Organization and Content
Table n.3: Organization proposed for 5th Framework Programme (`thematic' and `horizontal' programmes, key actions and general activities for the development of generic technologies and basic research).
The Communication "Inventing Tomorrow" dated 10 July 1996 set out the broad guidelines proposed for the 5th Framework Programme. In this document, the Commission underlined its readiness to mark, with this new Programme, a distinct break with earlier Framework Programmes, by focusing efforts to a greater extent, by improving the consistency of the overall approach and by paying greater attention to the exploitation of results and the management aspects.
The first Working Paper dated 20 November clarified and gave more detail about the proposed structure and instruments for implementing the Programme. The two documents have already been widely discussed, and the validity of the proposed guidelines have been broadly endorsed.
The purpose of this second Working Paper is to give a more detailed idea of the possible content of the 5th Framework Programme and the scientific and technological objectives of the proposed activities within the various programmes.
These objectives have been formulated on the basis of an analysis of the socio-economic and technological situation in Europe, and the conclusions of the evaluation of the activities conducted under earlier Framework Programmes.
In support of this Communication, the Commission Services have prepared separate documents setting out the main socio-economic and technological indicators and a summary of the conclusions of the five-year evaluation reports on European Union activities.
This Working Paper also explains the criteria used to select the objectives and provides further clarifications about the implementation and legal and financial aspects.
These aspects and the financial aspects will be explained in full in the formal proposal concerning the 5th Framework Programme that the Commission plans to submit at the end of March 1997, and which will contain the Commission's definitive proposals in the light of reactions to this Working Paper.
On account of these specific features, and in pursuit of a cost-benefit approach dictated by concern for optimum allocation of European public funding, the choice of objectives and activities under the Framework Programme must be made on the basis of a set of clear criteria.
This requirement is particularly important in the case of the 5th Framework Programme where it is expected that its definition should be marked by a particular effort of selectivity and concentration on a limited number of areas and objectives. The 5th Framework Programme will therefore use for the definition of its content, three categories of criteria[1]:
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The scientific and technological objectives selected must help to further major European Union social objectives reflecting the expectations and concerns of EU citizens:
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The scientific and technological objectives selected must correspond to areas:
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The scientific and technological objectives selected cannot be achieved through private research alone and are more effectively pursued at the European level and can be achieved more easily with projects at that level:
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These criteria have been used for the identification of:
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Three "thematic" programmes:
Three "horizontal" programmes:
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The "thematic" and "horizontal" programmes would be both complementary and interrelated. With a view to maximum efficiency, and in line with the recommendations of the Framework Programme evaluation panel, it is proposed that the greatest possible account should be taken of the objectives of activities II, III and IV in the "thematic" programmes. One of the main functions of the "horizontal" programmes would therefore be to ensure coordinated implementation of all the activities related to these objectives at the level of the Framework Programme as a whole. While having their own objectives, the "horizontal" programmes would therefore help in the coherent implementation of the "thematic" programmes.[3]
1.1 The content of the "thematic" programmes
These programmes would be organised in such a way as to reconcile the desire to focus efforts on a limited number of objectives and the need to maintain and strengthen the science and technology base. To this end, these three programmes would comprise, firstly, a series of "key actions", secondly, general activities for the development of generic technologies and basic research, and, thirdly, activities in support of research infrastructures.
For the implementation of "key actions", lessons would be drawn from the pilot experience of "Task Forces" set up in the 4th Framework Programme. In particular, their detailed content would be defined and their implementation monitored in close conjunction with research players and users. In this process, the detailed arrangements of which are being examined, efforts will be made to maintain an appropriate balance between suppliers and users of knowledge and technology.
One of the aims pursued would be to stimulate the emergence of a genuinely integrated science and technology area in the fields concerned, by mobilising public and private European and national resources in a convergent manner. As and when implemented, the key actions would give rise to the definition and launching of large targeted projects.
On the basis notably of an analysis of the needs capable of being most effectively addressed at European Union level, 16 subjects for key actions to be undertaken are proposed.[4]
Complementing the key actions, the activities for the development of generic technologies and basic research would therefore also provide support for such actions. Carrying them out would help to both achieve the objectives of the programme and implement the research and technological development policy of the Union as a whole: one of their prime functions would be to help the Union maintain and develop the flow of ideas and knowledge, as well as its technological capability.
This formula is essential for the implementation of multi-disciplinary activities of very general interest, based on work carried out in several programmes. This would be the case notably in the fields of space technologies, the key action on `The City of Tomorrow' and of course, the key action on `Products, Processes, Organization' which is also relevant to the two programmes `Creating a User-Friendly Information Society' and `Promoting Competitive and Sustainable Growth'.
Giving a much larger role to the demonstration dimension, as well as to pre-normative research aspects, the research activities under the various programmes would take more account, from the start, of user and consumer requirements in terms of safety and quality.
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The progress of knowledge and technology in the fields of the living world and
the environment is essential for the implementation of the policies of the Union,
in particular in the fields of health, agriculture, and the environment, as well
as its industrial policy.
In this context, a broad range of new markets, bringing growth and employment, should soon emerge. To ensure the exploitation of these markets and to optimise their impact on the quality of life of its citizens, the Union can build on its strong tradition in molecular biology and biochemistry, medical and pharmaceutical research, and agronomic and environmental sciences, and on its great potential in the corresponding areas of industry. |
The living world and ecosystem (I):
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The quality of food is a subject of major concern for the people of Europe, and they expect the Union to provide a permanent framework for its guarantee. With this in mind, this action would aim at the development of knowledge, technologies and methods based, for example, on biotechnology for the production in Europe of a safe, healthy, balanced and varied food supply. This requires as a priority the development of tests to detect, and methods to eliminate, infectious and toxic agents, as well as work in the areas of epidemiology, science and technology of nutrition, and public health.
Apects of justification:[5] The problem of "mad cows" and the controversies surrounding genetically modified soya and maize have indicated clearly that the quality of food is a matter of public concern which must be addressed as a serious social issue on a European scale. The European Union is the world's largest producer of food and drink, which represent 16.5% of its industrial production. The impact of food on health can easily and accurately be illustrated by comparing clinical and epidemiological data from different European countries.
The living world and ecosystem (II):
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Despite the progress achieved by medicine during the 20th century, microbial, viral, parasitic, `prion', and infectious diseases are still far from being under control. With responsibility for ensuring a high level of public health in Europe, the Union has to help fight them. Such would be the aim of this action, which would focus particularly on the fight against AIDS, the control of the "new plagues" (haemorrhagic fevers, illnesses connected with new or mutant microbial or viral strains), and the development of vaccines, especially against viral illnesses. Close attention would be paid to prevention strategies and to aspects connected with public health and care provision systems.
Apects of justification: Infectious diseases kill 17 million people every year throughout the world and 30 new epidemics have been observed during the last two decades. The world market for vaccines (3 billion ECU per annum) is set to grow by 9.7% per annum in the coming years; the world market for vaccines for the treatment and prevention of cancer could reach 10 billion ECU in the year 2000. Multi-centre clinical trials at European level will allow a considerable increase in the speed of development, authorisation and marketing of new medicines and facilitate their use throughout Europe.
The living world and ecosystem (III):
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Progress in the science and technology of the living world opens up considerable opportunities for industry. To assist enterprises to exploit these opportunities in the single market in the context of the Union's policies on, for example, health and the environment, the aim of this action would be the development of multidisciplinary technologies based on the exploitation of the properties of living organisms (micro-organisms, plants and animals) at the cellular and sub-cellular levels, in order to develop, in particular, new antibiotics and anticancer agents, bio-treatment methods for waste, and new biological processes for the agri-food industry.
Apects of justification: 280 new therapeutic molecules were developed in 1995 through biotechnology. The European market for biotechnology-derived products has grown by 30% since 1995 and should reach 100 billion ECU by the year 2000. Biotechnology is an activity at the intersection between many disciplines and technologies. Progress relies on combining a range of skills and knowhow, and this is much easier to achieve at European level. This sector also plays a very important role with respect to the Union's industrial policy, and must be considered in the framework of an overall approach which covers the industrial, research, environment and ethical aspects together.
The living world and ecosystem (IV):
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Now a rare resource whose quality is under threat, water must be managed in the most rational way possible. Situated at the intersection of agricultural policy, environmental policy and regional policy, this action would aim to produce the knowledge and the technologies necessary to achieve this, to satisfy both domestic needs and those of industry and agriculture. Among the priority fields concerned are: technologies for treatment and drainage; for monitoring the quality of the water table and of surface waters; systems for surveillance, warning and communication; technologies for the regulation of stocks and technologies for arid and semi-arid regions.
Apects of justification: 20% of surface water in the Union is threatened by pollution and more than 60% of farmland contains levels of fertilisers and pesticides considered alarming in terms of local water quality. Investments in equipment and services for water in the European Union are likely to be more than 30 billion ECU in the year 2000. Water is in many cases a shared resource across the Union: several member states depend for more than 50% of their water on suppliers from other countries. The problem of water quality also plays a central role in the Union's environmental policy.
The living world and ecosystem (V):
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The deterioration of the environment can have a serious adverse effect on health. The aim of this action would be to help reduce this effect, starting with a better understanding of the mechanisms involved. It would consist in particular of work on epidemiology and the development of new methods of diagnosis and prevention, as well as methods to reduce harmful impacts, and be carried out in close coordination with the aims of the Union's environmental policy objectives and would concern subjects such as the effects on health of air pollution, heavy metals and toxic substances, electromagnetic radiation, the effects of pollution at the workplace, and the impact of climatic changes on public health.
Apects of justification: 13% of cases of asthma and 15% of respiratory infections affecting the European urban population could be related to exposure to urban pollution. Much of the progress made in improving our understanding of the effects of heavy metals (such as lead) on health is due to comparative epidemiology at the European level. Regulations adopted at European level on nuclear and industrial safety and the safety of domestic products depend on the availability of an objective scientific information base.
The living world and ecosystem (VI)
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Agriculture and fisheries, essential areas of activity in rural and coastal areas, are facing profound changes. From this perspective, the aim would be to mobilise knowledge and the technologies needed to put in place innovative approaches to production and exploitation, adapted to recent adjustments in the common agricultural and fisheries policies, whilst also providing the scientific basis for Community regulations. Among the priority areas are: new systems of production and utilisation in agriculture, forestry and fishing based on profitability, the sustainable management of resources, product quality and employment; non-food uses; control methods; new models of sustainable development of rural and coastal areas based on optimisation of the specific potential of each area and the diversification of activities and the use of land, and involving the people concerned.
Apects of justification: 80% of the Union's territory can be categorised as rural, and the agricultural sector is made up of nearly 7 million holdings which give work to some 14 million people. In the fisheries sector, 70,000 enterprises (essentially SMEs) generate a turnover of nearly 20 billion ECU. Agriculture and fisheries are fully integrated policies at European level and account for half of the Community budget. The European Parliament and the Committee of the Regions recently confirmed their desire to give rural areas the means to play their full part in the territory and economy of the Union.
Work would concentrate on the following priorities:
Recommendations of the programmes' evaluation panels in the areas concerned include:
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The creation of the information society can make a significant contribution to renewed growth and the development of new forms of jobs in the Union: the development of information and communications technologies and their application will lead to the creation of several million jobs in Europe.
The Union is faced with intense international competition yet concerned to preserve the cultural diversity which constitutes its wealth. It must therefore develop those technologies which will make it possible to create an original and user-friendly kind of information society. The information society means fundamental industrial and social change: its establishment is opening up multiple possibilities for new activities, both for individuals and for companies, in the fields of trade, work, transport, education, health, and culture. The technologies associated with the information society at the same time penetrate every kind of industrial activity and all areas of society. Their economic and social impact by far exceeds that of the industries which directly produce information and communications equipment and services. In sum, these technologies provide a vital contribution to the key actions of the other two thematic programmes.
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In determining the structure of the programme, account must be taken of:
Information society (I):
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Information society technologies must meet users' and consumers' expectations and requirements and the need to provide them with access, at the lowest cost, to quality general-purpose services. This key action would emphasise interoperability of applications and focus on the following five priority fields: education and training, health and the elderly, public authorities, the environment and transport. Particular attention will be given to the integration of these applications and their validation in digital sites, towns or regions. In education and training, the emphasis would be on multimedia applications and new teaching methods using simulation and virtual reality and, lastly, the development of applications using broadband communications. On the subject of health and the elderly, priority would be on developing computerised medical systems, secure high capacity health networks, and advanced interfaces and tele-systems for the integration of the elderly and the disabled into social life. The tasks of the public authorities could be made easier by giving the public and businesses better access to public services through applications giving access to "on-line government". As regards environmental protection, priority would go to the development of telematic systems for environmental managers and for the public for the purposes of surveillance, analysis and issuing warnings. Finally, transport would benefit from the development of the advanced telematic systems needed for management and teleservices.
Apects of justification: the countries of the European Union are all faced with the challenge of improving the quality of their public services while containing costs. Furthermore, the emergence of the information society in these sectors provides major opportunities for industry and employment. Indeed, the number of households connected to electronic information networks is set to triple worldwide between 1996 and the year 2000 to a total of 100 million, including 30 million in Europe. Within 10 years, the market for applications connected with the Information Society could be worth several billion ECU annually; for example, ECU 15 billion for health applications, ECU 10 billion for education and training, ECU 8 billion for transport-related telematics, and ECU billion for the environment. The applications involved in the information society (health, transport, education, and the environment) are transnational by nature and constitute several of the European Union's policy areas. Performing activities in this area at a European level will help with the required modernisation of the sectors concerned, ensure the interoperability of services and compatibility of equipment, and help to preserve Europe's linguistic and cultural diversity
Information society (II):
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The completion of the single market and Economic and Monetary Union are two major priorities of the European Union. This action would aim at helping them to operate effectively and enabling European businesses to become more fully part of the global economy, amongst other things by means of modern statistical systems. It would focus in particular on improving the efficiency of trade in goods and services. Among the topics concerned are: management systems for suppliers and consumers; the security of information and networks; the technical means for authentication and protection of ownership and the integrity of contents, as well as interoperable payment systems; flexible, mobile and remote working methods both for individuals, and for cooperative- and group-working.
Apects of justification: by the year 2005, one third of all banking transactions worldwide could be completed electronically; by the year 2000, it is expected that there will be more than 10 million tele-workers in the European Union and nearly 40% of businesses will be trading electronically. By 2004, the European market for commercial telematic services should amount to some ECU 11 billion. The changes in working methods and trade resulting from information and communication technologies mostly go far beyond the level of the individual firm, the industrial or service sector, or even the national economies. They affect the whole world and necessitate action at a European level, if we wish the Union to fulfil its potential as the primary world market.
Information society (III):
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Developing creativity in, and increased use of, multimedia contents are major elements in helping to fully establishing the information society, and helping to promote linguistic and cultural diversity. The objective of this key action would be the development of innovative forms of multimedia contents as well as tools for structuring and processing them. The action would be focused on three main lines: interactive electronic publishing, with new methods for creating and structuring publications, and accessing cultural items, for example through electronic libraries and virtual museums; new language technologies which help to manage the explosion of information and facilitate the use of multimedia contents, notably will respect to geographical and statistical information systems.
Apects of justification: the turnover of industries in the European Union connected with the content of information and communication systems and networks amounts to ECU 150 billion per annum. They employ 2.1 million people full time, and within the next 10 years are expected to create one million additional jobs. Even if almost all the information on the Internet is in English, 50% of current Internet users do not have English as their mother tongue. Highlighting Europe's cultural and linguistic diversity forms an important part of the European Union's education, audiovisual and culture policies.
Information society (IV):
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To foster the spread of the information society throughout Europe, excellence in the technologies constituting its key elements should be promoted, their introduction speeded up, and their field of application broadened. These technologies include: computing, communication and network technologies, the latter comprising architectures, protocols and methodologies, as well as their introduction and use; software and systems technologies and engineering; mobile and personal communications, in particular satellite-based services; interfaces making use of multiple human senses; peripherals, e.g. flat screens, microsystems; micro-electronics (technologies, skills, equipment and hardware necessary for the design of circuits and the development of applications).
Apects of justification: from 1994 to 1995, the worldwide market in information society technologies grew by 11% - more than any other economic sector. In 1995, this market was worth ECU 304 billion. Approximately 40-50% of the cost of a modern aircraft is for avionics hardware and software. More than 15% of the cost of a car lies in its electronics.
Work undertaken from a "visionary" perspective, connected with all the key actions and intended to ensure a continuous flow of ideas from laboratories to industry.
This would be focused on the following priorities:
Recommendations of the programmes' evaluation panels in the areas concerned include:
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Strengthening the competitiveness of firms and moving towards sustainable development are two complementary and inseparable objectives for the Union: the products and processes which will be competitive on tomorrow's markets will also be "clean", intelligent products and processes. The development, distribution and application of knowledge and technologies necessary to reach these goals are crucial for the implementation of the Union's industrial policy, and its policies in numerous other fields, especially transport and energy. The objective of competitive and sustainable growth should also be extended to urban areas, in which most European citizens live and work.
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(ii) Scientific and technological objectives
* Key actions
Competitive and sustainable growth (I):
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To improve their position in the face of increasingly harsh world competition, European industry and enterprises must be able to put innovative products and services on the market and develop new production and fabrication methods. The research would cover the elaboration, development and integration of new technologies for design, manufacturing, control and production: micro-engineering and micro-systems; information society technologies for "intelligent" manufacturing, including systems of flexible workshops and flexible management of supply chains, embedded systems and remote services for operation and maintenance and simulation and shared-work technologies; technologies to reduce resource utilisation and effluents, for waste recycling and for the development of clean products, based on the concept of "life cycle analysis"; new methods of organisation of work and production, and for using skills .
Apects of justification: The European Union market for goods and services in this field amounts to an estimated 4500 billion ECU per annum. 2 million enterprises (99 % with fewer than 500 employees) are involved, employing some 40 million people. The market for environmental protection products is forecast to grow by 50-100 % between now and the year 2000. Use of flexible systems of production and clean production processes should bring about, in time, a reduction of 50 % in both industrial energy consumption and time to market of products. In addition to cost-sharing, cooperative research will facilitate the elaboration and adoption of standards which will be essential in the operation of the internal market.
Competitive
and sustainable growth (II):
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In an integrated Europe, the mobility of people and goods will considerably increase. This must be able to take place effectively and without damage to the environment, while reducing the costs in particular of traffic congestion and accidents. This action is intended to assist in this process, at the point at which transport, environment and regional policies intersect, by helping to set up a safe, intelligent and interoperable land, air and maritime transport system for passengers and freight on a broadly intermodal basis at the European level. This requires, among other things, the development of systems for the rational management of transport, including second-generation satellite navigation and positioning systems; research on infrastructures, accessibility and the integration of regional planning and transport policies; and the development of socio-economic scenarios.
Apects of justification: Demand for internal transport of goods within the Union doubled between 1975 and 1995 and will probably double again between now and 2025. The costs of road congestion in the Union amount to 120 billion ECU per annum and the total cost of transport "externalities" is estimated at 250 billion ECU per annum. As it is closely related to the Trans-European Networks policy being implemented by the Union, following on to the White Paper on Growth, Competitiveness, Employment, and will involve the very large number of SMEs operating in this sector, the development of an intermodal transport system can by definition only be conceived from a European perspective.
Competitive
and sustainable growth (III):
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Aeronautics is one of the most successful sectors of European industry and is one of the Union's main export industries. This action would aim at helping the Union to maintain and consolidate its position in this field by improving its mastery of advanced technologies. It would cover, more especially, new integrated design and manufacturing technologies, as well as the reduction of energy consumption, emissions and noise for various designs of aircraft, and include demonstration activities on these topics; technological and economic feasibility of new generation aircraft concepts.
Apects of justification: Air traffic is forecast to double in volume between now and 2000 and 15000 new aircraft need to be produced before then. The European aeronautics industry exports 2/3 of its production and its performance depends directly on the quality and competitiveness of its products. European companies started gaining new markets when they got together to create the Airbus 25 years ago. The growing links now visible among US aeronautics companies, to which the US Government pays large amount of state aid, could mean the Union might be facing a de facto monopoly controlling 70 % of the world market and should encourage Europeans to invest further in the field.
Competitive
and sustainable growth (IV):
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The sea, which surrounds Europe on every side and has played such an important part in European history, is a major economic, social and technological challenge for the Union. The objective of this action would be to boost the development and integration of specific knowledge and technologies which would enable the Union to fully utilize the sea's potential, in support of a true European policy of the sea. The emphasis would be on technologies needed to boost the competitiveness of Europe in the range of areas concerned: technologies for the design of advanced ships which would be safe, efficient and environmentally-friendly; for the use of the sea as an economical means of transporting goods and people (advanced port infrastructure; regional maritime transport systems); and for the rational and sustainable exploitation of the sea as a source of energy and mineral resources (offshore and subsea technologies).
Apects of justification: The Union has 90.000 km of coastline and 47 % of its inhabitants live less than 50 km from the sea. 90 % of the Union's foreign trade is transported by sea. Between 3 and 5 % of the Union's GDP relates directly to marine industries and services and marine industries employ more than 2.5 million people throughout the Union. The sea is central to the Union's industrial, environment, fisheries, research and energy policies and is the subject of several international agreements to which the Union is a party.
Competitive
and sustainable growth (V):
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The expected growth in the demand for energy and the need to meet this demand without endangering the environment are a major challenge for the Union. This action, based on market needs, would aim to help meet this demand, through the development and improvement of advanced energy systems that are efficient as regards both production and consumption, so as to achieve a substantial reduction of CO2 emissions and other greenhouse gases. The work would cover new and renewable sources of energy and their integration into decentralised systems; technologies for energy storage and transmission; technologies for clean use of fossil energies and the rational use of energy; technologies for exploiting controlled thermonuclear fusion (in the context, notably, of the ITER experimental international reactor project); study of economy/environment/energy interactions.
Apects of justification: Total energy consumption in Europe is forecast to grow by 20 % between now and 2020, and the related production of CO2 should rise by 14 % unless specific measures are adopted. The world market for energy technologies should grow over the next few years to more than 800 billion ECU per annum. In its Green Book on Renewable Energies, the Commission proposed as an objective the doubling of the share of these technologies in the Union's total energy supply, to rise to 12 % by 2005. The Union's energy policy is based on the diversification of sources of supply and the maintenance of a diversified technological capability which is easier to achieve through European co-operation.
Competitive
and sustainable growth (VI):
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Most Europeans live and works in towns and cities. The urban environment is the focus of most new developments in the economy and society but it also exacerbates the resulting problems. Their harmonious development must be approached from a global, innovative viewpoint based on advanced models of urban organisation blending together the heritage of the past, e.g. the cultural heritage, the restoration of social equilibrium, e.g. making city life safer, and the development towards a "value-added" economy. The action would focus as a priority on technologies for the integrated management of transport (see the key action on sustainable mobility and intermodality), energy (notably in buildings) (see the key action on advanced energy systems and services) and technologies for economic and sustainable construction; and technologies necessary for the development and demonstration in urban contexts of economic, clean, safe and intelligent motor vehicles, e.g. zero-emission vehicles.
Apects of justification: 80 % of Europeans live today in towns and cities, which are the focus of most economic activity in Member States. The costs of the decay of the European cultural heritage are estimated at more than 14 billion ECU per annum. Towns and cities have played a key role in European history and today contribute substantially to European integration through the creation of networks of co-operation and trade between big regional metropoles (Euro-metropoles, Euro-cities etc.).
The effort would concentrate in particular on the following priorities :
Recommendations of the programmes' evaluation panels in the areas concerned include:
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In a world characterized by increasing globalization of economies, problems and issues, international cooperation has become an important dimension of the research policy of the European Union.
It should contribute significantly to the implementation of the Union's external policy, especially the policy towards Central and Eastern European adhesion candidate countries, and promote its role on the international stage. Scientific and technological cooperation should also help the Union establish industrial cooperation and conquer new markets.
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Four instances are envisaged:
Three categories of activities would be implemented:
The evaluation panel's recommendations in this field (international cooperation) included the following:
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Innovation is the key factor in industrial competitiveness. To enable European
research to impact fully on growth and employment, and to help it achieve
concrete outcomes and economically beneficial and socially desirable results,
mechanisms need to be set up to promote innovation, exploit the results of
scientific work and stimulate the creation of innovative companies.
Important vectors and actors in innovation, SMEs, which provide 66% of employment in the European Union, should be able to benefit from easy access to the advanced technologies which they need, and to the possibilities offered by the Union's research programmes. |
- to improve the economic and social impact of the Union's research projects by reinforcing the mechanisms designed to ensure the best possible exploitation of their results, as well as the dissemination and transfer of the technologies produced;
The fact is that the real bottle-neck in the European research-development-innovation system is in the transfer of research results to market exploitation. Venture capital exists in Europe, but, in contrast to what happens in the United States, for example, there is not enough of it, and, above all, it is seldom used to finance technological innovation. The problem far exceeds the scope of the Framework Programme. In the context of its activities to promote innovation, the Commission will be working to promote the creation of instruments to remedy this weakness.
- integration of mechanisms (e.g. value analyses, market research, training) into the "life-cycle" of projects, so as to facilitate the exploitation, private financing, and transfer of technologies and results produced, while guaranteeing protection of the knowledge acquired; creation, to this end, of "innovation units" in the programmes;
- management of formal lines of communication with the entities which finance innovation and help create innovative start-ups, principally via European organisations and funds (European Investment Fund, European Investment Bank, Eurotech Capital);
in the programme "Innovation and Participation of SMEs":
- coordination of the operation of the "innovation units" in the programmes, of the formal lines of communication with the entities which finance innovation and help create innovative start-ups; conception and definition of new methodologies for technology transfer projects, integrating the technological, economic and social aspects of innovation;
in the programme "Innovation and Participation of SMEs":
The evaluation panel's recommendations for this area (dissemination and
exploitation of results) included the following:
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| In the field of science and technology, as in many others, Europe's prime asset is its human resources: the quality of its researchers, engineers and technicians. In view of foreseeable needs, this human potential must be preserved, must grow in quantitative terms and must be used to the full. At the same time, the Union should help reinforce the identity of European research. To better identify current and future trends in Europe and economic and societal needs, it is also necessary to mobilize the strong European research tradition in economic and social sciences around a limited number of relevant topics. |
The evaluation panel's recommendations for this area (training and mobility)
included the following:
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. Coordination between programmes. This would be achieved in particular through the key actions, as well as through coordination activities carried out in the "horizontal" programmes;
. Coordination between the research programmes and other activities of the Union. As part of the implementation of the external relations policy, this coordination would be achieved, as far as international cooperation is concerned, by establishing closer links with the technical and economic assistance programmes PHARE, TACIS, MEDA, the European Development Fund and the PVD-ALA activity. As regards coordination with the Structural Funds, common regional frameworks of reflection and action would be put in place, as would mechanisms for closer linkage between the two types of activity, in line with the conclusions of the Communication on "Research and cohesion" which the Commission will be presenting shortly. Close coordination would also be ensured with the Union's various programmes and initiatives in related areas, e.g. education and training through the Socrates and Leonardo programmes.
. Coordination between European and national activities. This would be achieved in particular through the key actions, which should allow the establishment of closer linkages with initiatives and programmes carried out at Member State level in the areas concerned; through projects for support to research infrastructure; and through cooperation with other European scientific and technological cooperation frameworks (e.g. EUREKA, COST) and organisations (e.g. ESA, CERN, EMBL).
- regular adaptation of the work programmes, ideally on an annual basis;
- the creation of a "free space" of limited size within each programme. This would be to guarantee that the scope for flexibility which theoretically exists could be efficiently exploited if needed. The aim would be to be able to meet urgent needs arising within the area covered by the programme but which were not explicitly foreseen (unexpected scientific and technological breakthroughs; problems requiring a rapid response) in the shortest possible time. To this end, programme budgets would be committed in such a way as to leave open the possibility, until a point around 3/5 of the way through the life of a programme, of quickly bringing together resources on a particular theme.
"Shared cost" actions, in which the Community contributes a part of the costs of research projects carried out by consortia of enterprises, universities and research centres, would continue to be an essential instrument of programme implementation. The possibility of varying the Commission's contribution according to the nature of the activities and thus the proximity to the market will be studied in line with international rules and the Community's own provisions governing State aid for research and development. In selecting proposals the Commission will take account of the partners' research efforts in terms of research, investment and employment, both globally and in the specific area of their proposal.
A general theme for these activities would be "Research at the service of the individual and the citizen" (health, safety, environment, consumer protection, fraud prevention). Among the areas covered by these themes, particular emphasis would be put on pre-normative research as well as nuclear safety and security (the fuel cycle and control of fissile material).
In view of these priorities, the requirements they reflect and the features and capabilities of the Centre, the institutional and operational role of the JRC in implementing the 5th Framework Programme would be at a least on a par with its role in the 4th Framework Programme.
Overall, the scientific and technological objectives of these activities would be located more particularly in areas requiring neutral and independent expertise at European level, and in areas corresponding to the objectives of the major Union policies.
In the choice and definition of activities to be carried out, there is a combination of both continuity and evolution; continuity because of the permanence of certain needs; evolution in order to take into account the new objectives for the Union's research policy set out in the 5th Framework Programme.
In addition, the JRC would continue to pursue vigorously the activities it carries out on a competitive basis, getting as close as possible to the end users of its research, in particular European industry.
Simple and efficient ways of associating Union projects with EUREKA projects and COST actions would thus be developed and proposed, drawing on the fact that the preparation of the 5th Framework Programme, the beginning of the implementation of the 3rd Medium Term Plan of EUREKA and the COST Ministerial Conference in 1997 coincide.
According to the point of view set out in the document on "synergy between EUREKA and the programmes of the European Union" prepared by the EUREKA High Level Group for the June 1997 Ministerial Conference, a permanent consultation system, capable of rapid reaction, should be set up which would allow the identification, as soon as a project is planned, of those elements which could be covered by the Framework Programme or by Eureka, and guarantee the flow of information from the former to the latter as the work progresses, results are produced and market needs are met. This approach would be applied primarily to large-scale projects developed within the "key actions".
General coordination of the links with EUREKA and COST and the definition of common strategic plans would be undertaken within the programme on international cooperation.
If such willingness were to be demonstrated, one or more activities of this type could be foreseen, starting, for example, with certain activities identified in this document (e.g. the key action in the area of aeronautics and activities in the space sector).
The implementation aspects of the 5th Framework Programme will be set out in the formal proposal to be presented at the end of March, as well as in a new proposal on the rules for participation in programmes and the dissemination of research results (implementing Article 130j).
- for the sake of rapid and effective implementation, and as was underlined by the Framework Programme evaluation panel, the number of decisions should be kept to a minimum; each programme should therefore give rise to only one decision, except as noted below;
- current legal provisions require separate decisions for activities carried out under the EC Treaty and those carried out under the Euratom Treaty. The programme "Promoting competitive and sustainable growth" and the programme of JRC activities will include activities in both of these areas, and each will therefore require two different decisions;
- in the event that activities are decided on the basis of Articles 130k, l and n (in particular 130k, "supplementary programmes"), they would each give rise to a specific decision.
All in all, and not allowing for any supplementary programmes, the adoption and implementation of the 5th Framework Programme should require 12 decisions (2 for the EC and Euratom Framework Programmes, 7 for the 6 programmes, 2 for the JRC, 1 for the implementation of Article 130j), i.e. around half the number required for the 4th Framework Programme. In setting out the timetable for their adoption, the need to launch the 5th Framework Programme at the beginning of 1999 will be kept in mind, which means launching the first calls for proposals in autumn 1998.
In some areas, the improvements made to programme management over the last few years need to be supplemented, and measures to increase the consistency and quality of this management need to be reinforced, particularly with a view to facilitating access to the Framework Programme (e.g. "one stop-shop" for SMEs), reducing processing times, and simplifying procedures.
In addition to those mentioned in the first working paper, the following measures are amongst those currently being studied:
- the implementation in appropriate cases of a scheme of permanently open calls for proposals, a formula which will allow more flexible and efficient processing of requests for participation;
- the evolution of the role of programme committees along the lines set out in the inter-institutional agreements, such as to allow faster processing of proposals.
The general organisation of the 5th Framework Programme in a limited number of large, complementary and connected "thematic" and "horizontal" programmes and the need to take account of modern research management techniques call for a new approach to the management of the Framework Programme.
To ensure genuine coordination, the Commission is currently looking into new formulas. One of these would consist in handling certain aspects of the management of the "thematic" programmes on a collegial basis, entrusting implementation and follow-up to a group drawn from the various research services involved. Working in close cooperation with the services responsible for implementing the Union policies concerned, this group would be responsible for supervising the overall implementation of the programme, ensuring the internal coordination of the various activities, as well as relations with the other "thematic" and "horizontal" programmes and with the other policies of the Union, and organising the coordination of contacts with the other European institutions, the scientific community, the world of industry and, generally, the world of users. In the same spirit, recourse would be had, as often as necessary, to the formula of invitations for multi-programme research proposals.
In drawing up its formal proposal, due to be adopted towards the end of March, the Commission still needs, in particular, to take into account the final conclusions and recommendations of the general 5-year assessment report on the research activities of the Union. This report, which has been drawn up by the evaluation panel chaired by Viscount Davignon, should be published in February. The Commission also intends to integrate the conclusions resulting from discussions on this second working paper. As with the two previous Communications, the ideas presented above are intended to fuel discussions in the Council and Parliament as well as with all other interested parties. A full and constructive discussion should result from the fact that these ideas are presented in this concrete and open manner.
With this debate the Commission is hoping to reconcile the pressing need for new ideas and methods of implementation with the need for continuity, not least chronologically, in the Union's research efforts. In this way, it will be able to ensure that, in the most propitious circumstances and for the benefit of all, the 5th Framework Programme contributes to "Inventing Tomorrow".
Annex I
| KEY ACTION | CRITERIA | ||||||||
|---|---|---|---|---|---|---|---|---|---|
| Social objectives |
Economic development and scientific and technological prospects |
European "value added" |
|||||||
| Emp loy ment |
Qua lity of life, health |
Envi ron ment |
Gro wth |
Com pe titive ness |
Te chno logi cal adva nces |
"Cri tical mass" |
Sup port for Union poli cies |
Euro pean scale of pro blems |
|
| The living world and ecosystem (I): health and food | * * | * * * | * | * | * * | * * | * * | * * * | * * * |
| The living world and ecosystem (II): control of viral and infectious diseases | * | * * * | * | * | * * | * * * | * * | * * * | * * * |
| The living world and ecosystem (III): the "cell factory" | * * | * * | * * | * * * | * * * | * * * | * * | * * | * * |
| The living world and ecosystem (IV): management and quality of water | * * | * * * | * * * | * | * * | * * | * * | * * * | * * * |
| The living world and ecosystem (V): environment and health | * | * * * | * * * | * | * | * * * | * * | * * * | * * |
| The living world and ecosystem (VI): new rural and coastal areas | * * | * * * | * * * | * * | * * * | * | * * | * * * | * * * |
| Information society (I): services for the citizen | * * | * * * | * * * | * * | * * | * * * | * * | * * * | * * |
| Information society (II): electronic trade and new methods of work | * * | * * | * | * * * | * * * | * * | * * | * * * | * * * |
| Information society (III): multimedia content | * * | * * * | * | * * * | * * | * * * | * * * | * * * | * * * |
| Information society (IV): essential technologies and infrastructures | * * | * * | * | * * * | * * * | * * * | * * * | * * | * * |
| Competitive and sustainable growth (I): products, processes, organization | * * * | * * | * * * | * * * | * * * | * * | * | * * * | * |
| Competitive and sustainable growth (II): sustainable mobility and intermodality | * * | * * | * * * | * * | * * | * * | * * | * * * | * * * |
| Competitive and sustainable growth (III): new perspectives in aeronautics | * * | * * | * * | * * * | * * * | * * * | * * * | * * | * * * |
| Competitive and sustainable growth (IV): marine technologies | * * | * * | * * | * * | * * * | * * | * * | * * * | * * * |
| Competitive and sustainable growth (V): advanced energy systems and services | * * | * * * | * * * | * * | * * | * * * | * | * * * | * * |
| Competitive and sustainable growth (VI): the city of tomorrow | * * | * * * | * * * | * * | * * | * * * | * | * * | * * * |
| Space technology | * | * * | * * * | * * | * * * | * * * | * * | * * * | * * * |