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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) and in the light of the joint text approved by the
Conciliation Committee on 25 November 1998,
(1) Whereas, in accordance with Articles 130f(3) and 130i(1) of the Treaty, a
multiannual framework programme covering all Community activities in the field of research
and technological development including demonstration activities, hereinafter referred to
as RTD, should be adopted;
(2) Whereas it has been considered appropriate to adopt a new framework programme for
the period 1998 to 2002 in order to ensure continuity of Community research;
(3) 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), the Commission is
equired to have an external assessment conducted into the management of and progress with
Community activities carried out during the five years preceding the assessment, prior to
presenting its proposal for a fifth framework programme; whereas that assessment, the
conclusions thereof and the Commissions comments have been communicated to the
European Parliament, the Council, the Economic and Social Committee and the Committee of
the Regions;
(4) Whereas, in accordance with Article 130f(1) of the Treaty, the Communitys
research and technological development policy should address, as a matter of priority,
problems of society, improving the international competitiveness of Community industry,
sustainable development, job creation, the quality of life and globalisation of knowledge,
contributing to the development and implementation of the Communitys policies and
the role of the Community in the world as a focalpoint of scientific and technological
excellence;
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(1) OJ C 173, 7.6.1997, p. 10, and OJ C 291, 25.9.1997,
p. 15.
(2) OJ C 355, 21.11.1997, p. 38, and OJ C 73,
9.3.1998, p. 133.
(3) OJ C 379, 15.12.1997, p. 26.
(4) Opinion of the European Parliament of 18 December
1997 (OJ C 14, 19.1.1998, p. 171), Council Common Position of 24 March 1998 (OJ C 178,
10.6.1998, p. 49) and Decision of the European Parliament of 17 June 1998 (OJ C 210,
6.7.1998, p. 131). Decision of the European Parliament of 15 December 1998 and Decision of
the Council of 22 December 1998.
(5) OJ L 126, 18.5.1994, p. 1. Decision as last amended
by Decision No 2535/97/EC (OJ L 347, 18.12.1997, p. 1).
(5) Whereas appropriate steps should be taken to promote cooperation and coordination
between Member States;
(6) Whereas the RTD activities undertaken in the context of the first activity referred
to in Article 130g of the Treaty should focus on a limited number of topics; whereas those
activities, in the context of indirect actions, should be implemented through key
actions, which bring together the activities (ranging from basic research through
applied and generic research to development and demonstration) in a coherent whole in
order to target them strategically on a common European challenge or problem; research and
technological development activities of a generic nature; and activities designed to
encourage the optimum use of research infrastructures and improve access thereto;
(7) Whereas the activities undertaken in the context of the second (cooperation with
third countries and international organisations), third (dissemination and optimisation of
RTD results) and fourth (training and mobility of researchers) activities referred to in
Article 130g of the Treaty should complement, support and interact with each other and the
abovementioned RTD activities;
(8) Whereas this approach presupposes that the potential for scientific and
technological excellence existing within the Community is maintained and reinforced,
whilst taking full account of the efforts made by its main international partners;
(9) Whereas it is appropriate, in this same context, to place special emphasis on the
needs of small and medium-sized enterprises (SMEs), so as to promote their effective
participation in Community programmes and their ability to benefit from them; on the
dissemination and transfer of results; on innovation; and on the training and mobility of
researchers, thereby encouraging the emergence of a new generation of enterprising
researchers with innovative ideas;
(10) Whereas research and technological development can stimulate economic growth and,
as a result, lead to the creation of lasting employment;
(11) Whereas researchers, industry and users have contributed substantially to the
definition of actions to be undertaken in the fifth framework programme and should be
involved in its implementation;
(12) Whereas the formulation and implementation of the Communitys policies and
actions must take into account 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 encouraging RTD activities of high quality;
whereas it is therefore necessary to respect the complementary roles of RTD activities and
the action undertaken by the Community through other relevant instruments;
(13) Whereas it is necessary to promote and facilitate the participation of
ultraperipheral regions in Community RTD actions through appropriate mechanisms adapted to
their particular situation;
(14) Whereas, in accordance with the principles of subsidiarity and proportionality as
enshrined in Article 3b of the Treaty, the objectives of Community research and
technological development policy reflected in the fifth framework programme warrant
activities at Community level in so far as the objectives cannot be sufficiently achieved
by the Member States; whereas there is a need to establish a critical mass in
human and financial terms, in particular through the combination of the complementary
expertise and resources available in the various Member States; whereas these objectives
can therefore be better achieved at Community level; whereas this Decision does not go
beyond what is necessary to achieve these objectives;
(15) Whereas the Communitys financial participation in the actions of the
framework programme may, in accordance with the principles set out in this framework
programme, 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 and in compliance with the provisions of the Community framework for State aid for
research and development (1), in particular points 5.12
and 5.13 thereof, and with international rules;
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(1) OJ C 45, 17.2.1996, p. 5.
(16) Whereas the maximum overall amount of the fifth framework programme would need to
be revised should new Member States accede before the framework programme expires;
(17) Whereas Community participation in the framework programme should correspond to
the financial perspective in force for the whole period of the programme; whereas account
should be taken of the fact that a new financial perspective will be negotiated during the
course of the fifth framework programme; whereas, if the maximum overall amount were
inconsistent with the amount available for research within the financial perspective then
in force, or if there were no financial perspective in force, it would be necessary to
decide on a new amount under the conditions provided for in the Treaty; whereas there
should be equivalent arrangements for the specific programmes; whereas, in the absence of
such arrangements, the specific programmes could not be implemented since they would have
been deprived of a legal base for the expenditures which they foresee;
(18) Whereas the administrative expenditure arising from research activities has to be
financed within the general amount allocated to the framework programme and should be
included in the budget in a transparent fashion;
(19) Whereas the criteria which 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
when the fifth framework programme is implemented, in order to ensure consistency;
(20) Whereas the Joint Research Centre (JRC) will implement direct RTD actions through
research and scientific and technical support activities of an institutional character
where it has special or even unique expertise and facilities in the Community or where it
is entrusted with activities necessary for the framing and implementation of Community
policies and tasks incumbent on the Commission pursuant to the Treaty which require the
JRCs impartiality; whereas in addition, it will participate progressively in a
competitive approach, as a member of consortia, in carrying out research activities
foreseen by way of indirect actions;
(21) 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;
(22) Whereas the Community equal opportunities policy must be taken into account in
implementing the fifth framework programme whereas, therefore, participation of women in
the field of RTD should be encouraged;
(23) Whereas, in addition to the annual report to be submitted to the European
Parliament and the Council pursuant to Article 130p of the Treaty, arrangements should be
adopted, in accordance with recommendations to be implemented in respect of transparency
and sound and efficient management, for the systematic examination of the progress of the
fifth framework programme and its evaluation;
(24) Whereas the European Parliament, as one of the decision-making bodies for future
research programmes, intends to follow the progress of the framework programme during its
implementation by the Commission, while not impinging on or constraining the
Commissions implementation role;
(25) Whereas a modus vivendi between the European Parliament, the Council and the
Commission concerning the implementing measures for acts adopted in accordance with the
procedure laid down in Article 189b of the Treaty (1)
was concluded on 20 December 1994;
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(1) OJ C 102, 4.4.1996, p. 1.
(26) Whereas it is necessary to reinforce the phasing-in within the framework
Programme, in accordance with the eligibility criteria, of certain coal and steel research
activities currently being carried out on the basis of the Treaty establishing the
European Coal and Steel Community, which expires in 2002;
(27) Whereas, in order to ensure consistency between research activities undertaken
under the Treaty establishing the European Community and those carried out under the
Treaty establishing the European Atomic Energy Community, the Decision concerning the
framework programme for nuclear research and training activities should be adopted at the
same time and for the same period as this framework programme;
(28) Whereas the Scientific and Technical Research Committee (CREST) has been
consulted,
HAVE DECIDED AS FOLLOWS:
1. A multiannual framework programme for all Community activities, including
demonstration activities, in the field of research and technological development,
hereinafter referred to as the fifth framework programme, is hereby adopted
for the period 1998 to 2002.
2. The fifth framework programme shall, in accordance with Article 130g of the Treaty,
comprise four Community activities:
(a) implementation of research, technological development and demonstration programmes;
(b) promotion of cooperation in the field of Community research, technological
development and demonstration with third countries and international organisations;
(c) dissemination and optimisation of the results of activities in Community research,
technological development and demonstration;
(d) stimulation of the training and mobility of researchers in the Community.
The first Community activity shall relate to the following four themes:
1. quality of life and management of living resources;
2. user-friendly information society;
3. competitive and sustainable growth;
4. energy, environment and sustainable development.
The second, third and fourth Community activities shall relate to the following three
themes respectively:
1. confirming the international role of Community research;
2. promotion of innovation and encouragement of participation of SMEs;
3. improving human research potential and the socioeconomic knowledge base. Activities
undertaken within the thematic programmes of the first Community activity will also
contribute, in coordination and interaction with the horizontal programmes, to the
achievement of the objectives of those three themes. Complementarity with relevant
initiatives of the Member States, and initiatives such as COST and Eureka, will be sought.
3. The criteria for selecting the themes referred to in paragraph 2 and the related
objectives are set out in Annex I. They shall apply for the purposes of 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.
1. (a) The maximum overall amount for Community participation in the fifth framework
programme shall be ECU 13 700 million.
Of this amount:
to ECU 3 140 million is for the period 1998 to 1999,
to ECU 10 560 million is for the period 2000 to 2002.
(b) The figure of ECU 10 560 million shall be deemed to be confirmed
if it is consistent with the financial perspective in force in the period 2000 to 2002. In
the case of any new financial perspective in force, this condition shall be met only if:
the financial perspective indicates the share of expenditure available for
research, and
that share permits Community participation of ECU 10 560 million in the period
2000 to 2002.
(c) If the figure of ECU 10 560 million is not consistent with the
financial perspective in force in the period 2000 to 2002, or if there is no financial
perspective in force in those years,
the European Parliament and the Council, acting under the conditions provided
for in Article 130i(1) of the Treaty, shall set a new maximum overall amount and adjust
the amounts in Annex III accordingly,
the Council, acting under the conditions provided for in Article 130i(4) of the
Treaty, shall adapt the amounts deemed necessary for the specific programmes referred to
in Article 3, so as to ensure their consistency with the new maximum overall amount.
Pending the decisions provided for in the first and second indents above, the specific
programmes shall not be implemented beyond the provision in the first indent of
subparagraph (a) of this paragraph.
2. The amount referred to in paragraph 1 shall be subject to revision should new Member
States accede before this framework programme expires.
3. Annex III fixes the respective amounts earmarked for each of the Community
activities envisaged in Article 1and indicates the breakdown between the themes of the
first Community activity defined in Article 1(2).
4. All administrative expenditure arising from the research activities shall be paid
from the overall amount of the programme. It shall be dealt with in the general budget of
the European Communities according to the usual procedures applicable to other comparable
administrative expenditure.
1. The fifth framework programme shall be implemented through eight specific
programmes, four of which correspond to the four themes of the first Community activity,
three are linked to the second, third and fourth Community activities respectively, and
the eighth is a programme specific to the Joint Research Centre. The scientific,
industrial and user communities will be closely involved throughout this implementation
process.
Each specific programme shall specify its precise objectives having regard to the
scientific and technological objectives set forth in Annex II, define the detailed rules
for its implementation, fix its duration and provide for the means deemed necessary.
The Commission will establish and publish under its own responsibility a detailed
manual of operational procedures and guidelines for the selection of research and
technological development actions.
2. Implementation of the fifth framework programme may give rise, where necessary, to
supplementary programmes within the meaning of Article 130k of the Treaty, 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.
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 set out in the Financial Regulation
applicable to the general budget of the European Communities (1),
as supplemented by Annex IV to this Decision.
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(1) OJ L 356, 31.12.1977, p. 1. Regulation as last
amended by Regulation (EC, ECSC, Euratom) No 2548/98, OJ L 320, 28.11.1998, p. 1.
1. The Commission shall continually and systematically monitor each year, with the help
of independent qualified experts, the implementation of the fifth framework programme and
its specific programmes in the light of the criteria set out in Annex I and the scientific
and technological objectives set out in Annex II. 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, taking account of the results of this
assessment.
2. Before submitting its proposal for a sixth framework programme, the Commission shall
have an external assessment conducted by independent highly qualified experts into the
implementation and achievements of Community activities carried out during the five years
preceding that assessment in the light of the criteria set out in Annex I, the scientific
and technological objectives set out in Annex II and the implementation of this Decision
via the specific programmes based thereon. 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 qualified experts referred to in paragraphs 1 and 2 shall be drawn
in particular from scientific, industrial and user communities and chosen by the
Commission, which shall take account, in a balanced fashion, of the various research
players.
The Commission shall make known the full list of experts and their individual
qualifications following their appointment.
4. The Commission shall regularly inform the European Parliament and the Council of the
overall progress of the implementation of the framework programme and the specific
programmes.
Halfway through the term of the fifth framework programme, the Commission shall review
progress with the programme and shall submit to the European Parliament and
to the
Council, on the basis of the assessments of the various specific programmes, a
communication accompanied, if appropriate, by a proposal for the adaptation of this
Decision.
All research activities conducted pursuant to the fifth framework programme shall be
carried out in compliance with fundamental ethical principles, including animal welfare
requirements, in conformity with Community law.
Done at Brussels, 22 December 1998.
For the European Parliament For the Council
The President The President
J.M. GIL-ROBLES C. EINEM
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