will be financed in principle at a         directiy. Thcy will bc financcd in principle at a
 level of35% ofthe eligible costs.                         level of35% ofthe eligible costs.
                                                        51
 ---pagebreak--- Integrated projects are projects vvith both a           Inlcgralcd projccls arc projccts with both a
rcsearch       and   technological      development     rcscarch      and      lcchnological      dcvelopment
component and a demonstration component. They           componcnt and a dcmonslration component. They
will be financed at a level corresponding to the        will bc financcd at a level corresponding to the
weighted average of the levels applicable to the        weighted average of the levels applicable to the
two components.                                         two components.
                                                        In ihc spccial casc of legal entilies which do not
                                                        kccp analytical accounts, the additional costs
                                                       generated as a result of these projects will be
                                                       fmanced at the rate of 100%.
- Supportfor access to research infrastructures:        - Supportfor access to rcsearch infrastructures:
Support will be granted to existing research            Support will be grantcd to existing research
infrastructures so that they can receive teams of       infrastructures so that they can rcccive teams of
Community researchers and enable them to                Cominunity rcscarchers and cnablc thcm to
optimise their research vvork.                          optimisc Ihcir rcsearch work.
Community funding granted as a contribution             Conimunily funding granted as a contribution
towards the optimum utilisation of infrastructures      towards ihc optimum utilisation of infrastructures
is set at up to 100% ofthe additional eligible costs    is sct al up to 100% ofthe additional eligible costs
connected with receiving teams of Community             connected with receiving teams of Community
researchers and making the facility available.          researchers and making the facility available.
   Technology stimulation projects to encourage - - Technology siimulation projects to encourage
   \dfacilitate SMEparticipation in RTD activities: and facilitate SMEparlicipation in RTD activities:
"Cooperàtive research" activities will be financcd      "Cooperàtive rcscarch" projects enable at least
up to 50% ofthe eligible project costs.                 thrcc mulually indcpcndcnt SMEs from at least
                                                        two Mcmbcr Slatcs to jointly entrust the resolution
                                                        of their conunon technological problems to third
                                                        lcgal cntitics with appropriate rcscarch capacities.
                                                        They are financcd up to 50% ofthe eligible project
                                                        costs.
"Collaborative research" activities will be financed    "Exploratory awards" allow the exploratory phase
in the form of an award covering up to 75% ofthe        of an RTD project lo be facililalcd. This could
eligible costs ofthe exploratory phase of an RTD        consist of feasibility sludics, project validation and
activity, including project validation and              preparation and partner search, during a period not
preparation, a feasibility study and partner search,    exceeding 12 months. They are financed up to
during a period not exceeding 12 months.                75% ofthe eligible costs of the exploratory phase
                                                        ofan RTD activity.
(b) Training fellowships                                (b) Training fellowships
In the context of the fourth activity, the              In the context of the fourlh activity, the
Community "Marie Curie" fellowships schcmc              Community "Marie Curie" fellowships scheme
will comprise several categories: fellowships for       will comprise scvcral categories: fellowships for
young researchers with proven expericnce,               young researchers with proven cxperience,
industrial host fellowships for training young          industrial hosl fellowships for training young
researchers and development host fellowships.           researchers and development host fellowships.
Under the fellowship scheme for young researchers       Under the fellowship schcmc for young researchers
with proven expericnce, fellows will receive an         with proven expericnce, fellows will rcccive an
allowance designed solely to cover their                allowance designed solely to cover their
subsistence expenses and proper social welfare          subsistence expenses and proper social welfare
expenses. They will also receive a contribution         expenses. They will also rcccive a contribution
                                                     52
 ---pagebreak--- designed to take into account the costs involvcd in     dcsigncd to takc into account the cosls involved in
mobility.                                               mobilily.
In the context of the second activity, the fellowship   In the conlcxt of thc second aclivity, thc fellowship
schemes will on the one hand enable young               schcmcs will on thc onc hand cnablc young
researchers from developing countries to be given       rescarchcrs       from      dcvcloping      countries,
an opportunity to spend time in Community               Mcditcrrancan counlries and enierging economy
laboratories, and on the other enable young             counlrics to bc givcn an opportunity to spcnd time
Community researchers to spend time in Japan and        in Comniunily laboratories, and on ihe other
South Korea.                                            cnablc young Communily researchcrs to spend
                                                        timc in indusirial laboratorics in third counlries in
                                                        arcas of spccial inlcrcst lo thc Coninumily.
Community funding vvill cover up to 100% of the         Cominunity funding will covcr up to 100% of the
eligible fellowship costs and a contribution to thc     eligible fellowship costs and a conlribulion to the
eligible costs of the host institution when it is in    eligible cosls of the host institution whcn it is in
the Community.                                          thc Conununity.
(c) Support for networks                                (c) Support for nctworks
The thematic networks will bring togclhcr               Thc Ihcmatic nclworks will bring together
manufacturers, users, universities, research cenlres    manufacturcrs, uscrs, universities, research centres
and organisations concenied with the diffusion or       and organisations conccrncd with thc diffusion or
transfer of innovation around a given scienlific and    Iransfcr of innovation around a givcn scientific and
technological objective so as to facilitatc the         tcchnological objcclive so as lo facilitate the
incorporation and transfer of knowledge, and            incorporation and transfer of knowiedge, and
cooperation between research players and users,         coopcration bctwccn rcsearch players and users,
ensure that .market needs are taken into account        ensure that markct nccds are takcn into account
 more effectively and promote scientific and             more cffcctivcly and promote scicnlific and
technological excellence. Community funding will        tcchnological cxccllence. Communily funding will
cover up to 100% ofthe additional eligible costs of     covcr up to 100% ofthe additional eligible costs of
coordinating and implementing the thematic              coordinaling and implcmcnling the thematic
 networks.                                               nctworks.
Research training networks vvill be created in          Rcscarch training nclworks will be created in
advanced or emerging fields of research on topics       advanccd or cincrging fields of rcscarch on topics
freely chosen by the researchers. Their main aim        frccly choscn by ihc rescarchers. Thcir main aim
will be to train young researchers at pre-doctoral      will bc to irain-"young researchers at pre-doctoral
and post-doctoral level. Community funding vvill        anti posl-doctoral lcvcl. Communily funding vvill
cover up to 100% of the additional eligible costs       covcr up to 100% of the additional eligible costs
connected with setting up and maintaining the           conncclcd wilh sctting up and mainlaining the
 network. The average maximum amount pcr                 nclwork.
 partner per annum will be set in the spccific
 programme to be adopted under the fourth activity.
 (d) Concerted actions                                   (d) Conccrtcd aclions
 Concerted actions will be designed to coordinate        Conccrlcd actions will bc dcsigncd to coordinatc
 national RTD projects already in receipt of            RTD projecls already in receipt of funding, in
funding, in order to exchange experience acquircd,       ordcr lo cxchangc cxpcricnce acquircd, to expand
 to expand the research efforts of the various           the rcscarch cfforts of llie various players so as to
 players so as to reach a critical mass, to              rcach a critical mass, lo disseminate results and to
disseminate results and to inforni uscrs.                inforni uscrs. Community funding will covcr up to
 Community funding will cover up to 100% of the          100% of ihe additional eligible costs connected
additional     eligible   costs connectcd with           with conccrtalion.
concertation.
                                                      53
 ---pagebreak--- (e) Accompanving measures                                (c) Accompanving mcasures
Accompanying measures will contribute towards           Accompanying mcasures will conlribute towards
the implementation of the specific programmes or        ihe implcincnlation of the spccific programmes or
the preparation of future activities, vvith a view to   thc prcparation of future activitics, with a view to
enabling them to achieve or define their stratcgic      enabling ihcm to achicve or dcfinc their strategic
objectives. They will also seek to prepare or           objcclivcs. Thcy will also seck lo prepare or
support the other indirect RTD actions. Measurcs        support thc othcr indircct RTD aciions. Measures
devoted to the commercialisation of products,           devoted to Ihe conimercialisation of products,
processes or services, marketing activitics and         proccsscs or scrvices, marketing aclivities and
sales promotion are excluded. Community funding         salcs promolion arc cxcludcd. Coinmunily funding
may be up to 100% of the eligible costs of the           may bc up to 100% of the eligible costs of the
measures.                                               measures.
In the Decisions adopting the specific programmes        In llic Dccisions adopting thc spccific programmes
implementing the 5th Framework Programme                 implcmcnting thc 5th Framcwork ,Programme
there can be no derogations from the financial           thcrc can bc no dcrogalions from the financial
participation rates set above, vvith the exception of   participalion ratcs sct above, with the exception of
duly justified special cases. The Decisions may         duly justificd spccial cascs. The Dccisions may
spell out in more detail the indirect RTD actions       spcll out in morc detail the indirect RTD actions
described above, supplement them or subject thcm        dcscribcd above, supplement thcm or subjcct them
to additional conditions or limitations.                 to additional conditions or limilalions.
The other rules for the financial participation of      Thc othcr rulcs for the financial participation of
undertakings, research centres and universilies in      undcrtakings, rcscarch ccntrcs and univcrsities in
indirect RTD actions and for the dissemination of        indircct RTD aciions and for the dissemination of
results are specified in the Council Decision            resulls arc spccified in the Council Decision
adopted pursuant to Article 130j of the Treaty.          adoplcd pursuanl lo Articlc 130j of the Treaty.
          2. Dircct RTD actions                                    2. Dircct RTD actions
The direct RTD actions to be implemented by the         Thc dircct RTD actions to be implementcd by the
Joint Research Centre (JRC) will comprise                Joint Rcscarch Ccntrc (JRC) will comprise
research activities of an institutional character and    rescarch and scicnlific and tcchnical support
scientific and technical support activities of an        activities of an institutional character. The JRC
institutional character. The research activities of      may providc support whcre it has spccial or even
an institutional character are those for which the       unique facilitics in the Commimily or where it is
JRC has special or even unique facilitics in the         laskcd wilh activilics ncccssary for the framing
Community and which contribute to the                    and implcmcnlation of Community policies and
implementation of Community RTD policy. Thc              tasks incumbcnl on thc Commission pursuant to
scientific and technical support activities of an        thc Trcaty which rcquirc the JRC's impartiality.
institutional character are activities necessary for     Coiuniimity funding will be 100% of the costs of
the framing and implementation of Community              the direct RTD action.
policies and tasks incumbent on the Commission
pursuanf to the Treaty which require the JRC's
impartiality. Community funding will normally be
 100% ofthe costs ofthe direct RTD action.
3. Any Council Decisions taken pursuant to               3. Any Council Decisions taken pursuant to
Article 130o, as referred to in Article 3(2) of this     Arliclc 130o, as rcfcrred to in Article 3(2) of this
Dccision, will lay down, where necessary, the rules      Dccision, will lay down, whcre neccssary, ihe rules
for financial participation by the Community             for financial participalion by the Communily
                                                      54
 ---pagebreak---         SECOND AMENDED PROPOSAL FOR A COUNCIL DECISION CONCERNING
           THE FIFTH FRAMEWORK PROGRAMME OF THE EUROPEAN ATOMIC
ENERGY COMMUNITY (EURATOM) FOR RESEARCH AND TRAINING ACTIVITIES
                                                (1998-2002)
                                             (.../.../Euratom)
             ORIGINAL PROPOSAL                                       AMENDED PROPOSAL
THE COUNCIL OF THE EUROPEAN UNION,                       THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing thc            Having rcgard lo the Trcaly cstablishing the
European Atomic Energy Communily, and in                Europcan Alomic Energy Community, and in
particular Article 7 thereof,                           parlicular Articlc 7 thcrcof,
Having     regard   to   the   proposal  from     the   Having rcgard        lo  the   proposal   from   the
Commission/                                             Commission,1
Having regard to the opinion of the Europcan            Having rcgard to thc opinion of the Eurqpean
Parliament/                                             Parliamcnt,2
Having regard to the opinion of the Economic and        Having rcgard to the opinion of the Economic and
Social Committee/                                       Social Commitlcc,3
Whereas a multiannual framework programme               Whcrcas a nuilliannual framework programme
covering all research activities, including             covcring all rcscarch activitics, including
demonstration activities, and training activitics in    dcmonslralion activilics, and training activilies in
the field of nuclear energy, to be implemenled by       thc ficld of nuclcar cncrgy, to bc implemented by
means of research and training programmes, can be       mcans of rcscarch and training programmes, can be
adopted pursuant to Article 7 of the Treaty;            adoptcd pursuant to Article 7 of the Trcaty;
Whereas it has been held appropriate to adopt, for      Whcrcas it has bccn hcld appropriate to adopt, for
the period 1998-2002, a new framework                   thc pcriod 1998-2002, a new framework
programme in order to ensure the continuity of          programmc in order to ensure the continuity of
research and training activities in the field of        rescarch and training activilics in the field of
nuclear energy;                                         nuclcar cncrgy;
Whereas, in accordance with Article 4(2) of             Whcrcas, in accordance with Article 4(2) of
Council Decision 94/268/Euratom of 26 April 1994        Council Decision 94/268/Euratom of 26 April 1994
concerning a framework programme of Community           conccrning a framework programmc of Community
activities in the field of research and training for    activitics in thc ficld of rcscarch and training for
the European Atomic Energy Community (1994 to           thc Europcan Atomic Energy Community (1994 to
1998),4 amended by Decision 96/253/Euratom,5             1998)/ amcndcd by Decision 96/253/Euratom,5 the
the Commission is required to have an external          Cominission is rcquircd to have an external
assessment conducted into the management of and         asscssmcnt conduclcd inlo the management of and
progress with Community activities carried out          progrcss wilh Communily activitics carried out
during the five years preceding that assessment,        during the fivc ycars prcceding that assessment,
prior to presenting its proposal for the Fiflh          prior to prcscnling ils proposal for the Fifth
Framework Programme; whereas that assessment,           Framcwork Programmc; whcrcas that asscssment,
     O J N o C 173, 7.6.1997, p. 30                        OJ No C 173, 7.6.1997, p. 30, and OJ No C 291,
                                                           25.9.1997, p. 16..
     OJ NoC 355, 21.11.1997, p. 38.                        OJ N o C 355, 21.11.1997, p. 38
     OJNoL 115, 6.5.1994, p. 31.                           O J N o L 115, 6.5.1994, p. 31.
     OJN0L86, 4.4.1996, p. 7.                              OJ No L86, 4.4.1996, p. 7.
                                                       55
 ---pagebreak--- the conclusions thercof and the Commission's            thc conclusions thcrcof and ihc Commission's
comments have been communicated to the                  commcnls havc bccn coninumicatcd lo the
European Parliament, the Council and the                Europcan Parliamcnt, the Council and the
Economic and Social Committee;                          Economic and Social Commiltce;
Whereas on 10 July 1996 the Commission adoptcd          Whereas on 10 July 1996 the Commission adopted
a communication^ setting out the preliminary            a communication6 sclting out the preliminary
guidelines for the Fifth Framevvork Programme,          guidelines for thc Fifth Framework Programme,
stressing the need for the latter to meet economic      stressing thc need for the latter to meet economic
and social needs as a matter of priority; whereas       and social nccds as a matter of priority; whereas
that communication vvas followed by a first             that communication vvas followed by a first
                                                        working paper of 20 November 1996,7 which
working paper of 20 November 1996,7 which               provided more dclails about the proposed objectives
provided more details about the proposed objectives     and thc implcincntation mechanisms, and then a
and the implementation mechanisms, and then a           second working paper of 12 February 1997,8 which
second working paper of 12 February 1997,° which        sct out thc possible content of thc Fifth Framework
set out the possible content of the Fifth Framework     Programme;
Programme;
Whereas European Atomic Energy Community                Whereas Europcan Atomic Energy Community
research in the field of nuclear energy must reflect    research in thc ficld of nuclear energy must reflect
the current context of the need to develop safe and     the current context of thc nccd to dcvclop safe and
acceptable energy systems that respect standards        acceptable energy systems that respect standards
and the environment and are competitive in tcrms        and the environment and are compciilive in tcrms
of production costs;                                    of production costs;
Whereas the Fifth Framevvork Programme should           Whereas ihc Fifth Framework Programme should
therefore focus on areas covering activities for the    therefore focus on areas covering research and
research and development of generic technologies,       tcchnological development activities of a generic
action which brings together this type of activities    nalurc, action which brings together this type of
in a coherent whole, targeted strategically on one      activities in a coherent whole, targclcd strategically
and the same mobilising topic (hereinafter referrcd     on one and thc same mobilising topic (hereinafter
to as "key action"), and support for research           referrcd to as "key action"), and support for
infrastructures;                                        research infrastructures;
Whereas, furthermore, the Fifth Framework               Whereas, furthermore, the Fifth Framework
Programme should include, in addition to the            Progranimc should include, in addition to the
thematic aspects, horizontal aspects covering           thematic aspccls, horizontal aspects covering
cooperation with third States and international         cooperation with lliird States and international
organisations, the dissemination and exploitation of    organisations, ihc dissemination and exploitation of
the results of research and training activities and     thc results of research and training activities and
the training and mobility of researchers;               the training and mobility of researchers;
Whereas      this    approach     presupposes    the    Whereas       this   approach     presupposes      the
maintenance and enhancing of the potential for          maintenance and enhancing of the potential for
scientific and technological excellence existing        scientific and lcchnological excellence. existing
within the Community, vvhilst taking into account       within thc Community, whilst taking into account
the efforts of its main international partners;         ihc incrcascd efforts by its main international
whereas that potential concerns both the physical       partners in research and training invcstments;
and non-tangible infrastructures and human              whereas that potential concerns both the physical
resources;                                              and non-langiblc infraslnictures and human
                                                        resources;
6                                                     6
     COM(96)33 final.                                    COM(96)33 final.
7                                                     7
     COM(96)595 final.                                  OM(96)595final.
8                                                     8
     COM(97)47 final.                                   COM(97)47final.
                                                     56
 ---pagebreak---                                                         Whcrcas promoting sustainablc growth for
                                                        Europc's cconomy and sustainable compclitivcness
                                                        for its induslry rcquircs strcnglhcning its science
                                                        and tcchnology base in thc mcdium or long term.
Whereas cooperation with all third Slates and           Whcrcas coopcralion vvilh all third States and
international organisations must be stepped up, in      inlcrnalional organisations must bc stcppcd up, in
particular in pursuit of the objective of the pcaceful  particular in pursuit of thc objcclivc of thc peaceful
use of nuclear energy; whereas it is necessary that     usc of nuclcar cncrgy; vvhercas it is necessary that
the Community continue to play an important             thc Conununity continuc to play an important
international role in the field of nuclear fission      inlcrnalional rolc in the field of nuclcar fission
safety, in particular with regard to the Central and    safcty, in particular with rcgard to the Ccntral and
East European countries and the States that have        East Europcan counlrics and the Statcs that have
emerged from the former Soviet Union; whereas it        cmcrgcd from thc former Sovict Union; whereas it
is also important to continue, vvhere appropriale,      is also imporlanl lo continuc, whcre appropriate,
international cooperation activities vvith regard to    intcrnalional coopcralion aclivitics with regard to
third States in the field of controlled thermonuclear   third Statcs in ihc ficld of conlrollcd thcrmonuclear
fiision;                                                fusion;
Whereas under Article4(l) of the Treaty Whcrcas undcr Article 4(1) of the Treaty
Community research and training activities in the Community rcscarch and iraining activitics in the
nuclear field must aim to complement action in the nuclcar ficld niust aim to complcnient aclion in tne
Member States; whereas Community action must Mcmbcr Slatcs; whcrcas Community aclion must
therefore make it possible to bring added value to thcrcforc make it possiblc to bring added value to
the efforts undertaken in the Member States;            thc cfforts undcrlakcn in thc Mcmbcr Slales;
Whereas the criteria established to choose the areas Whercas ihc critcria eslablishcd to choose the areas
covered by the Fifth Framework Programme and covcrcd by thc Fifth Framcwork Programme and
the related scientific and technical objectives take thc rclalcd scicnlific and tcchnical objcctives take
into account the above-mentioned principlcs; into account ihc abovc-mcnlioncd principles;
whereas those criteria should also be applied to the whcrcas thosc critcria should also be applied to the
implementation of the Fifth Framework implcmcntalion of the Fifth Framework
Programme in order to ensure consistency;               Programmc in ordcr lo cnsure consistcncy;
Whereas the Joint Research Centre will contribute       Whcrcas thc Joint Rcscarch Centre (JRC) will
towards the implementation of the framework             implcincnt dircct rcscarch and training aclions
programme in areas in which it provides imparlial       througli rcscarch and scicntific and technical
and independent expertise and the scientific and        support activitics of an inslitulional character
technical support needed for the implementation of      whcrc it has spccial or cvcn unique expertise and
the various Community policies; whereas, in              facililics in ihc Comnuinily or whcrc it is tasked
addition, it vvill participate, in the context of       wiih activitics ncccssary for the framing and
consortia, in carrying out research and training         implcmcnlalion of Comniunity policics and tasks
activities;                                              incumbcnl on ihc Comniission pursuant to the
                                                        Trcaly which rcquirc thc JRC's impartiality; in
                                                         addilion it will participate, progrcssivcly in a
                                                        compctilive approach, and in the context of
                                                         consortia, in carrying out rcscarch and training
                                                         activilics forcsccn by way of indircct actions;
 Whereas the annual report to be submillcd to ihc        Whcrcas ihc annual rcporl lo be submitlcd to the
 Council pursuant to Article 7 of the Treaty should      Council pursuanl to Arliclc 7 of thc Trcaly will also
 also be submitted by the Commission to thc              bc submittcd by thc Commission to the European
European Parliament; whereas, in accordance with         Parliamcnt; whcrcas, in accordancc with the
 the recommendations to be implemented in respect        recommendations to be implemcnted in respect of
of transparency and sound and efficient                  transparcncy and sound and cfficicnt managcmcnt,
 management, arrangements should also be adoptcd         arrangcincnls should also be adoplcd for the
 for the systematic examination of the progrcss of       syslcmatic cxamination of the progrcss of the
 thc Fifth Framework Programme and ils                   Fifth Framcwork Programmc and its evaluation;
                                                       57
 ---pagebreak--- evaluation;
Whereas a financial reference amount, within the          Whereas a financial rcfcrcncc amount, within the
meaning of point 2 of the declaration of thc              meaning of poinl 2 of thc declaration of the
European Parliament, the Council and the                  European Parliament, the Council and the
Commission of 6 March 1995, 9 is included in the          Commission of 6 March 19959, is included in the
present decision for the whole duration of the            prcscnt decision for the whole duration of the
Framework Programme, without prejudice to the             Framework Programme, wilhout prejudice to the
responsibilities of the budgetary authority defincd       responsibilities of thc budgetary authority defined
in the Treaty.                                            in thc Treaty.
                                                          Whereas thc budgetary authority vvill make every
                                                          effort to rcach the financial rcfcrcncc amount
                                                          providcd that thc financial pcrspcctive for the
                                                          forthcoming pcriod is compaliblc w ilh the justified
                                                          requiremcnts of all the other policics;
                                                          Whereas the financial reference amount allocated
                                                          to thc Fifth Framework Programme will be revised
                                                          in thc cvcnl of thc acccssion of new Mcmber States
                                                          bcforc thc cxpiry of thc framework programme;
                                                          Whereas thc adminislrative expcnditure arising
                                                          from thc rcscarch activilies should bc financed
                                                          within the limils of the general amount allocated to
                                                          thc framework progrtihime, and whereas it should,
                                                        ' howcvcr, bc included in the budget in a transparent
                                                          fashion; whereas the budgetary authority requires
                                                          of thc Commission a dclailed, comparable analysis
                                                          of     adminislrative      expendilurc     and      the
                                                          iniplemcnlation thcrcof;
Whereas in order to ensure consistency betwecn the        Whereas in order to ensure consistency bctween the
research activities undertaken under the Euratom          research activities undertaken under the Euratom
Treaty and those carried out under the Treaty             Treaty and those carried out under the Treaty
establishing the European Community, the                  establishing thc European Community, the
Decision concerning the framework programme of            Decision concerning the framework programme of
the     European      Community        for   research,    the     European      Community        for    research,
technological development and demonstration               technological development and demonstration
activities should be adopted at the same time as and      activities should bc adoplcd at the same time as and
for the same period as this framework programme           for thc same pcriod as this framework programme;
Whereas the Scientific and Technical Committcc            Whereas thc Scientific and Technical Committee
has been consulted by the Commission and has              has bccn consullcd by ihe Commission and has
delivered its opinion,                                    delivered its opinion,
HAS DECIDED AS FOLLOWS:                                   HAS DECIDED AS FOLLOWS:
                       Article 1                                                 Arlicle 1
    A multiannual framework programme for all                 A multiannual framework programme for all
    research activities, including demonstration              rcscarch activities, including demonstration
    activities, and training activities in the field of       activities, and training activilies in the field of
    nuclear energy, hereinafter referred to as the            nuclear energy, hereinafter referred to as the
    "Fifth Framework Programme", is hcrcby                    "Fifth Framework Programme", is hereby
9
     OJC 10, 4.4.1996, p. 4.                             'OJC 10. 4.4.1996, p.4.
                                                        58
 ---pagebreak---     adopted for the period 1998-2002.                           adoptcd for the period 1998-2002.
    The Fifth Framework Programme shall covcr                   The Fifth Framework Programme shall cover
    controlled thermonuclear fusion and energy                  conlrollcd ihcrmonuclear fusion and energy
    systems      related      to   nuclear fission.             syslcms       rclalcd     to   nuclear fission.
    Those two areas shall include, in addition to the           Those two areas shall include, in addition to the
    thematic aspects, horizontal aspects concerning             thcinalic aspccls, horizontal aspects concerning
    cooperation with third countries and                        cooperation with third counlrics and
    international organisations, the dissemination              international organisations, the dissemination
    and exploitation of the results of research and             and exploitation of the results of research and
    training activities, and the stimulation of the             training activities, and the stimulation of the
    training and mobility of Community                          training and mobility of Community
    researchers.                                                researchers.
    The criteria used for selecting the areas referred     3. The criteria used for selecting the areas referred
    to in paragraph 2 and the related objectives are            lo in paragraph 2 and the rclalcd objectives are
    set out in Annex I. They shall apply for the                set out in Annex I. Thcy shall apply for the
    implementation of the Fifth Framework                       implcnicntation of the Fifth Framework
    Programme.                                                  Programme.
    The general outlines of the areas, the scienlific 4. The gcncral outlines of the areas, the scienlific
    and technological objectives and the related                and technological objectives and the related
    priorities are set out in Annex II.                         priorities are set out in Annex II.
                        Article 2                                                   Article 2
The financial reference amount for the The financial rcfcrcnce ainount for the
implementation of this framework programme for implcmcnlalion of this framework programme for
the period 1998-2002 is ECU 1 467 million.10               l h c criod
                                                                 P       1998-2002 is ECU 1 467 million.10
The annual appropriations vvill be authorised by the If this amount is consistent with the financial
budgetary authority within the limits of the pcrspcclivc for the period 2000-2002, it shall be
financial perspective.                                      dccmcd to bc confirmed. Othervvise, the annual
                                                          appropriations allocatcd by the budgetary authority
                                                          shall bc consistent with the financial perspective
                                                          for each of the ycars in that pcriod, in compliance
                                                          with lhc priorities set in this Dccision.
                                                          All lhc adminislralive expcnditure arising from the
                                                          research activities shall be paid from the overall
                                                          amount allocatcd to the programme. It shall
                                                          appcar in lhc same way as olhcr comparable
                                                         administralivc expcnditure in the Comniunity
                                                         budgct. The Commission shall communicate each
                                                         ycar, with lhc prcliminary draft budgct, detailed
                                                         comparable analyscs of administralive expcnditure
                                                         and lhc implcmcnlalion thcreof.
                                                         The amount referred to in the first paragraph of
                                                         this Article may bc subjcct to rcvision in the event
                                                         of the acccssion of ncw Mcmbcr Statcs before the
                                                         expiry of lhc framework programme.
10                                                      10
    Of which ECU 326 million for the JRC                   Of which ECU 326 million for the JRC.
                                                       59
 ---pagebreak---                        Article 3                                                Article 3
        The Fifth Framework Programme shall be 1.               The Fifth Framework Programme shall be
        implemented through two rcsearch and                    implcmcnlcd Ihrough two rcsearch and
        training programmes, one of vvhich shall be             training programmcs, one of which shall be
        specific to the Joint Research Cenlre.                  spccific to llic Joint Rcscarch Centre.
        Each research and training prograntme shall             Each rcscarch and training programme shall
        specify the detailed rules for ils                      spccify thc dctailcd nilcs for its
        implementation, fix its duration and provide            implcmc.nlation, fix its duration and provide
        for the necessary funds                                 for llic ncccssary funds
        Implementation of the Fifth Framework 2.                Implcmcnlalion of the Fiflh Framework
        Programme may give rise, where necessary,               Programmc may give rise, whcre necessary,
        to supplementary programmes. It may also                lo supplcmcntary programmcs. It may also
        give rise to the conclusion of agreements               givc risc to the conclusion of agreements
        with third countries or international                   with ihird counlrics or intcrnational
        organisations within the meaning of Article             organisations within the mcaning of
         lOloftheTreaty.                                        Articlc 101 ofthcTreaty
                        Article 4                                               Article 4
The detailed rules for financial participation by the    Thc dctailcd rulcs for financial participation by the
European Atomic Energy Community in the Fifth            Europcan Atomic Encrgy Comniunily in the Fifth
Framework Programme shall be those laid down in          Framcwork Programme shall be those Iaid down in
accordance vvith the special provisions concerning       accordancc with the'spccial provisions concerning
research       and     technological    development    * rcscarch       and     tcchnological      development
appropriations in the Financial Regulation               appropriations in ihe Financial Regulation
applicable to the general budget of the Europcan         applicablc lo thc gcncral budget of the European
Communities, as supplemented by Annex III to this        Communities, as supplemented by Annex III to this
Decision.                                                Dccision.
                        Article 5                                               Article 5
1. The Commission shall examine each year, with 1. Thc Commission shall examine each year, vvith
    the help of appropriately qualified independcnt         thc hclp of appropriatcly qualificd independent
    experts, the implementation of the Fifth                cxpcrts, thc implcmenlation of the Fifth
    Framework Programme and its research and                Framcwork Programme and its rcsearch and
    teaching programmes in the light of the crileria        tcaching programmcs in the light of Ihe criteria
    set out in particular in Annex I. It shall assess,      sct out in parlicular in Annex I. It shall assess,
    in particular, whether the objectives, priorilics       in parlicular, whcthcr thc objeclivcs, priorities
    and financial resources are slill appropriate to        and financial rcsourccs are still appropriate to
    the changing situation. Whcre appropriate, it           thc changing silualion. Whcrc appropriate, it
    shall submit proposals to adapt or supplement           shall submit proposals to adapt or supplement
    the framework programme and/or the research             thc framcwork programme and/or the research
    and training programmes.                                and training programmcs.
2. Before submitting its proposal for a Sixth 2. Bcforc submilling its proposal for a Sixth
    Framework Programme, the Commission shall               Framcwork Programmc, ihc Commission shall
    have an external assessment conducted by                havc an cxtcrnal asscssmcnt conducted by
    independent high-level experts into the                 indcpcndcnt high-Icvcl cxpcrts into the
    implementation of the activities in the areas           implemcnlation of the activilies in the areas
    referred to in Article 1(2), carried out during         rcfcrrcd lo in Articlc 1(2), carricd out during the
    the five years prcceding that assessment, in thc        fivc ycars prcccding that assessmcnt, in ihc light
    light of the criteria set out in particular in          of thc critcria sct out in particular in Annex I.
    Annex I. The Commission shall communicate               Thc Coinniission shall communicate the
    the conclusions thereof, togcther wiih its              conclusions thcrcof, togcthcr with its comments,
    comments, to the European Parliament, the               lo thc Europcan Paiiiamcnt, thc Council and the
    Council     and   the    Economic    and    Social
                                                       60
 ---pagebreak---    Committee.                                              Economic and Social Commillce.
3. The independent experts referred to in 3. Thc indcpcndcnt expcrts refcrred to in
   paragraphs 1 and 2 shall be chosen by the               paragraphs 1 and 2 shall be chosen by the
   Commission, which shall take rnto account, in a         Commission, which shall take into account, in a
   balanced fashion, the various research players.         balanccd fashion, thc various rcsearch players.
4. The Commission shall submit a report to the 4. The Commission shall submit a rcport to the
   European Parliament and the Council at the              Europcan Parliamcnt and the Council at Ihe
   beginning of each year. The report shall cover          bcginning of each ycar. The report shall cover
   in particular the research and training activities      in particular ihc rcscarch and training activities
   carried out during the preceding year and the           carricd out during the prcccding ycar and the
   work programme for the year in progress.                work programmc for the ycar in progrcss.
Done at Brussels,...                                    Donc at Brusscls,
For the Council                                         For ihc Council
The President                                           Thc Prcsidcnt
                                                      61
 ---pagebreak---                         ANNEXI                                                     ANNEXI
  CRITERIA FOR SELECTING THE AREAS AND                       CRITERIA FOR SELECTING THE AREAS AND
                     OBJECTIVES                                                 OBJECTIVES
 The implementation of Euratom's research policy            1. Thc implcmcntation of Euralom's research
 in the field of nuclear energy is based on the twin       policy in thc ficld of nuclcar cncrgy is based on the
 principles of scientific and technological excellence     twin principlcs of scicntific and technological
 and the relevance of research and training activitics     cxccllcncc and thc rclcvance of rescarch and
 to the objectives of the Treaty establishing the          training activitics lo the objectivcs of the Treaty
 European Atomic Energy Community.                         establishing thc European Atomic Energy
                                                           Community.
 In pursuit of a cost-benefit approach dictated by         Morcover, in pursuit of a cost-bcncfit approach
 concern for optimum allocation of European public         dictatcd by conccrn for optimum allocation of
 funding, the choice of themes for the 5th                 Europcan public funding, and in accordance with
 Framework Programme and the related objectives            thc subsidiarity principlc, thcmes for the 5th
 will be made on the basis of a set of conimon             Framcwork Programme and the rclatcd objectives
 criteria, divided into three categories.                  will bc sclcctcd on thc basis that the Comnuinity
                                                           shall' lakc action only if and in so far as the
                                                          objectives cannot be sufficiently achieved by the
                                                          Mcmbcr Stalcs.
                                                          2. In application of thc foregoing principles, the
                                                          Framcwork Programme shall be dcfined on the
                                                          basis of a sct of common criteria, divided into three
                                                          calegorics:
                                                           •    Criteria related to the Commiinitv "value
                                                                added" and the suhsidiaritv principle
                                                          -     need to establish a "critical mass" in human
                                                                and fmancial terms, in particular through the
                                                                combination of the complementary expertise
                                                                and resources available in the various Member
                                                                States,
                                                          -     significant contribution to the implementation
                                                                ofone or more Euratom policies,
                                                          -     addressing of problems arising at Community
                                                                level, or queslions relating lo aspects of
                                                                standardisalion or connected          with the
                                                                development ofthe European area,
                                                          so as to select only objectives which are more
                                                         •effectively pursued at the Community level by
                                                          means of research aclivities conducted at that
                                                          level.
•    Criteria related to social objectives                •     Criteria related to social objeclives
-    improving the employment situation,                  -     improving the employment situation,
-   promoting the quality oflife and health,              -     promoting the quality oflife and health,
-   preserving the environment,                           -     presen>ing the environment,
in order w atit'ir. i/uijot soual         objectivc: of   •'/.• order to further major social objectives of
                                                        62
 ---pagebreak--- Euratom reflecting the expectations and concerns    Euratom reflecting the expectations and concerns
ofits citizens.                                      ofits citizens.
•   Criteria related to economic development and     •   Criteria related to economic development and
    scientific and technological prospects               scientific and technological prospects
-   areas which are expanding and create good       -    areas which are expanding and create good
    growth prospects,                                    growth prospects,
-   areas in which Community undertakings can       -    areas in which Community undertakings can
    and must become more competitive,                    and must become more competitive,
-   areas in which prospects of significant         -    areas in which prospects of significant
    technological progress are opening up.               scientific and technological progress are
                                                         opening      up, offering possibilities       for
                                                         disseminalion and exploitation of results in the
                                                         medium or long term,
                                                     in order to contribute to the harmonious and
                                                    susiainable development ofthe European Union as
                                                     a whole.
•    Criteria related to the Communitv "value
    added" and the subsidiarity principle
-   need to establish a "critical mass" in human
    andfinancial terms, and the combination ofthe
     complementary expertise available in the
     various Member States,
-   significant contribution to the implementation
     ofone or more Euratom policies,
-    addressing problems arising at Community
     level, or questions relating to aspects of
    standardisation     or connected with the
    development ofthe 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     3. Thcsc critcria will be used, and whcre necessary
supplemented, for the implementation of the 5th      supplcmcntcd, for the implementalion of the 5th
Framework Programme, in order to definc thc          Framcwork Programme, in ordcr to dcfine the
research and training programmes and select the      rcsearch and Iraining progranunes and selcct the
rescarch activities, including demonstration         rcscarch aclivilics, including dcmonstration
activities, and training activities.                 aclivilics, and training activities.      The three
                                                     catcgorics of crilcria will apply simultaneously and
                                                     must all bc mct, allhough to a differcnt extent from
                                                     casc lo casc.
                                                   63
 ---pagebreak---                       ANNEX II                                                 ANNEXII
BROAD LINES OF THE AREAS SCIENTIFIC                       BROAD LINES OF THE AREAS SCIENTIFIC
    AND TECHNOLOGICAL OBJECT1VES                             AND TECHNOLOGICAL OBJECTIVES
Nuclear energy provides, without emission of            Nuclear energy provides, without emission of
COz, more than 35% ofthe electricity generated          COz, rnore than 35% ofthe electricity generated
in the European Community. It makes an                  in the European Community. It makes an
important contribution to thepolicy of                  important contribution to the policy of
diversifying energy supply.                             diversifying energy supply.
Efforts to develop the safety and security of           Efforts to develop the safety and security of
nuclear energy systems strengthen in the short          nuclear energy systems strengthen in the short
and medium terms, the Community s industrial            and medium terms, the Community's industrial
competitiveness. The European technological             competitiveness. The European technological
advance can be exploited, in particular with a          advance can be exploited, in particular with a
view to the emerging export markets.                    view to the emerging export markets.
In the longer term, technologies with promising         In the longer term, technologies with promising
prospects will require a large-scale research           prospects will require a large-scale research
effort at Community and world level.                    effort at Community and world level.
          AREAS AND ORGANISATION OF                      I.        AREAS AND ORGANISATION OF
          THE          5TH           FRAMEWORK                     THE           5TH          FRAMEWORK
          PROGRAMME                                                PROGRAMME
          The 5th Framework Programme vvill covcr        1.        The 5ih Framcwork Programme vvill cover
          controlled thermonuclear fusion and                      conlrollcd thermonuclear fusion and
          energy systems related to nuclear fission.               cncrgy systcms rclatcd to nuclear fission.
          With regard to the thematic aspects, the       2.        With rcgard lo the thematic aspects, the
          Framework Programme will centre on:                      Framcwork Programme vvill centre on:
    a "kev action" defined in terms of explicitly        -   a "kcv actioir dcfincd in tcrms of explicitly
    formulated economic and social objectives of             formulatcd cconomic and social objectives of
    the Community; the aim of this key action is lo          Ihc Comnnmily; thc aim of this kcy action is to
    implement, in a Europcan framework, general              implcmcnl, in a Europcan framcwork, general
    approaches based on the exploitation of a broad          approachcs bascd on the cxploitation of a broad
    range of disciplines, technologies and know-             rangc of disciplincs, lechnologics and know-
    how;                                                     how;
    activities for the research and developmcnl of       -   rcscarch and tcchnological            devclopment
    generic technologies;                                    activitics of a gcncric naturc;
    activities in support of research infrastructurcs.   -   aclivitics in support of rcscarch infrastructures.
                                                         Thcsc activitics will, whcrc ncccssary, comprise
                                                         studics and rcscarch on clhical and lcgal aspects,
                                                         within a conlcxt of respcct for fundamcntal human
                                                         valucs.
                                                         Particular account will bc lakcn of the economic
                                                         and social implicalions of llie implcmentation, use,
                                                         and cficcis of ihc tcchnologics and processes
                                                         involved in each of llicse activities.
                                                       64
 ---pagebreak--- 3. The horizontal aspects comprise:                   3. Thc hori/ontal aspccts comprisc:
-   cooperation vvith third           counlries   and - coopcralion wilh third              countries   and
    international organisations;                          intcrnational organisations;
-   dissemination and optimisation of the results of - disscmination and oplimisation of the results of
    research and training activities;                     rcscarch and training activities;
-   the training and mobility of researchcrs.         - ihc training and mobilily of rcscarchcrs
4.    The activities of the Joint Research Centre:    4. Thc activilics of the Joint Rcscarch Ccnlre:
The Joint Research Centre is the scientific and       Thc dircct rcscarch and training actions to be
technical body which the Commission needs to          implcmcntcd by thc Joint Rcscarch Centre (JRC)
perform the tasks that it is empowered to conduct.    will comprise rcscarch and scientific and technical
The scientific and technological objectives of its    support activilics of an institutional character. The
activities are located more especially in areas       JRC may providc support whcre it has special or
requiring impartial and independent expertise at      evcn uniquc cxpcrtisc and facililics in the
European level and in areas related to the            Conimunity or whcrc it is lasked wilh activities
objectives of the Community's main policies.          necessary for the framing and implenientation of
                                                      Euratom policics and tasks incumbcnt o,'i the
                                                      Commission pursuant to the Treaty which require
                                                      the JRCs impartiality (for example in the cases of
                                                      slandardisation and the monitoring of the
                                                      applicalion of ccrlain conimunity policies).
                                                      Thc JRC is also progrcssivcly involved in
                                                      compclilivc aciivitics.
These activities correspond to the scientific and
technological objectives of the 5th Framework
Programme described below, but must also respond
to the requirements of and changes in the various
Community policies vvhere these result in spccific
research and development requirements, in
particular where the Joint Research Centre's
 neutrality is essential
                                                     65
 ---pagebreak--- II.         SCIENTIFIC AND                                           II.       SCIENTIFIC AND
TECHNOLOGICAL OBJECTIVES                                             TECHNOLOGICAL OBJECTIVES
a)       Kcy action: Controllcd thcrmonuclcar                        a)   Kcy action: Controllcd thcrmonuclcar
         fusion*                                                          fusion
The long-term objective of this action, embracing                    The long-lcrm objective of this action, embracing
all the research activities undertakcn in the                        all the research activities undertakcn in the
Member States and Switzerland aimcd at                               Mcmbcr Slatcs and Switzerland aimed at
harnessing fusion, is the joint creation of prototype                harnessing fusion, is the joint creation of prototype
reactors for power stations to meet the needs of                     reactors for power stations to mect the needs of
society:           operational safety, environmenlal                 socicly:         operational safety, environmenlal
compatibility, economic viability.                                   compatibility, economic viability.
The proposed strategy to achieve this long-term                      The proposed strategy to achieve this long-term
objective includes the development of an                             objective includes the development of an
experimental reactor (The Next Step) and then of a                   experimental reactor (The Next Step) and then of a
demonstration reactor (DEMO).                                        demonstration reactor (DEMO).
Progress to date suggests the construction of the                    Progress to date suggests the constmction of the
Next Step during the next decade is both                             Next Slcp during the next decade is both
technically feasible and strategically necessary.                    technically feasible and strategically necessary.
This should preferably take place vvithin the                        This should preferably take place wilhin the
framework            of      the      ITER         (International *  framework          of      the       ITER         (International
Thernrinuclear                 Experimental              Reactor)    Thcrmonuclcar                Experimental                Reactor)
international cooperalion project.                                   international cooperalion project.
During the period from 1998 to                              2002,    During the period from 1998 to                              2002,
implementation of the strategy vvill entail:                         implementation of the strategy vvill entail:
*         the fusion physics and technology activities               *     the fusion physics and technology activities
         needed for the associations and Europcan                         nccdcd for the associations and European
         industry to develop the capacity to construct                    industry to develop the capacity to construct
         the Next Step and prepare to opcratc il;                         the Next Step and prepare to operate it;
         Europe vvill continue to participale in the                      Europe will continue to participate in the
         detailed design activities for the ITER with                     detailed design activities for the ITER with a
         a view to its possible construction;                             vicw to its possible construction;
*         activities in the field of physics to improve              *     activities in the field of physics to improve the
         the basic concepts of fusion devices;                            basic concepts of fusion dcviccs, including
                                                                          coordination of nalional civil research into
                                                                          incriial confincmcnt in addition to magnetic
                                                                          coiifincmcnl, in the contcxt of technology
                                                                          walch;
         technological activities for the longcr term                     technological activities for the longer term
         which are essential to make progress with                        which are essential to makc progress with
         harnessing fusion.                                               harncssin» fusion.
      This activity supplements the kcy action "Competitive               This activity stipplenwnls the key actions relating to
and sustainable growth (V) : advanced energy systems and                  energy in ilie proposal for the 5th European Community
services" deseribed in the proposal for the 5th European                  Framework l'rogramme for research and technological
Community Framework Programme for research and                            developiuenl.
technological development.
                                                                  66
 ---pagebreak--- The full-scale operation of the Joint Europcan                          Thc full-scalc opcration of thc Joint European
Torus (JET), the main instrument from vvhich data                       Torus (JET), thc main instrumcnl from vvhich data
can be extrapolated for the experimental reactor,                       can bc cxtrapolatcd for thc cxpcrimcntal reactor,
will be completed. Once this Joint Undertaking                          will bc complctcd. Oncc this Joinl Undertaking
ends, JET facilities could be used to obtain                            ends, JET facililics could bc uscd to obtain
knowledge for use in the operation of the Next                          knowicdgc for usc in the opcration of the Next
Step.                                                                    Stcp.
This key action will also encompass a fresh                             This kcy action will also encompass a fresh
assessment of safety and environmental aspects;                         asscssmcnt of safcly and environnicntal aspects;
further studies on the socio-economic aspects;                          further sludics on the socio-economic aspects;
coordination, in the context of a keep-in-touch                         disscmination of rcsulls and the diffusion of
activity, of the Member States' civil research                           informalion lo ihc public.
activities on inertial confinement; dissemination of
results and Uie diffusion of information to the
public.
b)       Activitics for thc rcscarch                            and      b)    Research and technological dcvelopmcnt
                                                             2
          dcvclopmcnt of gcncric tcchnologies                                  activitics of a generic nature^
Work will focus on the following priority research:                      Work will focus on ihc following priority rescarch:
    the operational safety of existing facilitics,                           thc opcrational safcty of cxisling facilities,
    including issues relating to the extension of the                        including issucs rclating to thc extcnsion of the
    lifespan of reactors, the technological aspccts of                       lifespan of rcaclors, the lechnological aspects of
    severe accidents, and strategies and methods for                         scvcrc accidcnls, and strategics and mcthods for
    the management of accident and post-accident                             ihc managcnicnt of accident and post-accident
    situations;                                                              situations;
    the security and safety of the fuel cycle; a joint,                      ihc sccurily and safcly of the fucl cycle; a joint,
    scientifically-founded              approach         to      thc         scicntifically-foundcd           approach           to       the
    management, disposal and minimisation of                                 managcmcnl, disposal and mininiisalion of
    radioactive waste;                                                       radioactive waste, in particular through the
                                                                             transmutation of long-livcd isotopes into
                                                                             shorl-livcd isolopcs.
    radiation protection, vvith the emphasis on                              radiation proteclion, with the emphasis on
    understanding and awareness of the hazards                               undcrstanding and awarencss of the hazards
    related to ionising radiation, more especially the                       rclatcd to ionising radialion, more especially the
    effects of low-dose radiation, the managcment                            cffccls of low-dosc radiation, the management
    of nuclear emergencies and the resloration of                            of nuclcar cmcrgcncics and thc restoration of
    contaminated environments;                                               contaminatcd cnvironments;
    studies on nevv nuclear facilities, advanced and                         sludics on ncw nuclcar facililics, advanced and
    more efficient fuels, future systems and                                 morc cfficicnt fucls, future innovative systems
    conccpts to increase the safety of the complclc                          and conccpls to incrcase ihc safety of the
    nuclear cycle and the competitiveness of                                 complctc nuclcar cycle and ihc compctitiveness
    industry, in particular in relalion to outside                           of industry, in particular in rclalion to outside
      This research supplemenU, in the field of nuclear cnergy, the                This researeh supplemcnts in'lhe field of nuclear
      activities for the research and development of techiiologies in              energy the research and tecluiological activities of a
      the thematic programme "Promoting competitive and sustninable                generic nature in the thematic programnie
      growth" of the proposal for Ihe 5 th EC Framework Programme.                 "IVeserving the ecosystem" of ihe proposal for the
                                                                                   5lh EC Framework Programme.
                                                                      67
 ---pagebreak---     markets; these studies will cover safcty analysis,         markets; these studies will covcr safety analysis,
    impact on man and the environmcnt, and the                 impact on man and the environmcnt, and the
    most promising           approaches      from     a        most promising            approaches     from a
    technological and economic viewpoint in a                  technological and economic viewpoint in a
    sustainable development perspective;                       sustainable development perspective;
    the development of technologies and methods                llic development of technologies and methods
    for nuclear materials safeguards to meet the               for nuclear malcrials safeguards to meet the
    new challenges: changes in the fuel cycle, the             new challenges: changes in the fuel cycle, the
    sharp rise in the stock of fissile materials due to        sharp rise in the stock of fissile materials due to
    nuclear disarmament, the extra obligations                 nuclear disarmament, the cxlra obligations
    arising out of new international agreements, the           arising out of new international agreements, the
    illicit traffic infissilematerials;                        illicit iraffic infissilemalcrials;
    the encouragement of coopcration with the                  ihc encouragement of cooperation with the
    Central and East European countries and the                Central and East European countries and the
    countries of the former Soviet Union:                      countries of the former Soviet Uniori:
    development         of specific     "international         development         of specific     "international
    cooperation" research activities which will hclp           cooperation" research activities which will help
    improve the safety of nuclear reactors, vvaste             improve the safcly of existing and new nuclear
    management in these countries, radialion                   reactors, waste management in these. countries,
    protection, and the control of fissile materials;          radiation protection, including the repairing of
    development of coordination and international              the damagc causcd by accidcnts, and the control
    cooperation activities carried out undcr the               offissilemalcrials; development of coordination
    Framework Programme. It will be possible lo                and international cooperation activities carried
    mobilise Community financing to facilitate such            out undcr the Fraihcwork Programme. It will be
    participation in accordance with rules to be               possible to mobilise Community financing to
    adopted in the Decision on the specific                    facilitate such participation in accordance with
    programme.                                                 nilcs to be adopted in the Decision on the
                                                               specific programme.
                                                               tcchnical conlribulions in the context of
                                                               cooperation with the International Atomic
                                                               Encrgy Agcncy (Vicnna).
c)         Support for research infrastructurcs            c)         Support for research infrastructurcs
This aims at optimum utilisation at Community              This aims at optimum utilisation at Community
level of nuclear energy research test facilities, in       Ievcl of nuclear energy research tcst facilities, in
particular those which are important as regards the        particular those which are important as regards the
safety and competitivencss of this form of energy.         safcly and conipclitivcncss of this form of energy.
                                                        68
 ---pagebreak---                         ANNEX III                                                 ANNEX1II
   RULES FOR FINANCIAL PARTICIPATION                          RULES FOR FINANCIAL PARTICIPATION
                     BY EURATOM                                                 BY EURATOM
The European Atomic Energy Community vvill                 Thc Europcan Alomic Encrgy Comniunily vvill
contribute financially to the research aclivities,         conlributc financially to the rcscarch activities,
including demonstration activities, and training           including dcmonslration activitics, and training
activities, hereinafter referred to as "indirect RTDT      aclivilics, hcrcinaflcr rcfcrrcd to as "indirect RDT
actions", carried out under the programmcs                 aclions", carricd out undcr the programmes
implementing the Framework Progranime. In                  iinplcmcnting ihc Framework Progranime. In
addition, it will carry out directly rescarch              addilion. il will carry out dircctly research
activities, including demonstfation activities, and        aclivilics, including dcmonstralion activities, and
training activities, hercinafter referred to as "dircct    training activitics, hcrcinaftcr rcferrcd to as "direct
RTDT actions".                                             RDT actions".
The key action, the activities for the research and        Thc kcy action, ihc rcscarch and technological
development of generic technologies, support for           dcvclopmcnl aclivilics ofa gcneric nature, support
research infrastructures and the activities carricd        for rcscarch infraslruclurcs and the activities
out in the context of themes of a horizontal nature,       carricd oul in ihc contcxt of thcnics ofa horizontal
as described in Annex II, will be implementcd               naturc, as dcscribcd in Annex II, will be
through indirect RTDT actions and dircct RTDT               implcmcnicd ihrough indircct RDT aclions and
actions.                                                   dirccl RDT aclions.
 1.        Indircct RTDT actions                            1.         Indircct RDT actions
 The indirect RTDT actions vvill comprise five             Thc indircct RTDT aclions will comprise five
 categories:       shared-cost      actions,     training   calcgorics:       sharcd-cost     actions,     training
 fellowships, support for networks, concerted actions       fcllowships, suppori for nctworks, concerted actions
 and accompanying measures. Shared-cost aclions             and accompanying mcasurcs. Sharcd-cost actions
 vvill be the main mechanism for implementing the           will bc thc main mcchanisni for implementing the
 programmes.                                                progranimcs.
 The rate of financial participation by Euralom in          Thc ratc of financial participation by Euratom in
 these actions will be as follows:                          thcsc aclions will bc as follows:
 (a) Shared-cost actions                                    (a) Sharcd-cost actions
      Research and technological development - Research and technological                              development
 projects,     demonstration projects,         integraled projects, demonstration projects,              integrated
 projects:                                                  projects:
 Research and technological development projccls             Rcscarch and tcchnological dcvclopmcnt projects
 are projects designed to obtain new knowicdgc              arc projccls dcsigncd lo obtain ncw knowiedge
 likely to be useful either to develop or significantly      likcly lo bc uscful cilhcr to dcvelop or significantly
 improve existing products, processes and services           improvc cxisting producls, processcs and services
 or to meet the needs of sociely. Thcy will bc               or to mccl ihc nccds of socicty. Thcy will be
 financed in principle at a level of 50% of the              financcd in principlc at a level of 50% of the
 eligible costs. In the special case of legal enlilics       eligible costs..
 vvhich do not keep analytical accounts, thc
 additional eligible costs gcnerated as a result of the
  research. vvill be financed at the rate of 100%.
 Demonstration projects are projccts which arc               Dcmonsiralion projccls are projccls which are
  designcd to prove the tcchnical viability of               dcsigncd lo provc the tcchnical viability of
  technologies and which cannot bc commcrcialiscd            tcchnologics and which cannot be conimercialised
                                                          69
 ---pagebreak---  directly. They will be financed in principle at a          dircclly. Thcy will bc financcd in principlc at a
 level of35% ofthe eligible costs.                          level of35% ofthe eligible costs.
 Integrated projects are projects with both a rcsearch      Intcgratcd projccls arc projccls with both a research
 and technological development component and a             and tcchnological dcvelopmcnt component and a
 demonstration component. They vvill be financed at        dcnionslralion componcnt. Thcy will bc financed at
 a level corresponding to the weighted average of          a level corresponding to the weighted average of
 the levels applicable to the two components.              the levels applicable to the two components.
                                                           In thc spccial casc of lcgal entitics which do not
                                                           kccp analylical accounts, thc additional cligible
                                                           costs gcncratcd as a rcsult of these projects will be
                                                           financcd al ihe ralc of 100%
 - Supportfor access to research infrastructures           - Supportfor access to research infrastructures
 Support will be granted to existing research              Support will bc grantcd to cxisting research
 infrastructures so that they can receive teams of         infraslruclurcs so ihat llicy can rcccive teams of
 Euratom researchers and enable them to optimise           Euralom rcscarchcrs and enable them to oplimise
 their research work.                                      thcir rcscarch work.
 Community funding granted towards the optimum             Community funding granted towards the optimum
 utilisation of infrastructures is set at up to 100% of    utilisation of infrastructurcs is sct at up to 100% of
 the additional eligible costs connected with              the additional eligible costs connccted with
 receiving teams of Euratom researchers and making         rccciving tcams of Euratom rcscarchers and making
 the facility available.                                   thc facility availablc.
 (b) Training fellowships                                 (b) Trniniim fcllowships
 In the context of the training and mobility of In thc conlcxt of the training and mobility of
 researchers, the "Marie Curie" fellowships scheme rcscarchcrs, the "Maric Curie" fcllowships scheme
vvill comprise several categories: fellowships for will comprise several categories: fellowships for
young researchers with proven experience, young rcscarchcrs with provcn experience,
industrial host fellowships for young researchers industrial host fcllowships for young researchers
and development host fellowships.                         and developmcnt host fcllowships.
Under the fellowship scheme for young researchers         Undcr thc fcllowship schcmc for young researchers
with proven experience, fellows will receive an           with provcn cxpcricncc, fcllows will receive an
allowance designed solely to cover their subsistcncc      allowancc dcsigncd solcly to covcr thcir subsistence
expenses and proper social welfare expenses. They         expcnscs and propcr social welfare expenses. They
vvill also receive a contribution designed to take        will also rcccivc a contribution designcd to take
into account the costs involved in mobility.              inlo account ihc cosls involvcd in mobility.
In the context of    cooperation with third counlrics,    In ihc conlcxt of    coopcralion with third countries,
the fellowship         scheme will enable young           thc fcllowship         schcme will cnable young
researchers from      third countries to be given an      rcscarchcrs from      third countrics to bc given an
opportunity to        spend time in Commiinily            opporiunity to        spcnd time in Community
laboratories.                                             laboratorics.
Community support will cover up to 100% of                Communily support will covcr up to 100% of
eligible costs of the fellowship and a contribulion to    cligiblc costs of ihc fcllowship and a contribution to
the eligible costs of the host institution when it is     thc cligiblc cosls of thc host inslilulion vvhen it is
located in the Community.                                 locatcd in ihc Cominunily.
                                                       70
 ---pagebreak--- fc) Support for networks                                 (c) Support for nctworks
The thematic networks vvill bring togethcr The thematic networks will bring together
manufacturers, users, universities and rcsearch manufaclurcrs, users, universities and research
centres, and organisations concerned vvith the ccntrcs, and organisations concerned vvith the
diffusion or transfer of innovation around a givcn diffusion or transfer of innovation around a given
scientific and technological objective so as to scientific and lcchnological objcclive so as to
facilitate the incorporation and transfer of facilitate ihc incorporation and transfer of
knowledge and cooperation belween rescarch knowledge and cooperation bctwccn research
players and users, and ensure that market necds are players and users, and ensure that market needs are
Uiken into account more effectively, and stimulate takcn into account more effectively, and stimulate
scientific and technological excellence. Community scientific and technological excellence. Community
funding will cover up to 100% of the additional funding will cover up to 100% of the additional
eligible costs of coordinating and iniplementiiig the eligible costs of coordinating and implcmcnting the
thematic networks.                                       thematic nclworks.
Research training networks vvill be created in           Research training nctworks vvill be created in
advanced or emerging fields of research on topics        advanced or emerging fields of rcsearch on topics
freely chosen by the researchers. Their main aim         frccly chosen by the researchers. Their main aim
will be to train young researchers at pre-doctoral       will be to train young researchers at pre-doctoral
and post-doctoral level. Community funding will          and posi-docloral lcvcl. Community funding will
cover up to 100% of the additional eligible costs        cover up to 100% of the additional eligible costs
 connected vvith setting up and maiiitaining the         connected wiih setting up and maintaining the
 network.                                                network.
 (d) Concerted actions                                   (d) Concerted actions
 Concerted actions will be designed to coordinate        Concerted actions will be designed to coordinate
 national RTD projects already in receipt of funding,    RDT projects already in receipt of funding, in order
 in order to exchange experiencc acquired, to            to exchange experiencc acquired, to expand the
 expand the research efforts of the various players so    research efforts of the various players so as to reach
 as to reach a critical mass, to disseminate results     a critical mass, to disseminate results and to inform
 and to inform users. Community funding vvill cover      users. Comniunity funding will cover up to 100% of
 up to 100% of the additional eligible costs              the additional eligible costs connected with
 connected with concertation.                             concertation.
 (e) Accompanying measures                                (c) Acconipanving measures
 Accompanying measures will contribute towards            Accompanying measures will contribute towards
 the implementation of the specific programmes or         the implcmcnlalion of ihc specific programmes or
 the preparation of future activities vvith a view to     the preparation of future activities with a view to
 enabling them to achieve or define their stratcgic       enabling them to achieve or define their strategic
 objectives. They will also seek to prepare or support    objectives. They will also scck to prepare or support
 the other indirect actions. Measures devotcd to the      the othcr indirect actions. Measures devotcd to the
 commercialisation of products, processes or              commercialisation of products, processes or
 services, marketing activities, and the promotion of     services, marketing activities, and the promotion of
 sales, are excluded. Community funding may be up         sales, are excluded. Community funding may be up
 to 100% ofthe eligible costs ofthe measures.             to 100% ofthe eligible costs ofthe measures.
 In the Dccisions adopting the specific programmes        In the Dccisions adopting the specific programmes
 implementing the 5th Framework Programme there           implcmcnting the 5lh Framework Programme there
 can be no derogations from the financial                 can bc no derogations from the financial
 participation rates set above, vvith the exception of    participation ralcs set above, with the exception of
 duly justified special cases, for the activity           duly justified special cases, for the activity
 concerned, including those referred to in                concerned, including those referred to in
 paragraph3. The Dccisions may spcll out in more          paragraph 3. The Dccisions may spcll out in more
                                                       71
 ---pagebreak--- detail the indirect RTDT actions described above, detail the indirect RDT actions describcd above,
supplement them or subject them to additional supplcmcnt llicm or subjcct them to additional
conditions or limitations.                                 condilions or limilalions.
The other rules for the fmancial participation of          Thc othcr rulcs for the financial participation of
undertakings, research centres and universities in         undcrtakings, rcscarch ccnlrcs and universities in
indirect RTDT actions are specified in the Council         indircct RDT aclions arc spccificd in the Council
Decision on participation rules adopted pursuant to        Dccision on participalion rulcs adoptcd pursuant to
Article 7 of the Treaty.                                   Arlicle 7 of the Trcaty.
2.        Direct RTDT actions                              2.         Direct RDT actions
The direct RTDT actions to be implemented by the          The dircct RDT aclions to be implemented by the
Joint Research Centre (JRC) will comprise research         Joint Rcscarch Ccntrc (JRC) will comprise research
activities of an institutional character and scientific    and scicnlific and tcchnical support activities of an
and technical support activities of an institutional       inslilutional charactcr. Thc JRC may provide
character. The research activities of an institutional     support whcrc it has spccial or cven unique
character are those for vvhich the JRC has special or      cxpcrtisc and facililics in thc Community or where
even unique facilities in the European Atomic              it is taskcd wilh activitics neccssary for the framing
Energy Community and which contribute to the               and implcincnlalion of Euralom policics and tasks
implementation of Euratom RTD policy. The                  incumbcnt on thc Conimission pursuant to the
scientific and technical support activities of an         Trcaly which rcquirc the JRC's impartiality. The
institutional character are activities necessary for       Comniunily funding will be 100% of the costs of
the formulation and implementation of Community            the direct RDT action.
policies and tasks incumbent on the Commission
pursuant to the Treaty which require the JRC's
impartiality. The Community funding vvill normally
be 100% ofthe costs of the direct RTDT action.
3.        Othcr actions                                               Other actions
The rules for participation by the Community in the       Thc rulcs for participation by the Comniunity in the
JET Joint Undertaking, ITER activities, Contracts         JET Joint Undcrtaking, ITER activities, Contracts
of Association and in certain tasks which can only        of Association and in certain tasks which can only
be performed by industry will be specified in the         be pcrformcd by industry vvill be spccified in the
corresponding research and training programme.             corrcsponding rcscarch and training programme.
                                                        72
 ---pagebreak---                                      FINANCIAL STATEMENT
1. TITLE OF THE OPERATION
   Proposal for a Decision of the European Parliament and of the Council concerning the Fifth
   Framework Programme of the European Community for research, technological development and
   demonstration activities (1998-2002), hereinafter referred to as "the 5th Framework Programme".
2. BUDGET HEADING CONCERNED
   Sub-section B6
3. LEGAL BASIS
   Article 130i of the EC Treaty
4. DESCRIPTION OF THE OPERATION
   4.1       General objective of the operation
   The objectives of the Community's research and technological development policy reflect the
   challenges which the fcommunity must meet and the opportunities which it must seize relating, as a
   matter of priority, to the problems of society, industrial competitiveness, job creation, quality of life,
   globalisation of knowledge, contributing to the development and implementation of the
   Community's other policies (in line with Article 130f, paragraph 1, of the EC Treaty), and the role of
   the Community in the world as a focal point of scientific and technological excellence.
   In this context, the planned operation is based on seven themes:
   •   Improving the quality of life and the management of living resources;
   •   Creating a user-friendly information society;
   •   Promoting competitive and sustainable growth;
   •   Preserving the ecosystem:
   •   Confirming the international role of Community research;
   •   Innovation and participation of small and medium-sized enterprises;
   •   Improving human potential.
   4.2       Period covered by the operation
   1998 - 2002
   The arrangements for renewal of the operation are provided for in Article 130i of the EC Treaty.
                                                                                                              P
 ---pagebreak--- 5.  CLASSIFICATION OF THE EXPENDITURE AND REVENUE
    5.1      NCE
    5.2      DA
    5.3      Type of revenue involved:
    Certain Associated States will contribute to the fmancing of the 5th Framework Programme.
    In accordance with Articles 92 and 96 of the Financial Regulation, the JRC may benefit from
   revenue from various types of competitive activities or from other services provided for outside
   bodies.
    In accordance with Article 27 of the Financial Regulation, certain revenue may be available for re-
   use.
6. TYPE OF EXPENDITURE OR REVENUE
   The European Community will contribute financially to research and technological development
   activities, including demonstration activities, hereinafter referred to as "indirect RTD actions"; in
   addition, it will carry out directly research and development activities, hereinafter referred to as
   "direct RTD actions".
    1. Indirect RTD actions
   Tlie indirect RDT 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 developmentprojects, demonstration projects, and integratedprojects:
   Research and technological development projects will normally be financed at a level of 50% ofthe
   eligible costs.
   Demonstration projects (projects designed to prove the technical viability of technologies and which
   cannot be commercialised directly) will normally be financed at a level of35% ofthe eligible costs.
   Integrated projects (projects with both a research and technological development component and a
   demonstration component) will be financed at a level corresponding to the weighted average ofthe
   levels applicable to the two components.
   In the special case of legal entities which do not keep analytical accounts, the eligible additional
   costs generated as a result of these projects will be financed 100%.
   - Support for access to research infrastructures:
   The Community funding granted as a contribution towards the optimum utilisation of infrastructures
   will be up to 100% ofthe eligible additional costs connected with receiving teams of Community
   researchers and making the facility available.
   - Technology stimulation projects to encourage andfacilitate SMEparticipation in RTD activities:
   "Co-operative research" activities will be financed up to 50% ofthe eligible project costs.
                                                       2/7
                                                                                                         W
 ---pagebreak---    "Exploratory awards" will be financed up to 75% ofthe eligible costs, including project validation
   and preparation, a feasibility study and partner search, over a period not exceeding 12 months.
   h) Training fellowships:
   Community funding will cover up to 100% ofthe eligible costs ofthe fellowship and a contribution
   to the eligible costs ofthe host institution when it is located in the Community.
   c) Support for networks:
   Community funding will cover up to 100% ofthe additional eligible costs of co-ordinating and
   implementing the thematic networks and up to 100% ofthe eligible additional costs connected with
   setting up and maintaining the research training networks.
   d) Concerted actions:
   Community funding will cover up to 100% of the eligible additional costs connected with
   concertation.
   e) Accompanying measures:
   Community funding may be up to 100% ofthe eligible costs ofthe measures.
   In the Decisions adopting the specific programmes implementing the 5th Framework Programme
   there can be no derogations from the financial participation rates set above, with the exception of
   duly justified special cases. The Decisions may spell out in more detail the indirect RTD actions
   described above, supplement them or subject them to additional conditions or limitations.
   2. Direct RTD actions
   The direct RTD actions to be implemented by the Joint Research Centre (JRC) will comprise
   research and scientific and technical support activities of an institutional character. The Community
   funding will be 100% ofthe costs ofthe direct RTD action.
   3. Any Council Decisions taken pursuant to Article 130o of the EC Treaty will lay down, where
   necessary, the rules for financial participation by the Community.
7. FINANCIAL IMPACT
   7.1        Method of calculating total cost of operation
   The 5th Framework Programme fixes the overall maximum amount and its breakdown among the
   different Community activities. It also details the indicative breakdown between the themes of the
   first activity. These amounts cover the financing of research activities, staff costs and administrative
   expenditure.
                                                       3/7
 ---pagebreak---  7.2        Itemised breakdown of cost
Indirect açtioiis         First activity                                                       11 775 MECU
                          Improving the quality of life and the management of living resources 2650 MECU
                          Creating a user-friendly information society                         3925 MECU
                          Promoting competitive and sustainable growth                         3100 MECU
                          Preserving the ecosystem                                             2100 MECU
                          Second activity                                               491 MECU
                          Third activity                                                350 MECU
                          Fourth activity                                               1402 MECU
Direct actions            JRC                                                           815 MECU
                          MAXIMUM OVERALL AMOUNT                                        14833 MECU*
 * As an indication, the reference amount for the 5th Framework Programme for the
   European Atomic Energy Community (EURATOM) is ECU 1467 Million. The
   total for the 1998-2002 Framework Programmes is ECU 16300 Million.
 7.3        Indicative schedule of appropriations
 The effective implementation of the 5th Framework Programme requires a scheduling of the funds
 available for each year. In the following table the funds for each year in the period 1998-2002 are
 shown (the defmitive amounts will be fixed by the Budgetary Authority).
 __       _                      _                    REAL AMOUNTS
            YEAR                           1998-2002 (MECU CURRENT PRICES)
                                                  5th FrameworkProgramme
             Î998                                             RM
             1999                                            3 276
             2000                                            3 640
             2001                                            3 913
             2002                                            4 004
  TOTAL 1998-2002                                          14 833*
                                                     4/7
                                                                                                        ?o
 ---pagebreak---    • As an indication, the reference amount for the 5th Framework Programme for the European
   Atomic Energy Community (EURATOM) is ECU 1467 Million. The total for the 1998-2002
   Framework Programmes is be ECU 16300 Million.
8. ANTI-FRAUD MEASURES PLANNED
   There is a whole range of administrative and financial checks at all stages of the procedure for
   awarding and executing research contracts, including the following:
   •   Prior to conclusion of the contract:
            0 Selection of proposals on the basis of the scientific value of the project and of an
                assessment as to whether the research costs quoted are realistic in relation to the nature
                of the research, its duration and its potential impact;
            0 Analysis of the financial data transmitted by the proposers on their contract negotiation
                form;
   •   After the contract has been signed:
            0 Scrutiny of statements of expenditure prior to payment, carried out at two levels (by the
                scientific officer and the financial officer);
             0 Internal audit by the Financial Controller;
             0 On-the-spot checks enabling the detection of errors or other irregularities through an
                examination of the supporting documents. In order to make these checks more effective,
                the Commission's departments have set up an audit unit which coordinates the results of
                all the checks performed. These checks are either carried out by members of the audit
                unit or entrusted to auditing companies with which the Commission has concluded
                contracts, under the supervision of officials from the audit unit;
            0 Unannounced inspections by the Commission's Financial Controller and by the Court of
                Auditors of the European Union.
   BASIS OF COST-EFFECTIVENESS ANALYSIS
   9.1       Specific and quantifiable objectives; target population
   The specific objectives of each of the seven themes listed in point 4.1 are as follows:
   Improving the quality of life and the management of living resources: to help increase knowledge
   and develop technologies in the fields of the living world with a view to improving the quality of life
   and health.and opening up new prospects in areas in which the Community has a strong hand, such
   as medicine, biotechnology and agro-industry.
   Creating a user-friendly information society: to develop and use the technologies needed to fully
   realise the potential of the information society, thus opening up the possibility of a wide range of
   activities for both individuals and companies in the Community, in the fields of commerce, work,
   transport, environment, education and training, health and culture.
   Promoting competitive and sustainable growth: 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; this will also extend to transport systems that are
   economic and safe, and respect the environment and the quality of life.
                                                         5/7
                                                                                                           ^
 ---pagebreak--- Preserving fhe ecosvstem: to develop and exploit the knowledge and technologies needed in the
field of the environment, energy and the sustainable management of ecosystem resources in order to
meet a broad range of needs and open up new markets that will bring employment. This theme is
supplemented by activities in the field of nuclear energy described in the Fifth Framework
Programme for the European Atomic Energy Community (EAEC).
Cnnfirming the international role of Community research: to contribute to the implementation of the
Community's extemal policy, in particular with the prospect of new members joining the Union: to
promote, in addition, international scientific and technical cooperation with a view to generating
mutual and balanced benefits.
Tnnovation and participation of SMEs: to promote and facilitate the exploitation of research results
and foster the creation of innovative enterprises; to provide small and medium-sized enterprises with
easy access to the advanced technologies which they need, and to the possibilities offered by the
Community's research programmes.
Improving human potential: to preserve and help develop the Community's knowledge potential
through greater support for the training and mobility of researchers, through better use of research
infrastructure and through the mobilisation of social and economic science in order to identify
economic and social trends and requirements, both current and fiiture.
The 5th Framework Programme will be organised on the basis of "key actions", research and
technological development activities of a generic nature. activities in support of research
infrastructures and actions undertaken in the context of activities II, III and IV of the Treaty
(including specific activities and co-ordination activities), with the aim of ensuring the consistency
of equivalent activities carried out under the specific programmes in the context of the first activity.
The scientific and technological objectives of the Joint Research Centre's activities correspond to
those of the Fifth Framework Programme, but must also meet the requirements of the various
Community policies. These activities are located more especially in areas requiring impartial and
independent expertise at European level and/or areas in which the JRC has special or exceptional
expertise or facilities.
Target population of this operation: businesses (in particular SMEs), research centres and
universities.
9.2       Justification of the operation
Under Article 130f of the EC Treaty, by this new action the Community will continue to strengthen
European industry's science and technology base, to foster the development of international
competitiveness and to promote research activity as deemed necessary under other chapters of the
Treaty.
This continuation is proposed following an assessment, in line with the SEM 2000 initiative, of the
actions of the past five years. Over 170 independent experts were involved in this assessment, which
was carried out during the second half of 1996 and the beginning of 1997.
The findings of the assessment are that overall the programmes have achieved their objectives,
notably in financing a range of high-quality actions. On a global level, therefore, the Framework
Programme has a significant impact on research activities in the Member States, and fosters the
development of a very large number of cross-border collaborative networks.
It was also highlighted, however, in the conclusions of the five-year assessment panel, that the
Framework Programme has been transformed over the years into a general framework for a range of
activities on topics which are too numerous and too dispersed, and that it needs to be adapted to the
reality of social, economic and scientific developments. There is therefore need to concentrate the
means available on a more limited number of themes with clearly-defined objectives, and of a
fundamentally socio-economic nature.
                                                    ^/7
                                                                                                         1?
 ---pagebreak---     This Proposal for a new operation has followed the above recommendation, notably in proposing
    that efforts be concentrated on seven major themes (see item 9.1).
    9.3       Monitoring and evaluation of the operation
    The form and frequency of the process of evaluation will be such as to enable the Commission to
    respond to the requirements under Article 5 of the 5th Framework Programme and to evaluate the
    specific programmes.
    The Commission will examine each year, with the help of appropriately qualified independent
    experts, the implementation of the Framework Programme, in the light of the criteria set out in
    particular in Annex I to the 5th Framework Programme. It will assess, in particular, whether the
    objectives, priorities and financial resources are still appropriate to the changing situation. Where
    appropriate, it will submit proposals to adapt or supplement the Framework Programme.
    In addition, before submitting its proposal for a 6th Framework Programme, the Commission will
    have an external assessment conducted by high-level independent experts on the management of,
    and progress made in, Community actions carried out during the five years preceding the assessment,
    in the light of the criteria set out in particular in Annex I to the 5th Framework Programme. The
    Commission will communicate the conclusions of this assessment, accompanied by its comments, to
    the European Parliament, the Council, the Economic and Social Council and the Committee of the
    Regions.
    9.4       Coherence with financial programming
    Annual appropriations will be authorised by the Budgetary Authority within the limits of the
    financial perspective and subject to the overall maximum amount provided for in the EC Treaty for
    the Framework Programme, i.e. ECU 14833 Million.
10. ADMINISTRATIVE EXPENDITURE
    With a view to prudent use of resources, staff costs and administrative expenses will be closely
    scrutinised in the light of the new structure of the 5th Framework Programme. This examination will
    take place when the Decisions adopting the specific programmes implementing the 5th Framework
    Programme are being taken.
                                                         7/7
                                                                                                          rf
 ---pagebreak---                                  FINANCIAL STATEMENT
1.  TITLE OF THE OPERATION
    Proposal for a Council Decision conceming the Fifth Framework Programme of the
    European Atomic Energy Cornrnunity (EURATOM) for research and training activities
    (1998-2002), hereinafter referred to as "the 5th Framework Programme".
2.  BUDGET HEADING CONCERNED
    Sub-section B6
3.  LEGAL BASIS
   Article 7 of the EAEC Treaty
4. DESCRIPTION OF THE OPERATION
   4.1      General Objective ofthe Operation
   Research in the field of nuclear energy by the European Atomic Energy Community
   (EAEC) must reflect the need to develop safe and acceptable energy systems that respect
   environmental standards and are competitive in terms of production costs, the general
   objective being to make an important contribution to the policy of diversifying energy
   supply, particularly in developing the safety and security of nuclear energy systems wifh a
   view to strengthening, in the short and medium term, the Community's industrial
   competitiveness.
   4.2      Period covered
    1998-2002
   The arrangements for renewal of the operation are linked to those of the research and
   training programmes provided for in Article 7 of the EAEC Treaty.
5. CLASSIFICATION OF THE EXPENDITURE AND REVENUE
   5.1      NCE
   5.2      DA
   5.3      Typeof revenue involved:
   Associated States may contribute to the financing of the 5th Framework Programme.
   In accordance vvith Articles 92 and 96 of the Financial Regulation, the JRC may benefit
   from revenue from various types of competitive activities or from other services provided
   for outside bodies.
                                                                                               Pd
 ---pagebreak---      In accordance with Article 27 of the Financial Regulation, certain revenue may be
     available for re-use.
6.   TYPE OF EXPENDITURE OR REVENUE
     The European Atomic Energy Community will contribute financially to research activities,
     including demonstration activities, and training activities, hereinafter referred to as
     "indirect RDT actions"; in addition, it will carry out directly research activities and training
     activities, hereinafter referred to as "direct RDT actions".
     1. Indirect RDT actions
     The indirect RDT 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, and integrated
     projects:
     Research and technological development projects will normally be financed at a level of
     50% ofthe eligible costs.
     Demonstration projects (projects designed to prove the technical viability of technologies
     and which cannot be commercialised directly) will normally be financed at a level of 35%
     ofthe eligible costs.
     Integrated projects (projects with both a research and technological development
     component and a demonstration component) will be financed at a level corresponding to
     the weighted average ofthe levels applicable to the two components.
     In the special case of legal entities which do not keep analytical accounts, the eligible
     additional costs generated as a result of these projects will be financed 100%.
     - Support for access to research infrastructures:
     The Community funding granted as a contribution towards the optimum utilisation of
     infrastructures will be up to 100% ofthe eligible additional costs connected with receiving
     teams of EURATOM researchers and making the facility available.
     b) Training fellowships:
     Community funding will cover up to 100% ofthe eligible costs ofthe fellowship and a
     contribution to the eligible costs of the host institution when it is located in the
     Community.
     c) Support for netwprks:
   . Community funding will cover up to 100% ofthe eligible additional costs of co-ordinating
     and implementing the thematic networks and up to 100% ofthe additional eligible costs
     connected with setting up and maintaining the research training networks.
                                                     2/6
                                                                                                      Zl
 ---pagebreak---        d) Cnncerred actions:
       Community funding will cover up to 100% ofthe eligible additional costs connected with
       concertation.
       p) Accnmpanving measures:
       Community funding may be up to 100% ofthe eligible costs ofthe measures.
      In the Decisions adopting the specific programmes implementing the 5th Framework
      Programme there can be no derogations from the financial participation rates set above,
      with the exception of duly justified special cases. The Decisions may spell out in more
      detail the indirect RDT actions described above, supplement them or subject them to
      additional conditions or limitations.
      2. Direct RDT actions
      The direct RDT actions to be implemented by the Joint Research Centre (JRC) will
      comprise research and scientific and technical support activities of an institutional
      character. The Community funding will normally be 100% ofthe costs ofthe direct RDT
      action.
      3. The rules for participation by the Community in the JET Joint Undertaking, ITER
      activities, Contracts of Association and in certain tasks which can only be performed by
      industry will be specified in the corresponding research and training programme.
                                                                          4 '
7.    FINANCIAL IMPACT
      7.1      Method of calculating total cost of operation
      The 5th Framework Programme fixes the reference amount. This amount covers the
      financing of research activities, staff costs and administrative expenditure.
      7.2      Itemised breakdown of cost
   Indirect actions        Fusion + Fission                                   1141 MECU
    Direct actions        JCR                                                 326 MECU
                          REFERENCE AMOUNT                                    1467 MECU*
     * As an indication, the maximum overall amount for the 5th Framework Programme
        for the European Community is ECU 14833 Million. The total for the 1998-2002
        Framework Programmes is ECU 16300 Million.
     7.3       Indicative schedule of appropriations
     The effective implementation of the 5th Framework Programme requires a scheduling of
     the funds available for each year. In the following table the funds for each year in the
     period 1998-2002 are shown (the definitive amounts will be fixed by the Budgetary
     Authority).
                                                      3/6
 ---pagebreak---                           I              '         REAL AMOUNTS
           YEAR                         1998-2002 (MECU CURRENT PRICES)
                                               5th Framework Programme
            1998                                           PS
            1999                                          324
            2000                                          360
            2001                                          387
            2002                                           396
    TOTAL 1998-2002                                    1467 MECU*
   • As an indication, the maximum overall amount for the 5th Framework Programme for the
   European Community is ECU 14.833 Million. The total for the 1998-2002 Framework
   Programmes is ECU 16.300 Million.
8. ANTI-FRAUD MEASURES PLANNED UNDER THE OPERATION
   There is a whole range of administrative and financial checks at all stages of the procedure
   for awarding and executing research contracts, including the following:
   • Prior to conclusion of the contract:
          0 Selection of proposals on the basis of the scientific value of the project and of an
              assessment as to whether the research costs quoted are realistic in relation to the
              nature of the research, its duration and its potential impact;
          0 Analysis of the financial data transmitted by the proposers on their contract
              negotiation form;
   • After the contract has been signed:
          0 Scrutiny of statements of expenditure prior to payment, carried out at two levels
              (by the scientific officer and the financial officer);
          0 Intemal audit by the Financial Controller;
          0 On-the-spot checks enabling the detection of errors or other irregularities
              through an examination of the supporting documents. In order to make these
              checks more effective, the Commission's departments have set up an audit unit
              which coordinates all the checks performed. These checks are either carried out
              by members of the audit unit or entrusted to auditing companies with which the
              Commission has concluded contracts, under the supervision of officials from the
              audit unit;
                                                   4/6
                                                                                                  Z3
 ---pagebreak---             0 Unannounced inspections by the Commission's Financial Controller and by the
                Court of Auditors of the European Union.
9.  BASIS OF COST-EFFECTIVENESS ANALYSIS
    9.1      Speciflc and quantifiable objectives; target population
    In order to achieve the general objective as stated in point 4.1 above, the 5th Framework
    Programme will be implemented by research and training programmes of both a thematic
    and horizontal nature (co-operation with third States and international organisations,
    dissemination and optimisation of the results, stimulation of training and of the mobility of
    EURATOM researchers).
    The activities undertaken in these research and training programmes in the field of nuclear
    energy complement the activities of the key actions and the activities of a generic nature
   relating to energy in the programme "Preserving the ecosystem" described in the Proposal
    for a Fifth Framework Programme of the European Community. Their specific objectives
    are the creation of prototype reactors which would be the forerunners for power stations
    and which would meet the needs of society (operational safety, environmental
   compatibility, economic viability), and the development of safety and security in nuclear
   energy systems, particularly with a view to the emerging export markets.
   The thematic programmes of the Framework Programme are centred around a "key
   action", "activities for research and technological development of a generic nature" and
   "activities in support of research infrastructures". The horizdrital programmes include
   activities linked to the general objectives *of the Community's policy with regard to
   external relations, innovation and human resources.
   The scientific and technological objectives of the Joint Research Centre's activities
   correspond to those of the Fifth Framework Programme, but must also meet the
   requirements of the various Community policies. These activities are locted more
   especially in areas requiring impartial and independent expertise at European level and/or
   areas in which the JRC has special or exceptional expertise or facilities.
   Target population of this operation: businesses, research centres and universities.
   9.2       Justification of the operation
   Under the EAEC Treaty, by this new action the Community will continue, through the
   implementation of research and training programmes, to supplement actions undertaken in
   the Member States in the field of nuclear energy.
   This continuation is proposed following an assessment, in line with the SEM 2000
   initiative, of the actions of the past five years. The assessment was carried out during the
   second half of 1996 and the beginning of 1997.
   The fmdings of the assessment are that overall the programmes have achieved their
   objectives, notably in fmancing a range of high-quality actions. On a global level,
   therefore, the Framework Programme has a significant impact on research activities in the
   Member States, and fosters the development of a very large number of cross-border
   collaborative networks.
                                                   5/6
                                                                                                  Zh
 ---pagebreak---     9.3      Monitoring and evaluation of the operation
    The form and frequency of the process of evaluation will be such as to enable the
    Commission to respond to the requirements under Article 5 of the 5th Framework
    Programme and to evaluate the research and training programmes.
    The Commission will examine each year, with the help of appropriately qualified
    independent experts, the implementation of the Framework Programme, in the light of the
    criteria set out in particular in Annex I to the 5th Framework Programme. It will assess, in
    particular, whether the objectives, priorities and financial resources are still appropriate to
    the changing situation. Where appropriate, it will submit proposals to adapt or supplement
    the Framework Programme.
    In addition, before submitting its proposal for a 6th Framework Programme, the
    Commission will have an external assessment conducted by high-level independent experts
    on the implementation of activities (controlled thermonuclear fusion and energy systems
    related to nuclear fission) carried out during the five years preceding that assessment, in the
    light of the criteria set out in particular in Annex I to the 5th Framework Programme. The
    Commission will communicate the conclusions of this assessment, accompanied by its
    comments, to the European Parliament, the Council and the Economic and Social Council.
    9.4      Coherence with financial programming
    The financial reference amount for implementation of the 5th Framework Programme is
    ECU 1467 Million. Annual appropriations will be authorised by the Budgetary Authority
    within the limits of the financial perspective.
10. ADMINISTRATIVE EXPENDITURE
    With a view to prudent use of resources, staff costs and administrative expenses will be
    closely scrutinised in looking at the new structure of the 5th Framework Programme. This
    examination will take place when the Decisions adopting the specific research and training
    programmes implementing the 5th Framework Programme are being taken.
                                                    6/6
                                                                                                    ?r
 ---pagebreak---  ---pagebreak---                                                                    ISSN 0254-1475
                                                              C0M(98) 8 final
                                              DOCUMENTS
EN                                                                     15 12
                                    Catalogue number : CB-CO-98-020-EN-C
                                                              ISBN 92-78-30191-4
Office for Official Publications of the European. Communities
L-2985 Luxembourg
                                                                                  £t?
 ---documentbreak---                  COMMISSION OF THE EUROPEAN COMMUNITIES
                                                Brussels, 04.03.1998
                                                COM(1998) 8 final /3
CORRIGENDUM
Nouvelles pages. Annulent et remplacent         97/0119 (COD)
celles du document COM(1998) 8 final            97/0120 (CNS)
du 14.01.1998.
Concerne EN.
                          Second modified proposai for a
             EUROPEAN PARLIAMENT AND COUNCIL DECISION
 CONCERNING THE 5TH FRAMEWORK PROGRAMME OF THE
EUROPEAN COMMUNITY FOR RESEARCH, TECHNOLOGICAL
        DEVELOPMENT AND DEMONSTRATION ACTIVITIES
                                    (199S-2002)
                          Second modified proposal for a
                               COUNCIL DECISION
 CONCERNING THE 5TH FRAMEWORK PROGRAMME OF THE
EUROPEAN ATOMIC ENERGY COMMUNITY (EURATOM) FOR
               RESEARCH AND TRAINING ACTIVITIES
                                    (1998-2002)
                          (presented by the Commission)
 ---pagebreak---  ---pagebreak---                        ANNEX II                                                  ANNEX II
        BROAD LINKS OK COMMUNITY                                  BROAD LINES OF COMMUNITY
                     ACTIVITIES                                                ACTIVITIES
         SCIENTIFIC AND TECHNICAL                                  SCIENTIFIC AND TECHNICAL
                    OBJECTIVES                                                     OBJECTIVES
          THEMES AND ORGANISATION OF                                THEMES AND ORGANISATION OF
          THE 5TH FRAMEWORK                                         THE 5TH FRAMEWORK
          PROGRAMME                                                 PROGRAMME
In accordance with Article 130g of the EC Treaty,         With regard to the themes and organisation of the
the 5th Framework Programme will comprise four            5th Framework Programme, it is recalled that, in
activities:                                               accordance with Article 130g of the EC Treaty, the
                                                          5th Framework Programme will comprise four
                                                          activities:
    the first activity covers the research,                   the first activity covers the research,
    technological development and demonstration               technological development and demonstration
    programmes;                                               programmes;
    the second activity is aimed at promoting                 the second activity is aimed at promoting
    cooperation       on    research,    technological        cooperation      on     research,     technological
    development and demonstration with third                  development and demonstration with third
    countries and international organisations;                countries and international organisations;
    the third activity concerns the dissemination and         the third activity concerns the dissemination and
    optimisation of the results of research,                  optimisation of the results of research,
    technological development and demonstration               technological development and demonstration
    activities;                                               activities;
    the fourth activity is intended to stimulate the          the fourth activity is intended to stimulate the
    training and mobility of scientists.                      (raining and mobility of researchers.
          CONTENT AND ORGANISATION OF                     1.        CONTENT AND ORGANISATION OF
          THE FIRST ACTIVITY                                        THE FIRST ACTIVITY
The research, technological development and               The research, technological development and
demonstration programmes will comprise:                   demonstration programmes will comprise:
-   "key actions";                                            "key actions";
-   activities for research and development of                research and technological             development
    generic technologies;                                     activities of a generic nature;
-   activities in support of research infrastructures.        activities in support of research infrastructures.
                                                          These programmes will, where appropriate,
                                                          undertake studies and research activities on relevant
                                                          ethical and legal aspects, within a context of respect
                                                          for fundamental human values..
                                                       12
 ---pagebreak---                                                       Particular account will be taken of the economic
                                                      and social implications of the implementation, use,
                                                      and effects of the technologies and processes
                                                      involved in each of these programmes. A particular
                                                      effort will be made to ensure coherence between
                                                      these socio-economic research activities carried out
                                                      in the various key action in order to optimise the
                                                      exploitation and dissémination of results by users.
In addition, in the framework of a coherent           In addition, in the framework of a coherent
approach involving also the second, third and fourth  approach involving also the second, third and fourth
activities, these programmes will implement, in       activities, these programmes will implement, in
their respective areas, actions contributing to the   their respective areas, actions contributing to the
aims of these activities.                             aims of these activities.
                                                      Synergy will be sought with other Community
                                                      instruments, such as the Structural Funds, the EIF
                                                      and the EIB.
•>        "Key actions*                               a)        "Key actions"
The aim of the key actions is to mobilise, in the     Key actions will be problem-oriented and clearly
context of an overall approach, the resources of      defined corresponding to the criteria and be
different disciplines, technologies and know-how      specifically targeted to the objectives of each
and related skills of various origins. They will fit  programme and to the desired results, taking into
into a European context and bring together a          account the views of users. They should have a
maximum of public and private effort on the subject   clear European focus. The "key action" is regarded
concerned. The key actions have been strategically    as a cluster of small and large, applied, generic and,
selected on the basis of the problems to be resolved  as appropriate, basic research projects directed
and explicitly formulated economic and social         towards a common European challenge or problem
objectives.                                           not excluding global issues.
 The research activities carried out in this context   The research activities carried out in this context
will cover the entire spectrum of activities needed   will integrate the entire spectrum of activities
to achieve the objectives, and range from basic       needed to achieve the objectives, and range from
research through development to demonstration.        basic     research      through    development      to
                                                      demonstration. Appropriate links with relevant
                                                      national and international initiatives (including
                                                      complementary         European       research     and
                                                      technological development frameworks) will be
                                                      given proper attention.
b)        Activities for the research            and  b)        Research and technological development
development of generic technologies                             activities of a generic nature
                                                      These activities, which are essential to achieve the
These activities, which are to be carried out in a
                                                      objectives of the thematic programmes, will be
limited number of areas selected using the criteria
                                                      carried out in a limited number of areas not covered
set out in Annex I, will complement the key actions.
                                                      by the key actions. Complementing the key
Their main aim is to help the European Community
                                                      actions, their main aim is to help the European
maintain and improve the flow of ideas and
                                                      Community to maintain and improve its scientific
knowledge and its technological capability in those
                                                      and technological capability in those areas of
areas of research and enabling technologies which
                                                      research and enabling technologies which should be
have many and varied potential applications but are
                                                      used widely.
not covered by the key actions.
                                                   13
 ---pagebreak---  ---pagebreak---                                                                    ISSN 0254-1475
                                                             COM(98) 8/3 final
                                              DOCUMENTS
EN                                                                     15 12
                                    Catalogue number : CB-CO-98-144-EN-C
                                                              ISBN 92-78-31882-5
Office for Official Publications of the European Communities
L-2985 Luxembourg
 ---documentbreak--- NA ---documentbreak---                           COMMISSION OF THE EUROPEAN COMMUNITIES
 fi
                                                           Brussels, 25.02.1998
                                                           COM(1998)8fïnal/2
                                                           97/0119 (COD)
         CORRIGENDUM                                       97/0120 (CNS)
         Nouvelle page. Annule et remplace
         Celle du document COM (1998) 8 final
         du 14.01.1998..
         Concerne EN.
                                       Second modified proposai 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)
                                       Second modified proposal for a
                                            COUNCIL DECISION
             CONCERNING THE 5TH FRAMEWORK PROGRAMME OF THE
             EUROPEAN ATOMIC ENERGY COMMUNITY (EURATOM) FOR
                           RESEARCH AND TRAINING ACTIVITIES
                                                 (1998-2002)
'*i8i
 i
 "sSS,
                                       (presented by the Commission)
 m
ism
'1 t«f*'
 ---pagebreak---  ---pagebreak---                                                     each other's research and technological
                                                    development activities including, where
                                                    appropriate, through scientific and technological
                                                    cooperation agreements
- Training of researchers: a system of fellowships  (b)        Training of researchers:
will be set up to give young researchers from
developing countries (including Mediterranean and   A system of fellowships will be set up to give
'emerging economy' countries) a chance to spend     young researchers from developing countries,
time in Community laboratories and take part in     Mediterranean and "emerging economy"
Framework Programme research activities.            countries the opportunity of collaborating within
Another fellowship scheme will be provided for      laboratories in the Community on specific
young Community researchers to work in industrial   projects of the Framework Programme. Another
laboratories in Japan and South Korea.              fellowship scheme will be provided for a limited
                                                    number of young Community researchers to work
                                                    in industrially-oriented laboratories of the highest
                                                    quality in third countries in areas of particular
                                                     interest lo the Community.
- Coordination with COST actions, the EUREKA        (c)        Coordination
initiative and international organisations involved
in research activity; coordination of activities    Coordination with COST Actions, and support for
pursued through the other programmes of the         COST administration; coordination with
Framework Programme - with one another, and          EUREKA and with international organisations
with those pursued through the Community's other    involved in research activities; coordination of
cooperation actions and with the Member States'     activities pursued through the other programmes
cooperation activities.                             of the Framework Programme - with one another,
                                                    with those pursued through the Community's
                                                    other cooperation activities (notably PHARE,
                                                    TACIS and MED A) and with the Member States'
                                                    cooperation activities.
(b)        International cooperation pursued         2.        International cooperation pursued
           through the other Framework                         through other Framework
           Programme activities                                Programme activities
 Four types of participation in the specific         Participation by entities of third countries in the
programmes are foreseen:                             specific programmes may basically take two
                                                     forms
- full association with the Framework Programme:         programme participation based on full
participation and Community funding for third            association with the Framework Programme:
country entities under similar conditions to             participation for third country entities under
Member State entities (EEA, some CEECs, Israel,          similar conditions to Member State entities.
 Switzerland),                                           Full association of States in the pre-accession
                                                         phase could be facilitated through appropriate
                                                         degressive financing mechanisms, making
                                                         use, where appropriate, of other relevant
                                                         Community instruments (e.g. PHARE). For
                                                         other States in the pre-accession phase for
                                                         which full participation in the Framework
                                                         Programme is not yet feasible, partial
                                                         association with one or more complete
                                                         specific programmes could be envisaged;
 ---pagebreak---                                                                    ISSN 0254-1475
                                                             COM(98) 8/2 final
                                              DOCUMENTS
EN                                                                     15   12
                                    Catalogue number : CB-CO-98-125-EN-C
                                                              ISBN 92-78-31702-0
Office for Official Publications of the European Communities
L-2985 Luxembourg