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 and technological development and demonstration (1994 to 1998)
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),
Acting in accordance with the procedure laid down in Article 189b of the Treaty (3),
Whereas Article 130f of the Treaty states the Community's objectives in the area of research and technological development as being to strengthen the scientific and technological bases of Community industry and to encourage it to become more competitive at international level while promoting all research activities deemed necessary for the implementation of other Community policies;
Whereas it is important for the Community and the Member States to coordinate their research and technological development activities so as to ensure that national policies and Community policy are mutually consistent;
Whereas, in accordance with Articles 130f (3) and 130i (1) of the Treaty, a multiannual framework programme, setting out all the activities of the Community in the area of research and technological development, including demonstration projects (hereinafter referred to as 'RTD'), shall be adopted;
Whereas by Decision 90/221/Euratom, EEC (4) the Council adopted a third framework programme for the period 1990 to 1994, which is in the process of being implemented; whereas on 9 April 1992 the Commission presented an assessment of progress in implementing the third framework programme; whereas Decision 93/167/Euratom, EEC provided for supplementary financing for the last two years of implementation of the third framework programme;
Whereas on 18 November 1992 the Commission presented a document on the future of the ECSC Treaty and its financial activities until the year 2002, the date on which it expires;
Whereas Community RTD activities should continue to focus on generic and pre-competitive research of multisectoral application; whereas more synergy between these activities and those undertaken in the context of Eureka should be sought;
Whereas the European Council of 12 December 1992 at Edinburgh stated that the development of expenditure on R& D should be consistent with the overall development of expenditure on internal policies pursuant to Category 3 of the Financial Perspective, remaining between one-half and two-thirds of the overall figure;
Whereas Community RTD activities must take ethical considerations into account;
Whereas the Community should only support RTD activities of high quality;
Whereas the purpose of Community RTD in accordance with the objectives laid down in the Treaty should be to foster a prosperous Community based on industrial competitiveness, quality of life and sustainable development; whereas it is also desirable that it contributes to supporting economic growth and a high level of employment;
Whereas small and medium-sized undertakings are able to make a significant contribution to the innovation process and should play a substantial role in the implementation of Community RTD activities; whereas, therefore, particular attention should be paid to the specific needs of such undertakings in order to facilitate their access to information, encourage them to take part in Community programmes and enhance their ability to exploit their results where appropriate;
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 the Community framework programme should play its part, along with other Community instruments, in contributing to strengthening scientific and technological capacity and potential throughout all parts of the Community;
Whereas, in conformity with the principle of subsidiarity, the Community should take action only if and in so far as the objectives of the proposed action cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale or effects of the proposed action, be better achieved at Community level;
Whereas, furthermore, the Community RTD effort should concentrate on activities which are carefully selected in accordance with well-defined criteria;
Whereas Article 130g of the Treaty defines four activities to be carried out by the Community in pursuing the objectives laid down in Article 130f;
Whereas the first activity, which concerns the implementation of RTD programmes, should constitute the main component of the framework programme;
Whereas the second, third and fourth activities cover respectively international cooperation, the dissemination and optimization of RTD results and the stimulation of the training and mobility of researchers; whereas there may be similar activities in each of the specific programmes covered by the first activity, in the manner appropriate to and to the extent required for proper implementation of these programmes;
Whereas the Joint Research Centre (JRC) contributes to the implementation of the framework programme, particularly in those fields where it has the appropriate competence to offer impartial and independent expertise for the benefit of Community policies; whereas the JRC will also progressively compete for the funds available through indirect action and for scientific and technical support activities which are suited to a competitive approach;
Whereas rules for the participation of undertakings, research centres and universities as well as rules governing the dissemination of results shall be determined in a separate Council decision according to Article 130j of the Treaty;
Whereas, in accordance with Article 130i (3) of the Treaty, the framework programme shall be implemented through specific programmes; whereas the framework programme may also be implemented through the means provided for in Articles 130k to 130n of the Treaty;
Whereas the interdisciplinary nature of the activities to be undertaken in this framework programme requires close coordination between the different cross-discipline research programmes;
Whereas assessment and monitoring operations should be intensified and expanded to maximize the effectiveness of RTD policy;
Whereas there should be continual and systematic monitoring of progress with the fourth framework programme; whereas the Commission shall provide the European Parliament and Council with information on the implementation of the framework programme at the beginning of each year, in accordance with Article 130p of the Treaty; whereas there should also be an independent assessment of management of the programme and of progress with the activities undertaken, before the presentation by the Commission of its proposal for the fifth framework programme;
Whereas there should also be technology assessment monitoring the possible risks, advantages and disadvantages of new technologies developed in this framework programme;
Whereas, in accordance with Article 130i (1) of the Treaty, it is necessary to fix the maximum overall amount and the detailed rules for Community financial participation in the framework programme and the respective shares in each of the activities provided for;
Whereas, in order to ensure coherence between Community RTD activities and those undertaken by virtue of the EAEC Treaty, the decision relating to the framework programme of Community activities in the field of nuclear research and training should be adopted simultaneously with this framework programme and for the same period;
Whereas the Scientific and Technical Research Committee (Crest) has been consulted,
HAVE DECIDED AS FOLLOWS:
Article 1
1. A multiannual framework programme for Community activities in the field of research and technological development and demonstration, hereinafter referred to as the 'fourth framework programme', is hereby adopted for the period 1994 to 1998.
2. The fourth framework programme shall include all Community activities in the area of research and technological development, including demonstration projects. The definition of demonstration projects is set out in Annex III.
3. The maximum overall amount for Community financial participation in the fourth framework programme shall be ECU 11 046 million. Of this, ECU 5 472 million is for the period 1994 to 1996 and ECU 5 574 million is for the period 1997 to 1998. Not later than 30 June 1996, in the light of an assessment of value for money, of the state of implementation of the framework programme, of its contribution to the competitiveness of Community industry at international level, of value for money and of the development of the financial perspectives of the European Union, the European Parliament and the Council, acting in accordance with the procedure laid down in Article 130i (1) of the Treaty, shall review the maximum overall amount, with the possibility of increasing it to ECU 11 641 million.
Annex I fixes the respective shares in each of the activities provided for and indicates the breakdown between themes in the first activity.
4. The selection criteria to be applied in the implementation of the fourth framework programme are laid down in Annex II.
5. Annex III establishes the scientific and technological objectives to be achieved by the activities, in accordance with the abovementioned criteria, fixes the relevant priorities and indicates the broad lines of such activities.
Article 2
1. The fourth framework programme shall be implemented through specific programmes developed within each activity, each of which shall specify its precise objectives on the lines of the scientific and technological objectives in Annex III, define the detailed rules for implementing it, fix its duration and provide for the means deemed necessary.
2. The implementation of the fourth framework programme may also give rise, as necessary, to supplementary programmes within the meaning of Article 130k, to Community participation in RTD 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 agreements with third countries or international organizations, within the meaning of Article 130m, second subparagraph.
Article 3
The detailed rules for financial participation by the Community in the fourth framework programme shall be those provided for by the specific provisions regarding RTD funding of the Financial Regulation applicable to the general budget of the European Communities, as supplemented by Annex IV to this Decision.
Article 4
1. The Commission shall continually and systematically monitor the progress of the fourth framework programme as regards the criteria set out in Annex II, which include that of contributing to the economic and social cohesion of the Community, and the scientific and technological objectives set out in Annex III. It shall examine in particular whether the objectives, priorities and financial resources are still appropriate to the changing situation. If necessary, it shall make proposals to adapt or supplement the framework programme according to the results of this assessment.
At the beginning of each year the Commission shall submit a report to the European Parliament and the Council with information on RTD activities and the dissemination of results during the previous year, and the work programme for the current year.
2. The Commission shall have an external assessment conducted by independent qualified experts into the management of and progress with Community activities carried out during the five years preceding this assessment. It shall communicate this assessment and conclusions, accompanied by its comments, to the European Parliament, the Council and the Economic and Social Committee prior to presenting its proposal for the fifth framework programme.
3. In order to help ensure, inter alia, cost-effective implementation of the framework programme, each specific programme shall provide for systematic monitoring and, on completion of the programme, independent evaluation against the precise objectives referred to in Article 2; the modalities of such evaluation shall be laid down in each specific programme.
Done at Brussels, 26 April 1994.