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The Fifth Framework Programme, adopted on 22nd December 1998, defines the Community activities in the field of research, technological development and demonstration (hereafter referred to as "RTD") for the period 1998-2002.
The Fifth Framework Programme differs from its predecessors. It has been conceived to help solve problems and to respond to major socio-economic challenges facing the European Union. It focuses on a limited number of objectives and areas combining technological, industrial, economic, social and cultural aspects.
Priorities have been chosen according to three basic principles which apply for all levels: the Framework Programme as a whole, the Specific Programmes implementing it and the RTD activities covered by those programmes.
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European "value added" and the subsidiarity principle, for example, to reach a critical mass or contribute to solving problems of a European dimension,
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Social objectives, such as quality of life, employment or protection of the environment in order to meet the expectations and concerns of the Union’s citizens,
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Economic development and scientific and technological prospects in order to contribute to the harmonious and sustainable development of the European Union as a whole. |
The Fifth Framework Programme consists of seven Specific Programmes, of which four are Thematic Programmes and three are Horizontal Programmes.
The Thematic Programmes are:
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Quality of life and management of living resources
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User-friendly information society
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Competitive and sustainable growth
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Energy, environment and sustainable development.
In line with the provisions set out in the EC Treaty, the widely ranging Horizontal Programmes underpin and complement these Thematic Programmes.
The Horizontal Programmes are:
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Confirming the international role of Community research
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Promotion of innovation and encouragement of participation of small and medium-sized enterprises (SMEs)
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Improving human research potential and the socio-economic knowledge base.
One essential new characteristic of the Fifth Framework Programme is the integrated, problem-solving approach. Integration is strengthened at three levels:
-> By the key action concept in the Thematic Programmes. Key actions are major innovations of the Fifth Framework Programme. They will enable the many and varied aspects of the economic and social issues to be targeted, by integrating the entire spectrum of activities and disciplines needed to achieve the objectives.
-> By integration between Horizontal and Thematic Programmes objectives.
International co-operation
Participation by entities of third countries and international organisations is possible in all Programmes in addition to opportunities for participation in the Horizontal Programme "Confirming the international role of Community research". Conditions for participation, including possible financial arrangements, are specified in section III of this document. Box 1 describes the opportunities for bursaries for young researchers from developing countries.
Innovation and participation of SMEs
Measures encouraging SME participation in RTD activities will be carried out in all Thematic Programmes and the Innovation and SME Programme. Details of SME stimulation measures will be found in a dedicated special information brochure. In addition, each Thematic Programme will interface with the Horizontal Programme "Promotion of innovation and encouragement of SME participation" in order to develop awareness and facilitate technology transfer and the use of the results of the Thematic Programme.
Socio-economic and training aspects
Socio-economic research can be funded by both the Thematic Programmes and by the key action on "Improving the socio-economic knowledge base" of the Horizontal Programme "Improving the human research potential and the socio-economic knowledge base". Socio-economic research is present in the Thematic Programmes as an integral part of the technological research activities. Training opportunities for researchers are assured through the System of Marie Curie Fellowships that can be implemented by Thematic Programmes as well as by other specific training activities in the Human Potential Programme. The fellowships system is described schematically in Box 2.
-> By integration between Thematic Programmes. Complementary and synergistic interactions will be ensured in implementing the Programmes.
I.3.1. Work Programme
A Work Programme has been drawn up for each Specific Programme, describing the specific activities and the various research areas. The Work Programme will be revised regularly with the assistance of Advisory Groups of independent experts to ensure its continued relevance in the light of evolving needs and developments. Potential proposers should therefore ensure they are consulting the current version of the Work Programme when planning a proposal. The Work Programme appearing at the Specific Programme Website is always the current version.
The Work Programme includes an indicative timetable or "roadmap", which indicates which parts of the Work Programme will be opened, by Calls for Proposals, and the deadline(s) involved. This provides a means of focusing attention on areas or sub-areas, thereby optimising opportunities for launching collaborative projects and establishing thematic networks.
The Commission will manage the Specific Programmes to ensure that links in thematic content between the programmes are exploited in a synergistic way. This may occasionally require joint or synchronised Calls for Proposals. Where necessary, co-ordination measures such as these will be indicated in the announcement of the Calls for Proposals, and in the Work Programme.
I.3.2. Types of actions supported
The Community will contribute financially to the RTD2 activities, carried out under the Specific Programmes implemented within the Fifth Framework Programme. The general rules3 are as follows:
(a) Shared-cost actions
Research and technological development (R&D;) projects – projects obtaining new knowledge intended to develop or improve products, processes or services and/or to meet the needs of Community policies (financial participation: 50 % of total eligible costs4,5)
Demonstration projects4 – projects designed to prove the viability of new technologies offering potential economic advantage but which cannot be commercialised directly (financial participation: 35 % of total eligible costs5)
Combined R&D; and demonstration projects4 – projects combining the above elements (financial participation: 35 to 50 % of total eligible costs4,5)
Support for access to research infrastructures (only implemented under "Improving the human research potential and the socio-economic knowledge base" – IHP Programme) – actions enhancing access to research infrastructures for Community researchers. Support will cover a maximum of 100 % of the eligible costs necessary for the action
"SME Co-operative" research projects4 – projects enabling at least three mutually independent SMEs from at least two Member States or one Member State and an Associated State to jointly commission research carried out by a third party (financial participation: 50 % of total eligible project costs4)
"SME Exploratory" awards – support of 75 % of total eligible costs6 for an exploratory phase of a project of up to 12 months (e.g. feasibility studies, validation, partner search).
(b) Training fellowships
Marie Curie Fellowships are either fellowships, where individual researchers apply directly to the Commission, or host fellowships, where institutions apply to host a number of researchers (financial participation: maximum of 100 % of the additional eligible costs necessary for the action7). See Box 2.
The decisions on the specific programmes may define specific sub types of actions for example: the programme "Confirming the international role of Community research" – INCO 2 - defines bursaries for young researchers from developing countries and other bursaries for researchers from the EU Member States or Associated States as specific training fellowships. See Box 1.
(c) Research training networks and thematic networks
- Training networks for promoting training-through-research especially of researchers at pre- and post-doctoral level (these are only implemented under the IHP programme);
- and thematic networks for bringing together e.g. manufacturers, users, universities, research centres around a given S&T; objective. These include co-ordination networks between Community funded projects. Support will cover a maximum 100 % of the eligible costs necessary for setting up and maintaining such networks.
(d) Concerted actions
Actions co-ordinating RTD projects already in receipt of national funding, for example to exchange experiences, to reach a critical mass, to disseminate results etc. (financial participation: maximum of 100 % of the eligible costs necessary for the action).
(e) Accompanying measures
Actions contributing to the implementation of a Specific Programme or the preparation of future activities of the programme. They will also seek to prepare for or to support other indirect RTD actions (financial participation: maximum of 100 % of total eligible costs).
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Each Specific Programme will not necessarily open all the above mentioned types of actions in all Calls. Please refer to section II and Part 2 of this Guide to see which actions are called for in the different programmes and Calls. |
A cluster is a defined group of RTD projects. Its aim is to guarantee complementarity among projects, to maximise European added value within a given field and to establish a critical mass of resources at the European level.
An integrated approach towards research fields and projects financed is needed to solve complex multidisciplinary problems effectively. Clusters reflect this problem-solving approach. Indeed, in a cluster, projects are joined together because they complement each other in addressing major objectives in the context of a key action or a generic activity (sometimes even across different key actions or Specific Programmes). Clusters are expected to optimise scientific networking, management, co-ordination, monitoring, the exchange of information and, on voluntary basis, the exploitation and dissemination activities. The cluster may thus become a natural process to generate European added value, wherever it makes sense, beyond the limited resources of an isolated project.
All types of projects can be assembled and integrated within a cluster, including those funded by different EU RTD activities (key action, generic activity, infrastructure). By the same token, and as part of an overall European approach, relevant activities under other research frameworks (notably EUREKA, COST) could also be taken into account whenever this can reinforce synergy. Clusters will be set up through thematic networks or complementary clauses.
I.3.4. Gender equal opportunities
In line with the Commission’s strategic approach of mainstreaming equal opportunities in all Union policies, particular account is taken in the Fifth Framework Programme of the need to promote the participation of women in the fields of research and technological development. Therefore women are encouraged to participate in proposals for the above mentioned RTD activities.
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