CORDIS Archive

COM(97) 142

09-04-1997

Commission proposal for the Fifth RTD Framework Programme

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)

Annex I: Criteria for selecting the themes and objectives of Community activities

Annex II: Broad lines of Community activities and the scientific and technical objectives

Annex III: 5th Framework Programme (1998-2002): Amounts and breakdown (Table)

Annex IV: Rules for financial participation by the Community

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

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

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

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

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

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

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

Whereas, in accordance with Article 4(2) of Decision No 1110/94/EC of the European Parliament and of the Council of 26 April 1994 concerning the fourth framework programme of the European Community activities in the field of research, technological development and demonstration (1994 to 1998) (5) , amended by Decision No 616/96/EC (6), the Commission is required to have an external assessment conducted into the management of and progress with Community activities carried out during the five years preceding that assessment, prior to presenting its proposal for a Fifth Framework Programme; whereas that assessment, the conclusions thereof and the Commission's comments have been communicated to the European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions;

Whereas on 10 July 1996 the Commission adopted a communication (7) setting out the preliminary guidelines for the Fifth Framework Programme, stressing the need for the latter to meet economic and social needs as a matter of priority; whereas that communication was followed by a first working paper of 20 November 1996 (8), which provided more details about the proposed objectives and the implementation mechanisms, and then a second working paper of 12 February 1997 (9), which set out the possible content of the Fifth Framework Programme;

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

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

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

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

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

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

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

Whereas the Community's financial participation in the actions of the framework programme may be varied at the level of the specific programmes according to the nature of the activities concerned and the proximity to the market, in specific and duly justified cases, in compliance with international rules and the provisions of the Community Framework for State aid for research and development (10), in particular points 5.12 and 5.13 thereof;

Whereas the criteria that have been laid down to choose the topics covered by the Fifth Framework Programme and the related scientific and technological objectives take into account the above-mentioned principles; whereas those criteria should also be applied to the implementation of the Fifth Framework Programme in order to ensure consistency;

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

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

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

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

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

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

HAVE DECIDED AS FOLLOWS:

Article 1

1. A multiannual framework programme for all Community activities, including demonstration activities, in the field of research and technological development, hereinafter referred to as the "Fifth Framework Programme", is hereby adopted for the period 1998-2002.

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

(a) unlocking the resources of the living world and the ecosystem;
(b) creating a user-friendly information society;
(c) promoting competitive and sustainable growth.

The second, third and fourth Community activities shall address the following topics respectively:

(a) confirming the international role of Community research;
(b) innovation and participation of small and medium-sized enterprises;
(c) improving human potential.

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

3. The criteria for selecting the themes referred to in paragraph 2 and the related objectives are set out in Annex I. They will apply for the implementation of the Fifth Framework Programme.

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

Article 2

1. The maximum overall amount for Community financial participation in the Fifth Framework Programme shall be ECU 14833 million.

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

Article 3

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

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

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

Article 4

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

Article 5

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

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

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

Article 6

All the research activities conducted pursuant to this Framework Programme must be carried out in compliance with fundamental ethical principles.

Done at Brussels, ...

(1) ...
(2) ...
(3) ...
(4) ...
(5) OJ No L 115, 6.5.1994, p. 31.
(6) OJ No L 86, 4.4.1996, p. 72.
(7) COM (96) 332 final.
(8) COM (96) 595 final.
(9) COM (97) 47 final.
(10) OJ No C 102, 4.4.1996, p.4.

---

Previous Page

Next Page