m£ COMMISSION OF THE EUROPEAN COMMUNITIES 
COM(93) 276 final 
Brussels, 16 June 1993 
Proposal for a 
COUNCIL DECISION 
concerning the fourth framework programme of the European Economic Community 
activities in the field of research, technological development and demonstration 
(1994 to 1998) 
Proposal for a 
COUNCIL DECISION 
concerning a framework programme of Community activities in the field of 
research and training for the European Atomic Energy Community 
(1994 to 1998) 
(presented by the Commission) 
Ép&f 
CONTENTS 
Summary 3 
Explanatory memorandum 6 
Annex: subsidiarity of this proposal 20 
Proposal for a Council Decision concerning the Fourth framework programme of 
European Economic Community activities in the field of Research, Technological 
Development and Demonstration (1994 to 1998) 22 
Annex I : Fourth framework programme (1994-1998): Amounts and breakdown 28 
Annex II : Selection criteria for Community activities 29 
Annex III: Scientific and technological objectives 31 
Annex IV : Rules for financial participation by the Community 71 
Proposal for a Council Decision concerning a framework programme of 
Community Research and Training Activities for the European Atomic 
Energy Community (1994 to 1998) 72 
Annex I : Framework programme (1994-1998) : Amount and breakdown 76 
Annex II : Selection criteria for Community activities 77 
Annex III: Scientific and technological objectives 79 
Annex IV : Rules for financial participation by the Community 82 
Financial statement 83 
Business impact statement 87 
Proposed timetable 90 

SUMMARY 
OF 
THE PROPOSA LS CONCERNING 
THE FOURTH FRAMEWORK PROGRAMME 
OF RTD AND DEMONSTRA TION AND THE FRAMEWORK PROGRAMME Ol< 
RESEARCH AND 
TRAINING IN THE NUCLEAR FIELD 
(EAEC) (1994-98) 
Objective 
Building on the w orking documents of October 1992, COM(92)406, and of April 1993, 
COM(93) 158, the present proposal takes account of: 
- the Edinburgh conclusions; 
- developments in the world context; 
- comments and opinions concerning the first working document; 
- comments and opinions concerning the second working document. 
In order to accelerate interinstitutional deliberations on the Fourth framework program me 
(political agreement) and ensure the continuation of the Community's RTD effort, the 
Commission's proposal is based legally on the Single European Act with footnotes 
indicating the texts which will take effect on the entry into force of the Maastricht 
Treaty. The proposal on the EURA TOM Framework Programme is presented in parallel 
in order to ensure the coherence of all Community RTD activities and this proposal is 
based on the EAEC Treaty. 
Policy changes 
- Greater selectiveness with regard to Community RTD activities in order to increase 
their economic impact (focusing on generic technologies) 
- Greater integration of national, Community and European activities (Article 13 Oh of 
the EC Treaty) 
- Develop research/training synergy 
- Increase the flexibility of Community activities in order to respond rapidly to new 
scientific and technological challenges 
- Bring the financial data into line with requirements and the proposed financial 
perspective for 1993 to 1999. 
Greater selectivity 
- The Framework Programmes cover all research, technological development and 
dem onstration activities. The Fourth From ew ork Program m e comprises four activities. 
The first (RTD and demonstration programmes) contains seven themes compared 
with 15 in the Third Framework Programme. Two new themes are introduced: 
research for a European transport policy and targeted socio-economic research. Each 
theme covers one or more area of RTD and demonstration. 
As regards the EUR A TOM Framework Programment is subdivided into two distinct 
areas. 
- The selection criteria set out in the preceding working documents have been adjusted 
to take account of the need to focus and integrate activities, thus reducing the number 
of areas originally proposed from 54 to 28 for the total of both Framework 
Programmes. 
- Greater priority is accorded to the first activity in order to take account of the 
Edinburgh guidelines concerning the need to focus on generic technologies of 
multisectoral application. 
- Selectivity applies within the individual areas as well in order to focus activities on 
mobilizing projects and to integrate national, Community and European activities to 
a greater extent. 
The activities 
The Community support for RTD activities covered by the first activity will continue 
to focus on generic, precompetitive research of multisectoral application. 
Scientific and technological cooperation activities on subjects of mutual interest with 
third countries and international organisations, which are one factor in determining the 
economic efficiency of the Community's RTD activities, are organized partly on a 
centralised basis in the second activity and partly under the individual themes of the first 
activity, in so far they help to attain the relevant objectives. 
Dissemination activities must be consistent and coordinated, through centralized 
management on the one hand in the third activity and the specific programmes on the 
other. 
The fourth activity addresses advanced training in centres of excellence throughout the 
Community and will therefore be open-ended and will also focus on partnerships 
between universities and industry. 
Intégration of national. Community and European activities 
This objective will be pursued at three levels: 
- assessment of the RTD and demonstration policy options (a new area is proposed in 
order to promote work in support of decision making) 
- political level (regular Ministerial consultations) 
- operational level: between those responsible for RTD activities. 
Appropriate procedures need to be developed within the programmes on the basis of the 
experience built up and the desire to encourage researchers at national, Community and 
European level to work together. 
Research/trainins svnerev 
In order to promote growth and reinvigorate economic and social development a 
combination of labour and capital is not enough; a third factor is needed a 
combination of knowledge, know-how and dissemination of know-how. 
Research training activities will be carried out both within the themes of the first activity 
of the Fourth framework programme and across the board (fourth activity) to promote 
the cross-frontier mobility of researchers working on emerging themes. The same applies 
to the fields covered by the EURA TOM Framework Programme. They will be 
supplemented by research activities making it possible to introduce innovation into 
education and training systems and by education and training schemes deriving from the 
COMETT and ERA SMUS programmes, etc. 
Flexibility 
The decision making system is very complex. The Community needs to be able to 
respond rapidly to scientific and technological changes intervening between the adoption 
of a framework programme and its review after three years. 
Measures are proposed at three levels: 
- framework programme: preparatory activities 
-specific programmes: limited amount for technology promotion earmarked for 
unsolicited proposals from SMEs; links with EUREKA 
- work programmes: adaptability. 
Financial resources 
- 11625 million ECU (current prices) for the 4th Framework Programme and 1475 
million ECU for the EURA TOM Framework Programme (1994-98) thus bringing the 
total for all Community activities up to 13100 million ECU; 
- with regard to the distribution between the four activities within the Fourth Framework 
Programme, the First Activity stands out as the major component of the Fourth 
Framework Programme, although increased priority will be given to the Second 
Activity (International cooperation) and to the Third Activity (dissemination) relative 
to funding levels during the period 1990-1994; 
- within the first activity (RTD and demonstration programmes), it is suggested, as an 
indicative breakdown, to give increased priority to work addressing industry's needs 
and affecting industrial output within all the topics, as well as to research on a 
European Transport Policy and life sciences and related technologies. 
EXPLANATORY MEMORANDUM 
Introduction 
The Community is an area without frontiers, organised both economically and socially 
and a partner of consequence in Europe and the world. Cooperation between socio­
economic actors and citizens is spreading and competition is benefiting from transparent 
and stable conditions. 
The political upheavals in the world, the accompanying slowdown in economic activity 
and the recent initiatives taken by its partners have prompted the Community to adopt 
a large programme to relaunch economic growth and employment. 
The policy of research, technological development and demonstration (RTD) established 
in the Treaty on European Union contributes to this effort through the knowledge and 
know-how which it helps develop in the medium and long term. It promotes the 
adaptation on industrial structures and strategies to the new conditions with regard to 
world competition and to the requirements of sustainable growth and of a better quality 
of life in Europe. 
1. The proposal for a Fourth framework programme for research and technological 
development (1994 to 1998), which is the subject of this document, is a direct and 
logical continuation of a number of developments in the Community's science and 
technology policy since the mid-1980s. 
In 1984 the Community decided to improve the coordination of its research and 
technological development activities by bringing them within multiannual framework 
programmes. To this end it adopted the first framework programme for research and 
technological development (1984-1987). The second framework programme (1987-
1991) and the third, the current programme, (1990-1994) have followed. 
In 1987 the Single European Act brought research and technological development 
within the formal competence of the Community, consolidated the rules and 
principles governing Community action in this area, and established the basic 
machinery through which it was to act: adoption of multiannual framework 
programmes and their implementation through specific programmes. The second and 
third framework programmes were proposed and then adopted on the basis of the 
Single Act. The Treaty on European Union, signed in Maastricht in February 1992, 
clarified certain aspects of the Single Act relating to RTD, and also introduced a 
number of amendments, some of them major, to the rules governing this area. 
In April 1992 the Commission published a communication entitled "Research after 
Maastricht, an assessment, a strategy" (SEC(92)682). On the basis of an analysis of 
the state of research and industry in Europe at the beginning of the 1990s and a 
critical assessment of Community action to date, this document set out the 
Commission's guidelines for Community RTD policy for the next five years. 
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At the same time, the Commission published an evaluation report of the second 
framework programme (1987 to 1991). An analysis of this was made by CREST at 
the request of the Council. At the end of April 1992, having considered these two 
Commission documents, the Council asked the Commission to let it have working 
proposals as soon as possible. 
In July 1992, the Commission, in a bid to avoid any gap in RTD financing over the 
next two years, presented a proposal for a financial supplement to the third 
framework programme (1990 to 1994). This was adopted by the Council in 
March 1993. 
In October 1992 the Commission published a working document concerning the 
fourth framework programme (COM(92)406) with a view to pressing ahead with the 
discussion on the general guidelines for this framework programme pending 
ratification of the Treaty on European Union. The first working document provided 
an opportunity for a wide-ranging debate with the constructive participation of the 
Member States, the European Parliament, the Economic and Social Committee and 
other Community organizations, together with research scientists and representatives 
of industry. One very significant point which emerged from the discussions was the 
emphasis placed on the important role of research in improving the quality of life and 
strengthening the competitiveness of industry in the Community. 
2. In Edinburgh in December 1992 the European Council stressed the need for 
Community RTD activities to continue to focus on generic, precompetitive research 
with a multisectoral impact; at the same time it set the financial perspective for 
1993-99, laid down the general framework for the Community funding allocated to 
research and called on the Commission to make some changes: 
"Community support for R&D should continue to focus on generic, precompetitive 
research and be of multisectoral application. EUREKA should remain the principal 
vehicle for supporting R&D activities which are nearer to the market and the 
Commission should bring forward proposals to improve the synergy between the 
Community's research activities and EUREKA. Improving the dissemination of 
results amongst enterprises, particularly small and medium-sized businesses, 
cost-effectiveness and coordination between national programmes should be priorities 
for Community action. These conclusions should be reflected in the consideration 
and adoption of the fourth framework programme. " 
The European Council also called upon the Commission: 
"to bring forward proposals for improving the management and efficiency of research 
funded by the Community to achieve better economic effectiveness. To this end the 
selectivity of actions should be increased, and it should be ensured that Community 
activities contribute the most value added possible to efforts already underway in the 
Member States. " 
In April 1993 the Commission published a second working document (COM(93)158) 
taking account of the comments received on the first, developments in the world 
context and in Europe and the guidelines issued at the Edinburgh European Council. 
It complemented and clarified the broad lines set out in the October 1992 working 
document indicating how to mobilize more effectively the capacities of the 
Community as a whole. This communication is based on that second working 
document. 
I. BROAD LINES OF THE COMMUNITY'S RESEARCH TECHNOLOGICAL 
DEVELOPMENT AND DEMONSTRATION POLICY 
3. The need is to respond to the challenge which American and Japanese RTD policies 
pose and to make up for the European shortfall as regards the intensity of research 
(2 % of GDP in the Community as compared with about 3 % in the United States 
and Japan) and human resources (4.3 researchers in Europe for every 1000 employees 
as compared with 7.5 in the United States and Japan). The basic objective is to move 
on from a patchwork of separate RTD and demonstration activities to a fully fledged 
Community policy in this field. 
The fourth framework programme must, therefore: 
- make Community activities more selective so as to increase the economic spin-offs, 
in particular by concentrating on generic technologies which will enable European 
industry and its subcontractors to go back on the offensive in international 
competition; 
- prepare the way for cooperation leading to closer integration of national and 
Community RTD activities and increased synergy between the Structural Funds and 
the research activities contributing to strengthen cohesion within the Community,, 
- create the conditions for increased synergy between research and training; 
- empower the Community, using appropriate means, to respond rapidly to scientific 
and technological change; 
- be allocated sufficient financial resources to maintain a sustained effort at 
Community level to pursue realistically the objectives set by the Treaty on 
European Union and thus contribute the most value added possible to efforts already 
under way in the Member States. 
Greater selectiveness to secure improved economic benefits 
The scope 
4. The scope of the fourth framework programme has been determined on the basis of 
one of the most important new RTD provisions introduced in the Maastricht Treaty. 
Under this provision the framework programme is to include all the RTD activities 
covered by the Treaty. Thus all Community research and technological development 
activities, whatever their form and under whichever common policy they fall, are 
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included within the framework programme. These activities include basic research, 
basic industrial research, applied research and technological development. Under the 
terms of the new Article 130f(3) they also include demonstration projects in the sense 
of the demonstration of the technical feasibility of projects on the demonstration of 
their economic viability. All these activities are explicitly confined to the 
precompetitive stage. 
In keeping with the Maastricht Treaty the fourth framework programme will also 
include all research, technological development and demonstration activities carried 
out within the framework of the major common policies, such as agriculture, 
fisheries, energy or transport. A framework programme of research and training in the 
nuclear field for the EAEC is being proposed at one and the same time as the Fourth 
framework programme in order to ensure the coherence of all Community RTD 
activities. The Fourth framework programme will incorporate demonstration and 
dissemination activities related to the promotion of energy technologies which are 
currently included in the THERMIE programme. Likewise in accordance with the 
Commission's approach to the future of the ECSC Treaty, the coal and steel industries 
of the Community will increasingly ("phasing in") find a response to their research 
needs, including those on social aspects, in the Community's RTD activities. The aim 
here is not merely a mechanical grouping of activities. The significance of this new 
provision is primarily political, namely consistency and mutual reinforcement between 
research policy and the other major common policies. Organized programming of all 
research activity is needed to ensure such consistency and to allow for the greatest 
possible synergy in the definition and implementation of the various policies. 
The activities previously executed outside the framework programme and referred to 
as APAS (Preparatory, Accompanying and Support Activities) will henceforth be 
included in the Fourth framework programme. 
The most obvious case is international scientific cooperation. The measures which 
were until now executed on an annual basis without an overall, long-term planning 
frame will now be subject to multiannual planning. They will form a coherent whole 
in the shape of the second activity. 
The same will apply to other measures with a multiannual horizon, such as SPRINT, 
which are today executed on various legal bases. These measures will be brought 
together under the wide-ranging third activity of the framework programme. 
Another group of measures which are currently outside the framework programme are 
the general measures needed to define, implement and support RTD policy. They 
concern in particular: studies, exploratory and evaluation activities, promotion, 
support and coordination activities. These measures will also be included in the 
fourth framework programme, but must be implemented with the procedural 
flexibility required so that the Commission maintains its power of initiative and 
execution for non-significant measures in accordance with Article 22 of the Financial 
Regulation. 
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The evaluation of programmes and policies of Community RTD will be given greater 
credibility through the institution, by and for the Commission of a Committee for the 
Evaluation of Research, the independence and permanence of which will be ensured. 
The activities 
6. The Maastricht Treaty specifies the activities which go to make up the framework 
programme. There are four activities, clearly described in Article 130g: 
(a) implementation of research, technological development and demonstration 
programmes, by promoting cooperation with and between undertakings, research 
centres and universities; 
(b) promotion of cooperation in the field of Community research, technological 
development and demonstration with third countries and international 
organizations; 
(c) dissemination and optimization 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 fourth framework programme is, therefore, built around these four activities. 
The areas of RTD covered by the EAEC Treaty are grouped together in the 
framework programme for research and training in the nuclear field. 
Focusing 
7. This entails being more selective in the activities carried out and laying the scientific 
and technical foundations needed for sustainable, environment-friendly development 
in industry, agriculture and services, exploiting the advantages of the single market 
in order to improve Europe's competitiveness and quality of life. Within each research 
theme, it is intended to concentrate financial resources on a limited number of topics, 
chosen for their specific added value (shared cost actions), and, in addition, to work 
towards the coordination of national, community and European actions through 
suitable methods. 
In keeping with the Community's industrial policy strategy endorsed by the Council 
and given the needs of the other common policies, research activities should focus 
on precompetitive research into technologies with a multisectoral impact which can 
help increase industrial competitiveness, especially in key areas, and on themes of 
interest to society in general; it is necessary to ensure that the results are transferred 
rapidly to industry, especially to small and medium-sized businesses and to the 
branches of the economy which will use them. Certain major objectives guide the 
choice of research activities: to develop efficient and safe infrastructures, in particular 
an information and communications infrastructure; to produce efficiently, cleanly and 
safely on the basis of modern organization of production; to make environmental 
protection an aspect of industrial competitiveness; to promote an improvement in 
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health care, food quality and food hygiene; to ensure technological and industrial 
integration within the internal market (in particular by strengthening coordination 
between RTD policy and standardization policy); to anticipate technological and 
industrial changes so as to ensure that greater account is taken of the needs of the 
market; to increase the synergy between international cooperation activities in this 
area and the Community's external policies. 
The focusing of Community RTD activities is reflected at three levels: 
- the structure of the Fourth framework programme: on the grounds of rationalization 
it is proposed that the first activity (research, technological development and 
demonstration programmes) should be organized around seven main themes 
including two new themes concerning research for a European transport policy 
(strategic aspects and systemic and general aspects useful for the definition and 
realisation of the Community transport policy in coordination with the generic 
activities coming under other themes) and targeted socio-economic research. Annex 
I proposes a structure for the fourth framework programme which ensures a large 
degree of continuity with the third framework programme and takes into account 
the new elements needed; 
- selectiveness criteria: in order to define the Community RTD activities, Annex II 
of this proposal for the Fourth framework programme (Selection Criteria for 
Community Activities) lays down criteria with regard especially to the greater 
focusing of activities and the coordination of national and Community activities; 
they will also be applied when preparing specific programmes and selecting 
projects; 
- applying these criteria to focus Community activities on a limited number of 
research, technological development and demonstration areas: Annex III gives a 
detailed description of the subject matter of the activities proposed for the Fourth 
framework programme. 
The structure, criteria and content of the activities of research and training in the 
nuclear field are set out in annexes to the proposal regarding the framework 
programme for the EAEC. 
Closer coordination of RTD activities in Europe 
8. The principle of subsidiarity dictates that the Community should take action on 
research only if the objectives can be better achieved by the Community than by the 
Member States acting on their own (see the annex concerning the subsidiarity of this 
proposal). Article 130h of the Treaty on European Union also requires the 
Community and the Member States to coordinate their activities so as to ensure that 
national policies and Community policy are mutually consistent. It must be 
acknowledged that not enough has been achieved on this point so far. A new 
approach is needed, with the detailed procedures tailored to each research area. 
11 
?. The call for greater consistency between national policies and Community policy is 
based on thefact that less than 4% of all government expenditure on civil research 
and technological development by the Member States corresponds to the Community 
funds allocated to joint actions. 
It is proposed that the following types of action should be launched: 
- evaluation of science and technology policy options to supply a common knowledge 
base for discussions on RTD activities in Europe; 
- political concertation at the highest level, in the form of regular meetings of the 
European Ministers of Research in conjunction with the Ministers with special 
responsibility for industry and economic development specifically on this issue; 
- concertation at the operational level between the heads of the national and European 
research bodies and those responsible in industry (producers and users). 
As far as the practical implementation of RTD activities is concerned, the 
coordination of national and Community activities could be achieved in three ways: 
- greater synergy and mutual enhancement of the action taken at national level could 
be achieved by giving priority in the specific programmes to activities aiming at 
such closer cooperation: 
- in fields where worldwide collaboration is already established, only a coordinated, 
united Europe will be able to hold its own in talks with the other major partners, 
particularly the USA and Japan; it is proposed that national and Community 
activities should be coordinated to a large extent in certain areas which lend 
themselves to this approach; 
- integration to create the "European research area" while maintaining the diversity 
and plurality of approaches which will require closer coordination of the research 
conducted at European level under the auspices of international bodies such as 
CERN, ESA, ESO, EMBO, EMBL, the ESF and, above all, EUREKA. The need 
to strengthen links between Community activities and EUREKA should be stressed 
in this context. Recalling the respective roles of EUREKA and Community 
research, the Edinburgh European Council emphasized the need to strengthen the 
synergy between them. 
10. Alongside the traditional networks established in the context of Community 
activities hitherto, this cooperation can be achieved through such means as thematic 
networks of excellence, concertation networks and consortia for integrated projects 
(see Annex III to this proposal). 
The Joint Research Centre will make its contribution to this new approach. 
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11. Such consistency is pointless unless the Community aims at achieving harmonious 
development of its scientific and technological resources. Synergy between RTD 
policy and the structural policies should be strengthened. The amendments 
proposed by the Commission to the Regulations governing the Structural Funds 
provide one opportunity in this connection during the new programming period 
(1994-99). The emphasis now being placed on technology in the less-favoured 
regions and on skills in science and technology offers new prospects for synergy, 
in particular with the third and fourth activities of the fourth framework programme. 
While applying the principle of excellence, Community RTD activities provide a 
second opportunity. The research priorities reflected in the first activity of the 
fourth framework programme take account of the interests and capacities of the 
Member States, including the less advanced ones. The RTD programmes can make 
an effective contribution at little cost to making good use, for the benefit of the 
Community, of the scientific and technological potential of the less-favoured 
regions by networking them with centres of excellence in the most advanced 
regions. The third and fourth activities will have a growing impact on the less 
developed regions and countries through specific measures (national/regional relay 
centres, transfer networks geared to the traditional industries, measures to avoid the 
"brain drain", "European chairs"). This synergy between the Structural Funds and 
research activities will contribute towards a true policy of cohesion by developing 
the potential of the regions and relating them to the European research area. 
However, it should not be forgotten that it is primarily the responsibility of the 
Member States to establish an overall strategy aimed at making the best use of the 
capacities created by the various sources of Community funding available. A 
Commission paper on synergy between RTD policy and the structural policies was 
sent to the Council, the European Parliament and the Economic and Social 
committee in May 1993. 
Furthermore, in the light of the decisive role played by SMEs in the economic 
development of the Community as a whole, there should be greater coherence 
between RTD policy and actions focusing on SMEs. On this last point, the Council 
adopted on 14 June 1993 a new multiannual programme of Community actions 
which is intended to reinforce these main guidelines and to ensure the continuity 
and the consolidation of policy on enterprises, particularly SMEs. This programme 
includes an important aspect relating to the improvement of SMEs' access to 
Community programmes. 
Svnergy between research and training 
12. In order to promote growth and reinvigorate economic and social development a 
combination of labour and capital is not enough; a third factor is needed - a 
combination of knowledge, know-how and dissemination of know-how using the 
latest technologies, particularly information and communications technologies. 
Knowledge must be acquired with the aid of research; know-how must be built up 
with the aid of research and training; and scientific knowledge must be 
disseminated with the aid of information systems and the media. One of the greatest 
spin-offs of Community activities in recent years has been the establishment and 
expansion of Europe-wide research networks. 
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Activities aimed at promoting the mobility of researchers and stimulating the 
creation of networks must constitute an important aspect of each of the topics 
within the first activity of the Fourth framework programme, as well as in the 
extension of the current "Human Capital and Mobility" programme, where they are 
the object of a cross disciplinary activity (the fourth activity) for the development 
of the human resources necessary to exploit new fields or research subjects. 
The role of training activities, which seek to raise the general level of scientific and 
technical competence, is likewise of strategic importance. This calls for action to 
build on the foundations laid by the ERASMUS and COMETT programmes by 
promoting training at European level and mobility as well as promoting scientific 
information and culture in Europe alongside the implementation of the Fourth 
framework programme, in particular in the activities related to the development of 
generic technologies. 
The ability to respond rapidly to developments in science, technology and industry 
13. Related to the objective of improving the economic spin-offs from Community 
research there is the problem of the speed of response to developments in science 
and technology. The Community's institutional and decision-making framework for 
RTD is unwieldy. 
The Community therefore has to be able to respond swiftly to developments in the 
situation, while maintaining the interinstitutional balance. This means first of all 
respecting the nature and degree of detail of the two levels of Community 
legislation (framework programme, specific programmes) and the implementation 
level (work programme). Flexibility could be built into Community RTD activities 
at three levels: 
- framework programme: provision must be made for a limited range of activities 
so that preparatory activities, definition phases for new programmes and possibly 
pilot projects can be launched between the time when the framework programme 
is adopted and its revision. Continuous and systematic examination of the 
progress of the framework programme and independent evaluation of its 
management and the achievements of the actions undertaken will also help to 
reorientate Community actions in due course; 
- specific programmes: to ensure flexibility, a limited amount of funds should be 
set aside, in each specific programme, for unsolicited proposals from operators 
(mainly from SMEs, technical centres and research organizations) which have 
to be processed very quickly (technology stimulation); 
- work programmes: the ability to adapt the work programmes under the specific 
programmes will enable the Member States and the European Parliament to have 
a real say in how to respond to developments in science and technology: in the 
case of the Member States, by being represented on the programme committees 
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and, in the case of Parliament, through the annual budget procedure. Particular 
attention will be paid in the implementaiton of Communtiy activities to the 
simplification and improvement of management in the general interests of 
transparency and efficiency, to decentralisation in appropriate ways as well as 
to rigorous evaluation. 
14. As regards links between Community activities and EUREKA, considerable 
progress has been made and the basis for greater cooperation has been established 
jointly by the Commission and the EUREKA authorities in accordance with the 
twin principles of greater transparency in the procedures followed by the countries 
concerned with regard to EUREKA projects and the framework programme, and a 
clearer definition of their respective roles. The essential elements are better 
circulation of information concerning projects and support measures (legislation, 
standardization, training), the taking into consideration in EUREKA projects of the 
results of Community projects, clearer definition of the respective roles of each 
forum vis-à-vis industrialists, and especially SMEs, more systematic taking into 
account of the precompetitive phases of EUREKA projects within the framework 
programme and joint examination of large-scale strategic projects proposed by 
industrialists. As regards the Community, this entails the establishment, after an 
extensive pilot phase, of new mechanisms for taking into account projects from the 
EUREKA framework outside the timetable for Community calls for proposals in 
accordance with the normal selection rules, along the lines of earlier decisions taken 
on a case-by-case basis concerning certain large, strategic EUREKA projects 
(JESSI, HDTV, COSINE). The financial resources to be allocated to this activity 
could be included on an indicative basis in the work programmes for the 
Community programmes. The same would apply to projects which are part of a 
research activity within other European scientific and technological cooperation 
forums. The projects would be taken into account by the respective authorities (in 
the case of the Community, by the Commission assisted by the committees, on 
which the Member States are represented) and compared with the merits of projects 
proposed in response to the publication of Community calls for proposals. Any 
involvement by the Community will have to be consistent with the objectives of the 
specific programmes and confine itself to the precompetitive and generic aspects of 
projects submitted to the committees for appraisal. EUREKA's national and 
international authorities should ask the industrialists concerned to look more 
systematically into the relationship with Community RTD activities at each stage 
right from the definition of EUREKA projects through to their execution. EUREKA 
should remain the main vehicle for support for RTD activities which are closer to 
the market, including demonstration and production development projects, and give 
rise to increased coordination between the RTD activities of the EUREKA member 
countries, while drawing benefit from the flexibility and "bottom-up" nature of the 
initiative. 
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II. THE OVERALL LEGISLATIVE FRAMEWORK 
The decisions needed 
15. The fourth framework programme has been conceived in the spirit of the Maastricht 
Treaty. However, in view of the delays encountered in the ratification of the Treaty 
on European Union, and in order to ensure the indispensable continuity of the 
Community research effort, the Commission is now presenting its proposal for the 
fourth framework programme on the basis of the Single Act, indicating in footnotes 
the texts which will take effect upon the entry into force of the Treaty on European 
Union. 
The proposal for the Fourth framework programme (1994-1998) is but one stage in 
the larger decision-making process. The Treaty on European Union maintains the 
principle of the dual legislative procedure introduced by the Single Act, i.e. 
adoption of the framework programme as a whole followed by the adoption of the 
individual specific programmes. However, the Treaty introduces an important 
innovation compared with the Single Act. The provisions on the adoption of rules 
on the participation of undertakings, research centres and universities in Community 
programmes have been changed. In the past they were adopted at the same time 
as each of the specific programmes; in the future they must be the subject of a 
separate Council Decision. The same applies to the provisions, currently governed 
by the Council Decision 92/272/EEC of 29 April 1992 concerning the dissemination 
and exploitation of knowledge resulting from the specific programmes of research 
and technological development of the Community. 
16. The legislative framework within which the fourth framework programme is to be 
implemented will thus comprise four different types of legal act: 
(a) a Decision on the framework programme itself. In accordance with the 
provisions of the EC Treaty, it must be adopted by the Council, acting 
unanimously, under the co-decision procedure with the European Parliament 
(Article 189b). To include all Community RTD activities in the Programme, 
a parallel Council Decision based on the Euratom Treaty is also required. 
Consequently, the procedure for adoption of the framework programme is 
more complex than the system under the Single Act; 
(b) in contrast, the Maastricht Treaty has simplified the procedure for adopting the 
specific programmes. They will be adopted by a qualified majority in the 
Council after consulting the European Parliament and the Economic and Social 
Committee; 
(c) a Council Decision laying down rules for the participation of undertakings, 
research centres and universities in the framework programme, as well as a 
Council decision on the rules governing the dissemination of research results. 
These decisions, referred to in the new Article 130j of the Treaty, will be to 
be adopted in cooperation with the European Parliament (the procedure laid 
down in Article 189c of the new Treaty); 
- 16 -
(d) all the acts adopting Decisions concerning the creation of other, optional, 
instruments for the implementation of the framework programme: 
supplementary programmes, participation in research programmes undertaken 
by several Member States, cooperation with international organizations, and 
joint undertakings. These acts are covered by Articles 130k, 1301, 130m and 
130n of the EC Treaty respectively and are adopted under the procedures 
foreseen in Article 130o. 
Decision-making timetable 
17. The timing of the decisions must satisfy the following two constraints : 
- the Fourth framework programme, which will govern Community RTD almost 
until the end of the century, must be firmly based on the Treaty on European 
Union and therefore must be adopted after it has entered into force; 
- the Fourth framework programme must be adopted early enough to ensure 
proper continuity of Community RTD in industry, universities and other research 
organisations. In this context, it should be remembered that the Third framework 
programme and its specific programmes end on 31 December 1994 and that the 
implementation of the Fourth framework programme requires not only decisions 
on the specific programmes but also a whole preparatory phase before actual 
research projects can start. 
These two points imply a very tight timetable starting in November/December 1993 
(1st reading by the European Parliament and common position of the Council) and 
finishing in February /March 1994 (2nd reading by the European Parliament and 
final decision) and militates in favour of a process of consensus between the two 
legislative branches thereby avoiding a 3rd reading (conciliation procedure). 
m. FINANCIAL ASPECTS 
The legal and budgetary framework 
18. The legal and budgetary provisions of the fourth framework programme (1994 to 
1998) will differ significantly from those for the first three framework programmes. 
In this area too the Maastricht Treaty introduced an important innovation compared 
with the Single Act. Articles 130i and 130k of the EEC Treaty as modified by the 
Single Act use the concept of the "amount deemed necessary". The Maastricht 
Treaty, however, has introduced the concept of the "maximum overall amount" to 
determine the funding for the framework programme as a whole and for the various 
activities implementing it. The framework programme and its four activities will 
therefore be funded within the bounds of the "maximum overall amount" set by the 
legislative authority. 
17 
The financial implications of the RTD priorities 
19. In the context of the conclusions adopted by the European Council in Edinburgh 
concerning Community finances for the period 1993-1999, the new guidelines and 
the resulting priorities for RTD have the following financial implications: 
- the maximum overall amount allocated to the Fourth framework programme for 
the period 1994-98: the conclusions adopted in Edinburgh envisage funding for 
Community RTD activities ranging between one-half and two-thirds of that for 
internal policies over this period. Also the growth in RTD expenditure must be 
consistent with the overall growth in spending on the internal policies 
(category 3 of the proposed financial perspective). On the basis of RTD 
expenditure for 1993, the Commission has adjusted its October 1992 assessment, 
taking into account these various considerations and an appraisal of the 
financing requirements, and is now proposing 13100 million ECU at current 
prices for the Fourth framework programme and the framework programme of 
research and training in the nuclear field (1994-1998). This funding, however, 
must cover needs expressed throughout the Community and thereby contribute 
to supporting the competitiveness of its industry and to improving the quality 
of life. Given the increased emphasis on priority areas, this amount will 
considerably strengthen certain activities whilst at the same time allowing certain 
new areas to be included within the first activity of the Fourth framework 
programme. Among other things it will allow energy demonstration activities to 
be carried out which were previously the responsibility of the THERMIE 
programme but which now come under the Fourth framework programme. It will 
also allow the Community coal and steel industries to find a progressively 
strengthened ("phased in") response in the Fourth framework programme to their 
research needs. It will ensure the integration of all scientific and technological 
cooperation with third countries and an adequate reply by the Community to 
external challenges, such as the massive investments by countries like the USA 
and Japan, and internal challenges such as the tendency not to increase national 
research budgets. 
- the breakdown of this overall amount between the four activities of the Fourth 
framework programme and the relative priorities assigned to the major themes 
making up the first activity: Annex I to the fourth framework programme shows 
the relative shares for each of the four activities proposed. The financial balance 
between the four activities has been altered, compared with Annex I to the first 
working document, to take account of the decisions and guidelines adopted by 
the Edinburgh European Council (financial framework, priority given to the first 
activity concerning generic technologies, greater importance attached to 
dissemination and optimization of results within each theme and as a centralized 
activity). Given the comparative importance of the first activity, Annex I to the 
four framework programme also gives additional indications of the respective 
priorities assigned to each of the major themes in it. These include the new 
research for a European Transport Policy since the common transport policy 
- 18 
requires specific research work which must be adequately financed. To 
contribute to a better quality of life in Europe, inter alia life sciences and related 
technologies must be granted additional resources in order to cope with the 
increasing needs for research in general biotechnology, biomedicine and health, 
as must the research needed to accompany the reform of the Community policies 
on agriculture, forestry, rural development,fisheries and fish farming. 
- 19 
ANNEX TO THE EXPLANATORY MEMORANDUM 
SUBSIDIARITY OF THE PROPOSAL 
FOR THE FOURTH FRAMEWORK PROGRAMME 
The principle of subsidiarity as defined in article 3b of the Treaty on European Union 
imposes limitations on the fields where the Community can act, it acting 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 by the Community. In this context the following questions are 
pertinent. 
(a) What are the objectives of the proposed action in relation to the Community's 
obligations? 
This proposal is directed towards achievement of the objectives which have been 
assigned to RTD policy by the Single Act and subsequently confirmed by the 
Treaty on European Union and, in particular, the strengthening of the 
competitiveness of Community industry, the improvement of the quality of life and 
the support of other Community policies. These objectives are set in the context of 
a harmonious and sustainable development of the Community. 
(b) Does competence for the planned activity lie solely with the Community or is it 
shared with the Member States? 
The Single European Act brought research and technological development within 
the explicit competence of the Community, although competence is shared with 
Member States, consolidated the rules and principles governing Community action 
in this area, which complements the activities undertaken by the Member States, 
and established the basic machinery through which it was to act. 
(c) What is the Community dimension of the problem (for example how many Member 
States are involved and what solution has been used up until now)? 
The implementation of the framework programme for RTD aims at strengthening 
the scientific and technological basis of the whole of the Community (all the 
Member States), and it is in line with the previous framework programmes 
implemented since 1984. However, it only includes less than 4 % of Member States' 
total public expenditure on research. 
(d) What is the most effective solution taking into account the means available to the 
Community and those of the Member States? 
In order to ensure the effectiveness of Community RTD actions and in order to 
avoid duplication of activities being undertaken at the level of the Member States, 
the framework programme will concentrate its activities particularly on generic 
technologies with multi-sectoral impact and on large scientific projects. 
An additional guarantee of effectiveness will be the higher degree of coordination 
between national and Community actions in line with article 130h of the Treaty. 
- 20 
(e) What real added value will the activity proposed by the Community provide and 
what would be the cost of inaction? 
In comparison with individual national efforts, their integration with Community 
actions together with the development of synergies with the activities undertaken 
in the wider framework of European research, in particular the strengthening of the 
synergy between Community actions and EUREKA, will permit improvements in 
the way that existing research potential in the Community is used and will represent 
real added value for the whole of the Community not only in terms of advantages 
for industrial competitiveness and of the response to social needs but also in terms 
of support of other Community policies. Inactivity would lead to a loss of this 
synergy, to fragmentation and to duplication of efforts made by the Member States 
individually. 
(f) What forms of action are available to the Community (recommendations, financial 
support, regulation, mutual recognition, ...)? 
The forms of action available to the Community are described in Annex IV of the 
proposal for a Council decision. 
(g) Is it necessary to have uniform regulation or is a directive setting out the general 
objectives sufficient, leaving implementation at the level of the Member States? 
The framework programme does not impose uniform regulation in the strict sense. 
Through appropriate financial mechanisms it establishes a coherent framework for 
action, bringing together projects implemented in cooperation by public and private 
operators (companies, research centres, universities). 
21 
Proposal for a 
COUNCIL DECISION(1) 
concerning the fourth framework programme of the European Economlc(2) 
Community activities in the field of research, technological development and 
demonstration 
(1994 to 1998) 
THE COUNCIL(3) OF THE EUROPEAN COMMUNITIES, 
Having regard to the Treaty establishing the European Economic(4) Community, and in 
particular Article 130q(l) thereof,(5) 
Having regard to the proposal from the Commission, 
Having regard to the opinion of the European Parliament/63 
Having regard to the opinion of the Economic and Social Committee, 
Whereas Article 130f of the Treaty provides that the Community's aim is to strengthen 
the scientific and technological basis of European industry and to encourage it to 
become more competitive at international level; 
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 Article 130i of the Treaty provides for the adoption of a multiannual 
framework programme, including all the activities of the Community in the field of 
research, technological development and demonstration (hereinafter referred to as 
"RTD"); 
NB: The numbered footnotes indicate the amendments (deletions or additions) which 
will have to be introduced after the entry into force of the Treaty on European 
Union and the alphabetical footnotes contain references to previous publications 
in the Official Journal of the European Communities 
CD Replace by : "EUROPEAN PARLIAMENT AND COUNCIL DECISION" 
(2) Omit this word 
(3) Replace by: "THE EUROPEAN PARLIAMENT AND THE COUNCIL" 
(4) Omit this word 
(5) Replace by: "Article 130i (1)" 
(6) Omit this citation 
- 22 
Whereas by Decision 90/221/Euratom, EEC(8) the Council adopted a third framework 
programme for the period 1990 to 1994, which is in the process of being implemented; 
whereas Council Decision 93/167/Euratom, EEC00 provided for supplementary financing 
for the last two years of implementation of the third framework programme; 
Whereas on 9 April 1992 the Commission presented an assessment of progress in 
implementing the third framework programme; whereas on 22 April 1992 it also 
presented an evaluation of all the specific programmes carried out under the second 
framework programme; whereas on 25 September 1992 the Scientific and Technical 
Research Committee (CREST) presented an analysis of this evaluation at the request of 
the Council; 
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 the European Council, at its meeting in Edinburgh on 11 and 12 December 
1992, reached conclusions reaffirming the general, precompetitive and multisectoral 
nature of Community RTD, calling for more synergy between Community RTD 
activities and those undertaken in the context of EUREKA and for better dissemination 
of the results of those activities to small and medium-sized undertakings, and 
emphasizing the central role of Community RTD policy in coordinating activities 
undertaken by the Member States; 
Whereas, in view of the rapid pace of technological development, the new economic 
challenges which the Community must meet and the increased level of global 
competition, it has been judged appropriate to adopt a new framework programme for 
the period 1994 to 1998 in order to ensure the continuity of multiannual Community 
RTD activities; 
Whereas the purpose of strengthening the scientific and technological basis of the 
Community should be to improve both quality of life and the Community's industrial 
competitiveness^: 
(a) OJ No L 117, 8.5.1990, p. 28. 
w OJ No L 69, 20.3.1993, p. 43. 
(7> Add: "and whereas there is a need to promote research activities deemed necessary 
as part of other Community policies;" 
-23 -
Whereas, in accordance with the Treaty, it is necessary to undertake demonstration 
activities in the sense of demonstration of the technical feasibility of projects or of their 
economic viability; 
Whereas the Community is committed to ensuring sustainable development which 
respects the environment and whereas Community RTD activities will contribute to such 
development; 
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; 
Whereas the formulation and implementation of the Community's policies and actions 
must take into account the objectives related to economic and social cohesion; whereas, 
in accordance with this principle, the framework programme must contribute to the 
harmonious development of the Community while maintaining scientific excellence as 
an essential criterion; whereas it is therefore necessary to strengthen the synergy 
between RTD activities and the action undertaken by the Community via the structural 
funds; 
Whereas, in conformity with the principle of subsidiarity, the Community should act 
only if and to the extent that the objectives of a proposed action cannot be adequately 
achieved by the Member States and is therefore, by reason of its scale or effects, better 
carried out at Community level; whereas this is the case with Community RTD 
activities which meet the criteria provided for in this Decision; whereas compliance 
with these criteria implies that decisions on the areas for Community intervention must 
be very selective; 
Whereas Articles 130g and 130i of the Treaty define four types of Community activity; 
whereas the first of these activities involves the implementation of specific RTD 
programmes by promoting cooperation with and between undertakings, research centres 
and universities; whereas such programmes should cover a limited number of RTD 
areas of priority to the Community; whereas, because of the importance of the topics 
covered by this first activity, it constitutes the main component of the fourth framework 
programme; 
Whereas research actions in the field of nuclear safeguards and safety and controlled 
thermonuclear fusion are the subject of a separate decision relating to the framework 
programme of Community activities in the field of nuclear research and training; 
whereas the scientific and technical objectives of the actions to be carried out are listed 
in the abovementioned framework programme: 
24 
Whereas the second of these activities involves the promotion of cooperation in the field 
of Community RTD with third countries and international organizations; whereas in this 
field of activity it is important for the Community to assume its responsibilities at the 
international level; whereas scientific and technical cooperation must be developed with 
the industrialized nations, taking due account of the new opportunities for cooperation 
offered by the Agreement on the European Economic Area, the developing countries, 
the countries of Central and Eastern Europe and the States which have emerged from 
the former Soviet Union; whereas it is important systematically to reinforce the 
complementary relationship and to improve links between Community activity and 
research activities undertaken in the framework of specialized European organizations; 
whereas it would be expedient to step up COST activities relating to multilateral RTD 
projects; 
Whereas the third of these activities involves the dissemination and optimization of the 
results of Community RTD; whereas a strengthening and renewal of this activity is 
desirable in order to facilitate the efficient use of results and to improve the environment 
for dissemination and absorption of technologies; whereas, in this respect, ways and 
means should be provided of facilitating optimal use of results and technological transfer 
between the persons concerned and in particular smaller and medium-sized enterprises 
by improving their financial environment; 
Whereas the fourth of these activities involves the stimulation of the training and 
mobility of researchers, particularly young researchers, in the Community; whereas 
work should be pursued on the initiative launched under the third framework programme 
to increase human RTD capital and to improve the mobility of researchers, inter alia on 
the basis of networks of laboratories and research teams, both public and private, in 
Member States, throughout the Community; 
Whereas the fact of centralized activities involving international cooperation, 
dissemination and optimization of RTD results and stimulation of the training and 
mobility of researchers does not mean there cannot be similar activities in a manner 
appropriate to each of the specific programmes covered by the first of these activities 
to the extent required for proper implementation of these programmes; 
Whereas the Joint Research Centre is called upon to contribute to the implementation 
of the framework programme, particularly in those fields in which it can offer an 
impartial and independent expert opinion and in which it can take a lead in encouraging 
the implementation of Community policies; 
Whereas the framework programme must be implemented through specific programmes, 
and may also be implemented through supplementary programmes involving the 
participation of certain Member States only or Community participation in RTD 
programmes undertaken by several Member States, or involve the setting up of joint 
undertakings or other structures necessary for the efficient execution of Community RTD 
programmes; 
-25 -
Whereas there should be continual and systematic monitoring of progress with the fourth 
framework programme as regards the criteria and objectives laid down in this Decision; 
whereas there should also be an independent assessment of management of the 
programme and of progress with the activities undertaken, in due time and before the 
presentation by the Commission of its proposal for the fifth framework programme; 
Whereas, in accordance with Article 130i(l) of the Treaty, it is necessary to fix the 
amount deemed necessary(8) for the realization of the framework programme and to fix 
the detailed rules for Community financial participation in the programme and the 
respective shares in each of the activities provided for; 
Whereas it is expedient to maintain coherence between all Community RTD activities 
and whereas this framework programme and the Euratom framework programme should 
therefore be adopted jointly for the same period; 
Whereas the Scientific and Technical Research Committee (CREST) has been consulted, 
HAS DECIDED AS FOLLOWS.(9) 
Article 1 
1. A framework programme for Community activities in the field of research, 
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 as set out 
in Article 130g of the Treaty. 
3. The amount deemed necessary(10> for Community financial participation in the fourth 
framework programme as a whole shall be ECU 11 625 million. Annex I sets out 
the breakdown between each of the activities. 
4. The selection criteria to be applied in die implementation of the fourth framework 
programme are laid down in Annex II. 
5. Annex III sets out the scientific and technological objectives and main lines of the 
proposed activities in accordance with the criteria referred to in paragraph 4. 
(8) Replace "amount deemed necessary" with " maximum overall amount" 
(9) Replace by "HAVE DECIDED AS FOLLOWS" 
(,0) Replace the words "the amount deemed necessary" by "the maximum overall amount" 
-26-
Article 2 
1. The fourth framework programme shall be implemented through specific programmes, 
each of which shall specify its precise objectives in accordance with the guidelines 
set out in Annex III. 
2. The implementation of the fourth framework programme may also give rise, as 
necessary, to supplementary programmes involving the participation of certain 
Member States only, to Community participation in RTD programmes undertaken by 
several Member States, or to the setting up of joint undertakings or other structures 
necessary for the efficient execution of Community RTD programmes. 
Article 3 
The detailed rules for financial participation by the Community in the fourth framework 
programme as a whole 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 specified in 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 and objectives set out in Annexes 
II and 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 amend or supplement the framework programme according to the 
results of such monitoring. 
2. Before presenting its proposal for the fifth framework programme, the Commission 
shall have an assessment conducted by independent experts into the management of 
and progress with Community activities carried out during the five years preceding 
such assessment. It shall communicate the assessment, accompanied by its comments, 
to the European Parliament, the Council and the Economic and Social Committee at 
the same time as its proposal for a fifth framework programme. 
Done at Brussels, For the Council 
The President 
-27 
ANNEX I 
FOURTH FRAMEWORK PROGRAMME (1994 to 1998): 
AMOUNTS AND BREAKDOWN 
. ' 11 " . III , . , 
MECU 
(current prices) 
First Activity (Research, Technological Development and 9 450** 
Demonstration Programmes) 
Second Activity (Cooperation with Third Countries and 
International Organizations) 790 
Third Activity (Dissemination and optimisation of Results) 600 
Fourth Activity (Stimulation of the Training and Mobility of 785 
Researchers) 
AMOUNT DEEMED NECESSARY™ 11 625** 
Indicative breakdown between themes in the first activity MECU 
(current prices) 
-Information and Communication Technologies* 
-Industrial Technologies* 
-Environment* 
-Life Sciences and Technologies* 
-Non nuclear Energy* 
-Research for a European transport Policy* 
-Targeted Socio-economic Research* 3 900 
1 800 
970 
1 325 
1150** 
280 
125 
9 450 
** 
*** of which JRC 724 MECU. N.B.: in addition to participating in the first activity 
the JRC will also participate in the third activity to the tune of 70 MECU. 
A framework programme for research and training for the European Atomic Energy 
Community (1994-1998) is decided along with this programme, for a total of 1475 
million Ecu, taking the total deemed necessary11 for RTD actions in the field of 
energy to 2525 million Ecu and the total for Community RTD activity to 13100 
million Ecu. 
see mis number of the OJ page... 
(1) Replace the words "AMOUNT DEEMED NECESSARY" by "MAXIMUM OVERALL 
AMOUNT". 
28 
ANNEXE 
SELECTION CRITERIA FOR COMMUNITY ACIWrriES 
The following criteria which guide the selection of scientific and technical objectives of 
the framework programme should also be applied in the definition of specific 
programmes: 
1. Community research, technological development and demonstration (RTD) activities 
must focus on clearly defined objectives which will contribute towards: 
- strengthening the technological base of Community industry and providing it 
with the knowledge and know-how (skills) required to make it more competitive 
at international level; 
- defining and implementing Community policies; 
- meeting the needs of society and promoting a sustainable development. 
This approach will also yield short-term, medium-term or long-term economic 
benefits and should contribute to the strengthening of economic and social cohesion 
in the Community, while being consistent with the pursuit of scientific and 
technical quality. 
2. The Community's RTD activities must observe the principle of subsidiarity, 
whereby the Community takes action if, and only if, the objectives cannot be fully 
achieved by the Member States and can be better achieved by the Community. 
3. On this basis, the following types of action could warrant Community activities: 
- action on a very large scale for which Member States could not provide the 
necessary facilities, finance and personnel, or could only do so with difficulty 
("critical mass"); 
- activities tackling ambitious themes, addressing large-scale problems or of 
long-term scientific benefit. Activities of this type require specific research at 
Community level and can thus often enhance the Community's overall 
contribution to the solution of international problems; 
- activities producing obvious financial benefits which justify joint action even 
allowing for the extra costs inherent in all international cooperation; 
- activities which are complementary to those being carried out nationally and 
which aim at strengthening the scientific and technological base of the 
Community as a whole and where there is a better chance of applying the results 
at Community level; 
-29-
- activities contributing to the achievement of a common policy, such as the 
completion of the Single Market or of a common objective such as the 
unification of the European scientific and technical area, and, where the need is 
felt, to the establishment of common rules and standards. 
4. The Community's RTD activities must be implemented through projects which are 
to be assessed on the basis of their scientific and technical excellence. 
In this process of selecting the projects to be carried out in the specific 
programmes, priority will be given to projects: 
- allowing closer coordination of the- research being conducted in the 
Member States, at Community level and within other European and international 
cooperation forums; 
- making it possible to respond as effectively as possible to the Community's 
objectives regarding economic and overall industrial competitiveness. 
-30-
ANNEX III 
SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES 
The new guidelines for a genuine Community research and technological development 
and demonstration (RTD) policy imply greater focusing of the Community's activities 
in order to increase the value added, notably by applying the principle of subsidiarity 
and the criteria set out in Annex II. 
The RTD activities in the third framework programme (1990 to 1994) which meet these 
criteria have been retained 
The measures selected cover all the Community's RTD activities. They are designed to 
support the common policies and aim at providing the scientific and technical basis 
needed for sustainable, development, respecting the environnment, which improves the 
competitiveness of European industry and the quality of life. 
In particular, in keeping with the Community's industrial policy and in order to meet 
society's growing needs, a series of objectives in the public interest have been identified 
for the purposes of selecting the Community's RTD activities: 
- to develop efficient and safe infrastructures, in particular an information and 
communications infrastructure; 
- to produce efficiently, cleanly and safely on the basis of modern organization of 
production taking into account human factors; 
- to make environmental protection an aspect of industrial competitiveness; 
- to promote an improvement in health care, food quality and food hygiene; 
- to ensure technological and industrial integration within the internal market (in 
particular by strengthening coordination between RTD policy and standardization 
policy); 
- to anticipate technological and industrial changes so as to ensure that greater account 
is taken of market and society's needs; 
- to increase the synergies between the international cooperation activities proposed and 
the Community's external policies; 
- to ensure efficient dissemination, throughout the whole economic and social system, 
in particular to small and medium sized enterprises, of the scientific and technological 
advances made; 
- 31 
5) 
- to train economically active people to master the new technologies. 
The scientific and technological objectives are built around four activities. 
- the first activity covers the research, technological development and demonstration 
programmes; 
- the second activity aims at promoting cooperation in the field of Community RTD 
with third countries and international organizations; 
- the third activity deals with the dissemination and valorization of results of 
Community's RTD activities; 
- the fourth activity covers stimulation of the training and mobility of researchers in the 
Community. 
The Community must aim at ensuring harmonious development of its scientific and 
technological resources. In support of strengthening the synergies between RTD policy 
and structural policies, and while maintaining the principle of excellence, the research 
priorities set for the first activity must take account of the interests and capacities of all 
Member States, including the less advanced ones. The third and fourth activities will 
have a growing impact on the less developed regions and countries through specific 
measures. However, it is primarily the responsibility of the Member States to establish 
a coherent overall strategy aimed at making the best use of these possibilities. 
The Community support for RTD activities covered by the//>sr activity will continue 
to focus on generic, precompetitive research of multisectoral application. This activity 
also includes the JRC's support for other Commission services which have a long-term 
character. Further, Community actions will be orientated towards certain major topics 
in order that European research is able to contribute, in the most effective way, to the 
solution of problems with which industry and society are faced. 
In this respect, the need is to develop an operational approach in order to establish an 
effective interface between cross discipline research programmes and the needs of 
specific industrial sectors such as the automobile and aeronautics industries which need 
to strengthen their competitiveness. For this reason, the Commission will coordinate the 
activities in the different cross discipline research programmes and will for this purpose 
consult representatives of industry, public bodies and users who will give advice on the 
definition of the most promising research topics so that they can be included, as a 
priority, in the implementation of the first activity at the level of work programmes and 
calls for proposals. This could apply in particular to the automobile, aeronautics and 
maritime industries. 
EUREKA will remain the principal vehicle for supporting RTD activities which are 
nearer to the market. The synergy between the Community's activities and EUREKA 
will be improved. Financial resources to be allocated to this action could be included in 
- 32 
an indicative fashion in the work programmes for Community programmes. Improving 
the dissemination of results amongst enterprises, particularly small and medium-sized 
businesses, cost-effectiveness and coordination between national programmes will be 
priorities for Community action. 
Particular attention will be paid to the research, development and innovation capacities 
of small and medium sized businesses, of institutes of higher education and of research 
centres. Partnerships between them will be encouraged. Particular attention will be 
given to encouraging access to Community programmes by small and medium sized 
businesses by extending the approach whereby a rapid response can be given to their 
spontaneous proposals (technology stimulation). 
Within the different activities emphasis will also be placed on basic research wherever 
necessary. 
Within each research area, particular attention has been paid to the opportunities for 
cooperation or even coordination between national, Community and European activities. 
Other than shared cost action centred on selected research, increased use of concerted 
actions will allow promotion of this cooperation in a wider range of areas, while always 
respecting the criteria listed in Annex II. Similar attention has been given to ensure 
complementarity between JRC activities and shared cost ones. 
Closer consultations will be held with bodies representing scientific, technical and 
industrial circles in the Community, particularly to define the science and technology 
policy options at European level. 
In addition to the specific programme on targeted socio-economic research under the 
first activity, research in the human and social sciences under every theme in the first 
activity, and also under the second, third and fourth activities, will be coordinated with 
research in the exact sciences, natural sciences and engineering with a view, in 
particular, to anticipating and assessing the socio-economic impact of the activities 
planned and any possible technological risks. 
The objectives of the research activities which up to now have been carried out within 
the ECSC Treaty will be gradually incorporated ("phasing in") into the relevant themes 
under the first activity, thus allowing the bodies concerned to submit their projects in 
response to calls for proposals by specific programmes of the framework programme. 
Scientific and technological cooperation with third countries and international 
organizations on subjects of mutual interest will be organized partly on a centralized 
basis (as the second activity) and partly under the individual themes in the first activity, 
in so far as they help to attain the relevant objectives of these themes. International 
scientific and technological cooperation is one factor determining the economic 
efficiency of the Community's RTD activities. Consistency must be ensured in this area 
between national and Community policies. In this way, cooperation with third countries 
and international organizations will provide added impetus for the Community'.; 
investments in R&D. 
33 
The Council will lay down the rules governing dissemination of the know-how acquired 
under the specific programmes and the other arrangements for implementing the 
framework programme. Within this legal framework, the dissemination activities must 
be consistent and coordinated. This implies not only centralized management (as the 
third activity) but also a degree of autonomy for the specific programmes in order to 
organize special dissemination arrangements. In both cases, these activities can be 
carried out primarily by means of publications or using computerized methods applying 
common standards and protocols. 
The dissemination activities also include measures to provide small and medium-sized 
firms and private or public research laboratories with greater access to information on 
Community programmes and activities. To the same end, the third activity will 
encourage the establishment or expansion of national or regional relay centres to 
disseminate and optimize the results. 
Although application of the results is clearly primarily up to businesses and laboratories, 
in certain cases it will require concerted action by the Community and the players 
involved and by the relevant public- or private-sector organizations, particularly at 
national or regional level (including, in particular, the above-mentioned relay centres) 
in order to protect certain results and to facilitate the absorption of technologies and to 
ensure the best possible degree of transfer of innovations. The third activity also includes 
scientific services carried out by the JRC in support of Community policy which are not 
covered by the first activity. 
Activities on the training and mobility of researchers will be carried out within each 
theme in the first activity in order to provide users in priority areas for the Community 
not only with the RTD results they need but also with the human resources capable of 
using them. Such activities will allow an increase in the economic impact of work 
undertaken within these priority areas. 
However, the European dimension must also be used for more general measures to 
develop the human resources which make it possible to react in real time to scientific 
and technological developments in emerging areas. The fourth activity, addressing 
advanced training in centres of excellence throughout the Community, will therefore be 
open-ended and will also focus on partnerships between universities and industry. 
Two main avenues will be used for the implementation of research supported by the 
Community: first, focusing financial resources on a limited number of subjects selected 
for their specific added value (shared-cost activities), without precluding the possibility 
of reduced rates of support depending on the nature of the project, and secondly 
encouraging the integration of national, Community and European activities by 
appropriate means. 
In particular, alongside the traditional networks established in the context of Community 
activities hitherto, this cooperation can be achieved by means such as: 
34 -
- Thematic networks of excellence bringing together for a given technological or 
industrial objective manufacturers, users, universities and research centres to facilitate 
the integration and transfer of knowledge and technologies and to ensure that fuller 
account is taken of the needs of the market. They would be organized, with catalytic 
support from the Community, along the lines already tested during the implementation 
of the Third Framework programme in areas such as microsystems, linguistics and 
flexible manufacturing. They will be "bottom-up" in both conception and 
management. 
- Concertation networks in which Member States will play an important role in 
identifying the national laboratories or institutes to take part in the activity decided 
upon. The Commission will organize the concertation. This method could be used 
to carry out epidemiological research and clinical studies in the area of biomedical 
research, for example. 
- Consortia for integrated projects along the lines, in previous framework programmes, 
of the Fusion Programme. The Member States identify the laboratories or institutes 
to take part in an integrated project supported by pooling financial resources from the 
Community. Major European research bodies such as CERN, ESA and EMBL will 
be invited to take part. 
In this connection, the Commission considers that the JRC can make a contribution 
towards the implementation of this new approach. As it is itself actively engaged in 
research and is closely involved in the formulation and implementation of Community 
policies, it could play the role, in the scientific and technical areas which it covers, of 
organizer or focal point for networks bringing together public and private laboratories 
in the Member States, and could act as a centre of gravity for European research 
consortia in specific areas. 
The following paragraphs set out the scientific and technological content of the activities 
to be conducted and the reasons for including them in the framework programme for 
1994 to 1998, in a manner which accords strictly with the Treaty's designation of the 
framework programme as a planning instrument. 
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FIRST ACTIVITY 
Implementation of research, technological development and demonstration 
programmes, by promoting cooperation with and between undertakings, research 
centres and universities. 
This activity covers a major part of Community activities in the field of research 
and technological development. The basic approach is the participation of 
transnational groupings of organisations, research centres, universities and 
enterprises with the Joint Research Centre (JRC) also participating where it has 
specific competencies. It will develop in the fourth framework programme along 
the following lines. 
GENERAL OBJECTIVES: Three fundamental objectives form the basis of the 
fourth framework programme: support for the competitiveness of European 
industry; the contribution of science and technology to the satisfaction of society's 
needs; support for the various common policies. In addressing these three 
objectives, an appropriate combination of continuity and novelty will be sought. 
Moreover, research activities currently scattered either in common policies or in 
the category of activities currently carried out outside the framework programme, 
will be unified in the single scheme of the framework programme. 
1. INFORMATION AND COMMUNICATIONS TECHNOLOGIES 
The horizontal role of information and communications technologies in all industrial and 
societal activities has become a factor of crucial importance for RTD policy. The 
boundaries between ICT and other industrial sectors, between suppliers and users, and 
between the professional and consumer markets are constantly being eroded, as ICT 
increasingly underpins all service and production industries. A new "digital industry" is 
emerging. In the societal dimension, administration, health, education, transport, 
environment and entertainment, the workplace and the home, all become increasingly 
dependent on ICT. As regards the ICT industries themselves, the pace of technological 
advance demands ever greater efforts from suppliers if they are to remain competitive, 
but the costs of RTD spiral out of reach of even the largest companies. At the root of 
these changes is the emergence of a new information and communications infrastructure, 
bringing together information content, information storage, computation capacity, 
communications, services, and applications. 
The broad twofold objective of Community RTD in ICT in the 1990s is the 
improvement of the competitiveness of all industry within the favourable environment 
created by the internal market, and the satisfaction of societal needs for a better quality 
of life. To achieve this objective, and leading on from the technology driven policy of 
the 1980s directed at a growing ICT industry, there will be firmer emphasis on a user 
and market led policy geared to the development of the new infrastructure. At the same 
time work will draw on the results of the second and third framework programmes, 
where the programmes, including ESPRIT (information technology), RACE 
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(communications) and DRIVE, AIM and DELTA and other telematic applications, have 
furnished a solid scientific and conceptual basis for the integration of information and 
communications technologies into society and for the building of the new infrastructure. 
Activities will continue to be precompetitive in nature, and will emphasise 
demonstration, validation, and integration of technologies, specifications and standards. 
They will be reinforced by an effort in longer term advanced research, especially 
interdisciplinary research addressing issues of relevance in several industrial areas. 
The new focus of RTD on the generic technologies and applications essential to the 
fundamentally pan-European information infrastructure, together with careful 
coordination with national initiatives, ensures respect for the principle of subsidiarity. 
Furthermore, the growth and spread of the infrastructure strengthens economic and social 
cohesion by bringing information, services and advanced communications to enterprises 
and citizens in outlying regions. It enables SMEs to realise their full competitive 
potential. The requirements of the infrastructure gives us a yardstick for assessing R&D 
priorities, and so ensuring effective use of resources. 
The infrastructure can be seen as consisting of four main domains: applications, 
integrated systems, communications, and underpinning information technologies. The 
generic information technology and communications technology domains encompass 
those technologies which lie at the heart of the infrastructure, including components, 
computers, software, data banks, data highways, and video displays, and which are also 
essential for the technologies for digital high- definition TV. They provide the building 
blocks for the complex integrated systems bringing together technologies such as 
language engineering, high performance computing and multimedia interfaces. These in 
turn are the basis for the implementation of applications in areas such as health, 
transport, open learning, statistics, libraries and business organisation. 
There are inevitably close links between RTD activities in the different domains, 
reflecting the increasingly integrated nature of ICT. Furthermore the widespread 
application of ICT means that there are links with many other themes within the 
framework programme. 
All four domains draw on a range of modalities with a view to encouraging flexibility 
and responsiveness. As well as traditional shared-cost and concerted activities, RTD in 
certain areas will use focused clusters of projects, accompanied and reinforced by 
networks of excellence, association of suppliers and users, coordination with national 
initiatives, international cooperation, dissemination of results, and training activities 
complementary to and coordinated with similar more centralised activities. In addition 
the participation of SMEs will be facilitated through supplier-user pairs and 
streamlined procedures for small projects. 
In order to strengthen the industrial and social impact of RTD results, RTD actions will 
be embedded in a set of coherent industrial policy actions. Consequently, accompanying 
measures will be systematically identified, in particular through a continuous analysis 
of market, industrial and technological evolution. These analyses will provide guidelines 
for future actions and pave the way for the implementation of appropriate industrial 
policy measures. 
37 -
A. Telematics applications of common interest 
This domain covers RTD activities on applications of information and communication 
technologies that will contribute, on the one hand, to fulfilling requirements resulting 
from existing Community policies as well as fundamental needs of modern societies in 
sectors such as health care, transport or training, and, on the other hand, to the 
positioning of European industry for the new markets that will emerge as a result of 
research activities. The general objective is to improve the effectiveness of telematics 
applications engineering and to ensure the interoperability of systems and telematics 
networks, by means of prenormative research and development activities and trials for 
technical validation. The work will draw upon the experience gained in the Third 
Framework Programme, but the emphasis will shift from data telematics to image 
telematics. Activities will be focused around six topics and will be closely coordinated 
with other relevant Community activities. 
Development and upgrading of trans-European telematics applications. Today, to be 
more efficient, European research needs advanced trans-European networks and services. 
In addition, the internal market has set important requirements in the field of services 
and information exchange between administrations. The needs for enhanced telematics 
services will be supported by RTD activities aiming at developing and validating cost-
effective solutions based on the constantly evolving pool of new technologies and on the 
upgrading of European telecommunications networks. In particular, work will 
concentrate on applications integrating distributed services for information exchange and 
videoconferencing. The results of the RTD work in this first area, which deals 
exclusively with trans-European applications, will be made available to the remaining 
telematics application areas. 
Applications for health care will aim at the stimulation of telematics technologies for 
delivery of seamless health care irrespective of location with a focus on information 
access, interchange and management of data, telemedicine, and security and privacy 
issues, whereas applications for disabled and elderly people will develop and validate 
systems and services compensating for the impact of disability, ageing and social 
exclusion. 
Work in the area of flexible and distance education and training and information 
exchange between libraries will promote the provision of efficient education and training 
services, widely available and able to meet the needs of individuals, industry and 
researchers. The activities will encompass technology and systems development for the 
design and delivery of learning products and services, and their integration into 
experimental networks. Work will also cover technology development creating a generic 
scientific and technological base for European library resources and for a networked 
library infrastructure. 
RTD for telematics transport applications will develop and validate common functional 
specifications, practices and guidelines for telematics systems and services developed for 
all transport modes, including multimodal transport. Particular attention will be given to 
telematics systems as a contribution to the traffic management of railways, shipping and 
road traffic including inter- and intra-city traffic and multi-modal transport as well as for 
the creation of a unified system for European air traffic management. Applications for 
urban and rural areas will validate solutions, such as teleworking and teleservices, that 
- 38 -
will bring work and services to citizens and will reduce unnecessary movement of 
people. It will also combat the migration of companies and citizens from rural areas and 
improve the conditions of daily life. Particular attention will be paid to the ease of use 
of these telematics services by citizens and small and medium-sized enterprises. 
Finally, exploratory actions will assess the potential of telematic solutions in new areas 
such as environment (pollution monitoring, surveillance and control, advance warning 
for major natural catastrophe, management of environmental hazards and tracing of 
dangerous material) as well as other needs for telematics services which may usefully 
be developed in the course of the Fourth Framework Programme. 
B. Technologies for integrated information and communications systems 
The increasing convergence of information technologies and communications in the 
information infrastructure leads to greater complexity of systems, which in turn relies 
upon the availability of technologies for the integration of systems. This domain 
concentrates on the development of the integrated technologies most vital for the growth 
of the European information infrastructure. Activities are divided into six topics. 
The aims of activities within the topic language and information engineering are to 
develop technologies for processing spoken and written language within information and 
communication systems, and to demonstrate their integration into a variety of application 
areas. Work also covers electronic language resources, including dictionaries and 
corpora, and general linguistic research. Information engineering will cover advanced 
electronic publishing systems, new database structures to ease information access, 
improvements in the usability of information and in information management, 
cooperative RTD networks, and standards work. The topic high performance computing 
and networking has as its objective the exploitation of high performance computing and 
networking technologies for the benefit of a broad range of users in fields such as 
manufacturing, engineering, and commerce, on applications ranging from non-destructive 
simulation of car collisions, drug design, and advanced imaging for earth observation, 
to medical diagnosis and surgery, and very high performance databases. Activities 
include the transfer of applications and the implementation of user environments for the 
use of parallel, distributed and embedded systems, and the development of selected new 
applications and technologies. Work on integrated personal systems is directed at the 
development of technologies and systems supporting personal access from any location 
to services in the information and communications infrastructure, and the local 
manipulation of information. Work will include miniaturisation, new multimodal user 
interface paradigms, high levels of systems integration, integration of smart card 
technology, personal applications, and secure, fast access to remote digital information 
services. Applicability will be demonstrated in systems such as the electronic wallet, 
advanced European Minitel and systems for personal and group working. 
The topic multimedia systems aims to stimulate advanced technologies and standard 
exchange formats for the processing, retrieval and dissemination of multimedia electronic 
information (text, voice, images, audio and video), and to demonstrate their integration 
into a variety of interactive multimedia applications. Work will cover hardware and 
software productivity tools for authoring and development platforms, multimedia 
information servers, hypermedia presentations, the management of documents, advanced 
compression algorithms, copyright protection software, virtual reality techniques, and 
-39-
pilot applications, particularly in the area of business processes. ICT support for function 
integration in manufacturing aims at the development of new ICT solutions in support 
of manufacturing and engineering operations, in order to achieve increased 
competitiveness as well as greater efficiency and environmentally clean and safe 
operations supporting a lean manufacturing approach. A specific ICT infrastructure and 
advanced ICT technologies for distributed multi-site operations will be developed to 
support innovation. Activities will be targeted at exploiting new organisational 
approaches integrating basic technologies of software engineering, open systems, data 
modelling and database design, computer aided design, microelectronics, microsystems 
and, selectively, mechatronics Work on security of information systems covers the 
development and demonstration of technologies for the integrity, confidentiality and 
availability of information in integrated systems. The work will include research on new 
technological opportunities to assure security, the development of software, protocols, 
and components and their integration into secure systems and services followed by 
validation and testing within integrated systems. Particular attention will be given to the 
requirements of electronic payment, health-care and remote-working systems. 
C. Technologies for advanced communications services 
Telecommunications networks are ah indispensable part of the information infrastructure. 
The overall objective of this domain is to develop advanced communications systems 
and services for the consolidation of the internal market, economic development and 
social cohesion in Europe, taking account of the rapid development of technology, the 
changing regulatory situation, and opportunities for development of advanced trans-
European networks and services. An effective framework will be provided for usage 
innovation and the wide dissemination of European technologies and expertise. Activities 
will concentrate on four topics. 
Work on digital multimedia services will include technology development for terrestrial 
radio, satellite and fibre transmission of interactive digital video services. It will also 
cover switching, processing and recording developments, for service providers, network 
operators and users, including new technology development for image compression, 
variable bit-rate coding, wireless networks, network interfaces, and recording. The 
objective of work on photonic technologies is to stimulate and accelerate European 
development of integrated photonic systems, and involves the development of integrated 
optical subsystems, free packaging and mass-manufacturing techniques, and optical 
cross-connects, as well as key technologies for 21st century: 3D holographic displays, 
life-images recognition and new signal compression techniques. Mobile communications 
activities are directed towards ensuring mobility on fixed networks and using advanced 
radio and satellite systems across Europe. The work will involve technology 
developments in signal coding; access systems; channel, network and service 
management; the development of new signalling protocols; and system development to 
ensure compatibility and interoperability of networks through protocols for transparent 
network interoperation. The objectives of work on intelligence in networks and service 
engineering are to develop technology for flexible and real-time management of 
communication assets, to enable the fast and flexible introduction of new services in 
advanced networks and effective network management and service deployment in a 
-40 
diverse and competitive communication environment. The work will focus on the 
development of tools for service integration and will support the development of 
protocols and standards. It will involve the development, enhancement and prototyping 
of service creation environments and the development of advanced "operating systems" 
for communications services. 
D. Information technologies 
Work in this domain focuses on the technologies underpinning the information 
infrastructure, selecting activities which are most essential and add most value at the 
European level. There is a strong feedback relationship with the other three domains of 
ICT: activities in information technologies provide important inputs to the other 
domains, and conversely are conditioned by the other domains' requirements. Work is 
divided into six topics. 
The objective of the topic semiconductor technologies, including ASICs is to provide 
essential microelectronic components which underpin the competitiveness of all high 
technology industries. Work will concentrate on those technologies, particularly CMOS, 
likely to be in major use towards the end of the decade. All aspects of the process, 
including design and production, will be supported. Some work may be undertaken in 
conjunction with the Eureka initiative. Systems integration of advanced components into 
Application Specific Integrated Circuits (ASICs) is a key area of emphasis. The open 
microprocessor systems initiative aims to provide Europe with a recognised capability 
in microprocessor systems, and to promote their broad acceptance in applications 
systems world-wide. The work includes the provision of an open library of hardware 
building blocks which can be integrated into on-chip systems for a wide range of 
applications, open systems software, and both hardware and software integration tools. 
The objectives of the topic integrated microsystems is to provide technologies for the 
emerging domain of microsystems, in which microelectronics will be integrated with 
other microtechnologies such as micromechanics and microoptics. The work will focus 
on multidisciplinary design, manufacturing of miniature multitechnology systems, and 
integration and packaging methods. Applicability will be demonstrated in microsystems 
for applications such as the clean, safe car of the 21st century and portable intelligent 
medical diagnostic systems. 
Activities within advanced peripheral technologies concentrate on the technologies 
needed for the low-cost high-resolution thin-screen display components and memory 
subsystems required by computers, televisions, and intelligent systems in areas such as 
avionics, cars, telecommunications, manufacturing, and retailing. Work on displays 
focuses on visual quality, screen size and flatness, with an emphasis on LCD technology. 
Memory subsystem development will include increased capacity, compactness and 
read/write performance. The objective of the topic software best practice is to improve 
productivity, quality and reliability in European software production by fostering the best 
use of advanced software tools and techniques, including aids for re-use and portability 
in a distributed environment. In addition to further development of current techniques, 
work will include industrial experiments, dissemination aimed at raising awareness of 
-41 -
best practice, training for the introduction of new practice, and the European Software 
Institute. Distributed information processing activities concentrate on tackling challenges 
generated by the convergence of information processing and communications 
technologies, and will focus on distributed database management, distributed statistical 
systems, open distributed processing, and advanced human-computer interactions. 
2.INDUSTRIAL TECHNOLOGIES 
The globalisation of markets, newly emerging competitors, the internationalisation of 
processes for new technologies and the essential improvement in environmental 
protection are forcing European industries to adapt their structures, their cooperation and 
their competition strategies. In the developed countries the share of manufacturing is 
declining and accounts for about 30% of GDP (including the building and construction 
industry). It must be stimulated it in order to improve its competitiveness through a 
better collaboration with "knowledge-related" activities (eg services, engineering, 
training). Despite past efforts, Europe is still in a difficult situation; industrial R&D 
expenditure and the number of researchers are still significantly below those of Japan 
and USA (1.3% of GNP against respectively 2.2% and 1.9%) and there is a risk that this 
difference will increase. In this context, the strategy of the Community has to play an 
important catalytic role to support industrial initiatives, to stimulate the development of 
technological innovation, and to help die establishment of European standards. 
The growing requirement to master a large spectrum of technologies for industrial 
competitivity justifies the reinforcement of Community actions in this field. The studies 
realised for the BRITE-EURAM II programme have shown that the European effort on 
industrial research is generating important results; die indirect economic impact has been 
estimated to be more than four times Community funds in R&D (technological effects, 
organisational effects, networking, training) with a relatively larger impact on peripheral 
and less favoured regions. The proposed research actions are a continuation of previous 
activities but will be concentrated on the development and application of generic 
sciences and technologies (such as mathematics and physics applied to industrial 
systems, new design and organisation methodologies, high performance material 
engineering, rapid prototyping or molecular engineering) operating within 
multidisciplinary and multisectoral projects. In addition, the development of harmonised 
methods for measurement and testing and prenormative research will reinforce industrial 
competitivity while offering support to European legislation. 
Following the lines of the new European industrial policy, the research actions on 
industrial technologies will be aimed at industrial technologies the application of which 
could have a rapid impact on a wide range of industrial activities. Research on new 
technologies for "clean manufacturing" or "flexible manufacturing" is a clear example 
and their global economic impact is important; a reduction of 1 month on the time to 
place a new vehicle on the market will represent a gain of 30 MECU or so for the 
automotive industry. Numerous industries, including SMEs, could benefit from these 
research activities, concentrated as they are around strategic objectives and consortia of 
42-
suppliers, manufacturers, end users, universities and research centres. Proposed actions, 
especially those dealing with coordination, will stimulate technological networking 
improving the consistency between projects and the diffusion and exploitation of RTD 
results, in particular through standards and industrial specifications. Research activities 
for and by SMEs, and training activities within an industrial context will also be 
reinforced. 
The proposed actions cover 4 areas: the first three areas address the integration needs 
of technologies related to the materials and product life cycle (including applications of 
available information and communication technology), whilst the fourth area is more 
specifically related to prenormative research. 
A Design, Engineering, Production Systems and Human Management 
This theme is of major importance and covers the whole of the manufacturing industry. 
The objective is to develop and apply, within a perspective favourable to the 
environment and to the improvement of the quality of life, new methods, techniques, 
new processes and tools in each phase of industrial production essential for 
competitiveness (design and engineering, production and maintenance, quality of 
products); such diffusing technologies will be integrated and applied in production 
systems so as to fit the needs of networks of companies and human management in 
production. In particular, emphasis will be placed upon use of the available computer 
integrated technologies "CIT", rapid prototyping, micro-system technologies, man-
machine interfaces and the technologies required for clean manufacturing (such as 
bioprocessing) and for the rapid emergence of new products, particularly in the field of 
industrial machines, transport and human habitat. 
B Materials and material-related technologies (including processing and recycling) 
The objective is twofold: first, to improve the existing processes commonly used by the 
material transformation industries (metallurgy, chemical processing, construction) and, 
secondly, to make sure that the most advanced materials are ready for supply to both 
manufacturing industry (electro-mechanical, machine-tools, transportation, etc..) and 
high-tech industries (eg aeronautics and electronics). Priority will be given to research 
topics related to high performance materials (structural materials but also on bio-
materials, magnetic, optical and super-conducting materials), and to research into the 
improvement of the quality, reliability and the performance of materials and products 
and into longer term research whose exploratory character may quickly yield practical 
applications thereby strengthening European industry's technological lead. The 
programme will obviously cover the recycling and treatment of waste and the recovery 
of materials at the end of product life, including the necessary quality assurance. 
Special attention will be given to the technologies required for the rational management 
of primary resources and the reuse of secondary materials and products in order to 
contribute to the development of clean processes and technologies. 
43 
C Advanced propulsion technologies 
European integration and the trends in the economy are creating a growing demand for 
flexible and efficient transport systems. The advanced propulsion systems are the key 
elements which allow for comfort, quality, safety, cost-efficiency, volume, speed and 
environmental-friendliness in the context of the European transport policy. The priority 
research tasks for automotive, aeronautics, railway and shipbuilding industries will 
therefore encompass the design, engineering and production of new transmission and 
power systems. Research topics will consider the application and integration of generic 
technologies and the development of specific technologies to set up advanced systems, 
even if, in relation with the different transportation means, various technologies may be 
developed and applied; the emphasis will concentrate mainly on design and 
manufacturing techniques, modelling and simulation, advanced material applications and 
the reduction of the environmental impact. Particular attention will be given to 
command and control systems. 
D Research linked with standards, measurement and testing 
The main objective is the research necessary to develop new measurement and testing 
methods and to accelerate the establishment of European directives and standards for the 
reinforcement of the single market and the realisation of the other Community policies, 
especially those dealing with health and security. Within the industrial field the 
emphasis will be placed on the improvement of die interface between standardisation and 
regulatory issues and the design, assembly and the quality of products. In parallel with 
die development of test procedures and more effective measuring systems and a better 
system for mutual recognition of conformity certificates, the accent will be put on 
recognition of accreditation and audit systems set up in die framework of partnership 
with industry or sub-contracting. The infrastructure will be strengthened at the European 
level. Coordinated and cost-shared actions will be undertaken with networks of national 
laboratories. Workshops and training courses will permit the diffusion of codes of good 
practice within Member States. 
All these actions will be principally undertaken through collaborative research projects. 
On the basis of the experience of the third framework programme (CRAFT, Feasibility 
Awards) specific activities to stimulate research for and by SMEs will be improved and 
reinforced, especially,through simplified procedures and the support of a decentralised 
assistance network. Greater use of concerted actions, when this mode of action is 
sufficient to attain the Community added value, will permit greater selectivity in cost-
shared actions (concentrated on strategic fields, needing a minimum critical mass). 
Modalities will be established such that the necessary flexibility is achieved in order to 
guarantee maximum efficiency and a quick reaction to emerging needs. 
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Accompanying measures aiming at strengthening the impact of Community actions will 
be optimised: studies, evaluation of impacts, training, support to diffusion and 
exploitation of RTD results, joint activities with assistance networks for SME's, 
measures for decentralised management, and coordination of industrial research on 
common objectives, such as the factory of the future, die clean vehicle, etc, to facilitate 
integration of technologies and transfer of knowledge between projects, sectors and other 
European initiatives such as EUREKA. 
JRC actions will complement these efforts through research on advanced materials, 
ceramics and composites (especially for high temperature applications) and non­
destructive testing techniques. Prenormative research will cover work on structural 
mechanics and research on measurement and reference materials. These actions will 
also cover all scientific and technical support activities of JRC to the Community 
industrial policy and the Single Market. 
3. ENVIRONMENT 
Environmental research makes major contributions to commercial competitiveness and 
to the improvement of quality of life in the Community. These are essential elements 
in the definition and die execution of Community environment policy and to the 
expectation of an economic boost based on sustainable development in the sense of the 
objectives of the Community's Fifth Action Programme on die Environment. This 
programme provides a new strategy to determine, in a spirit of sharing of 
responsibilities, die actions which affect natural resources or which affect the 
environment. This strategy aims at reducing the tendencies and practices which have a 
negative effect on the environment with a view to improving both the quality of life and 
socio-economic development for the current and future generations by enlarging die 
range of instruments available aimed at changing the behaviour of actors in the field. It 
will also take into account what the Community has accepted to do as a result of the 
UNCED in Rio de Janeiro. 
Environmental research and its economic and social implications have acquired a 
world-wide dimension. As it becomes ever more multi-disciplinary and requires more 
money and resources, environmental research needs a strongly integrated and 
coordinated international effort that exceeds the capability of any one Member State. The 
participation of the European Community in this effort is clearly justified by the political 
and geostrategic stakes in areas such as global change and the management of natural 
resources. 
In this context the Community's intiative with regard to RTD on the environment has 
the following priority objectives: 
(a) continuing the development of a scientific base permitting the definition and 
execution of a Community environment policy that will achieve an increased 
level of environmental protection; 
-45 
(b) contributing to improving industrial competitiveness by (i) the stimulation of the 
development of generic technologies integrating environmental constraints within 
the scope of sustainable development and (ii) improving ability to anticipate 
environmental problems; 
(c) contributing to the observation of the behaviour and the understanding of the 
processes taking place within the Earth's systems, and examining the effects of 
human activities on these characteristics and processes. 
In comparison to die Third framework programme, the nature and scale of these issues 
requires a thematic focus of Community effort on two priority areas of research: on the 
one hand the natural environment and global change, and on the other the new 
technologies for the protection of die environment. 
Concerted actions (concerted networks) and shared cost actions (integrated projects) will 
be the main operational mechanisms ,as in the third framework programme (continuity). 
However, in die area of research on the quality of the environment and global change, 
in order to focus Community efforts concerted and shared cost actions will be 
incorporated into die large thematic networks, integrating strongly the potential of the 
national research programmes. These networks will be developed in cooperation with 
the JRC and in close cooperation with international organisations and research 
programmes (ESF, IGBP, WCRP and HDP) and the space agencies. 
At the same time die socio-economic aspects inherent in the two priority themes and 
linked with die general topic of sustainable development will be tackled. These aspects 
will be important with regard to changing die behaviour of actors in the field. 
A. Hatural environment, environmental quality and global change 
In this area Community efforts will be concentrated on prenormative and pre-legislative 
aspects to facilitate the implementation of the Fifth Community Programme of Policy 
and Action in relation to the Environment and Sustainable Development. 
Community effort, including die activities of the JRC concerning the risks associated 
with chemical products (European Chemicals Bureau) and the validation of alternative 
testing methods (European Centre for the Validation of Alternative Methods), will 
concentrate on the following objectives: 
- providing a scientific basis for evaluating the state of the environment and improving 
the timely awareness of environmental problems, which will require the identification 
of indicators and environmental parameters, of advanced systems for surveillance and 
evaluation, including natural phenonema, constiting a risk for man and society; 
- a better understanding of the fundamental mechanisms which are active in the 
environment and die effects of human activity. Here there is a need for a long term 
research strategy focusing on global change and its possible effects. 
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Within this framework Community activities will be concentrated on: a) observation of 
the behaviour and understanding of the basic processes of natural, terrestrial, oceanic, 
climatic and atmospheric systems, putting the emphasis on the European context and 
dimension, but within a planetary perspective; b) identification and evaluation of the 
impact of human activities on this behaviour and processes, and; c) evaluation of the 
impact of the possible climatic, biospheric and atmospheric changes on man, the 
environment, society and economic activities. These tasks will be achieved through 
thematic networks consisting of concerted actions and integrated projects and the 
activities of the JRC. The thematic networks will be coordinated to ensure coherence of 
the whole, particularly in the diffusion of results and model development. The JRC will 
be closely associated with these actions. They will be developed within the framework 
of the ENRICH (European Network for Research on Global Change) network and in 
collaboration with CEO (Centre for Earth Observation). 
Socio-economic aspects will be considered partly within the research projects 
(multidisciplinary approach) and partly through specific actions for concept and 
methodological developments. 
B. New technologies for environmental protection 
Community effort will be concentrated on three priorities: instrumentation technologies, 
technologies relating to industrial processes and products and technologies relating to 
the restoration of the environment and the prevention of natural hazards. 
Within the area of instrumentation technology, the objective is to contribute to the 
technological development necessary for observation, surveillance and environmental 
research. This requires in particular a contribution to Earth observation technologies 
from space. This includes sensors, observation technologies and monitoring of the 
various biosphere behaviours, environment analysis technologies and technologies 
relating to the treatment, validation and dissemination of data. This effort is also viewed 
as support for other Community policies. 
Within the area of technologies relating to industrial processes and products, the 
objective is to contribute to: a) the development of techniques to reduce or prevent the 
negative impacts of industrial processes and substances on the environment, b) the 
development of methods of analysis for product life-cycles and impact evaluation 
methodologies for industrial processes and products, c) the development of technologies 
to treat, recycle and eliminate waste and to treat water, d) the development of 
technologies for the habitat and for transport that integrate environmental constraints and 
improve the quality of life in close coordination with the activities of other pertinent 
topics, e) the support of the development of value-added industries in the area of earth 
observation and (f) the adaptation of the technologies for exploiting marine resources in 
order to improve the environment and to fight against pollution. 
Finally, within the area of restoration technologies, the accent will be placed upon the 
restoration of environmental quality, while in the area of natural hazards the emphasis 
will be placed upon monitoring and response. 
-47-
The mechanisms for technological research will be concertation networks and integrated 
projects in the areas where the organisation of the research potential on a Community 
dimension is necessary. The JRC will contribute within its specific areas of competence. 
These actions can be managed in collaboration with EUREKA. Industrialists and product 
users will be associated. The effort will concentrate on multisectoral and diffusive 
techniques. Complementary stimulation actions are envisaged to improve technology 
transfer to companies. 
As for the preceding area, socio-economic aspects of technological research will be 
treated simultaneously within each action and with specific measures for methodological 
and conceptual developments. 
4. LIFE SCIENCES AND TECHNOLOGIES 
A consideration of the specific difficulties facing European agriculture and industry, the 
needs of Member States' health care services, and die technological aspects of the 
implementation of Community policies suggests that there is much to be done in 
mobilising the research potential in life sciences and technologies in order that die socio­
economic partners in the Community could be more readily given access to the 
anticipated technological benefits. Furthermore, Community resources are limited. It 
is therefore of the utmost importance that the supply of science and technology matches 
the economic and social demand, as expressed in Community policies and actions. 
The scientific supply-side is characterised today in Europe not only by the excellence 
of fundamental research, but also by the excessive fragmentation of expertise into too 
many disciplines, whose respective contributions are often unbalanced. At the same time, 
social demands for a response to the needs of protecting and managing the living world 
are unprecedented in their strength and clarity. In a society undergoing dramatic 
demographic changes, increasing therapeutic, and thus economic, demands will be made 
which will impinge on disease research in a wider geographical and cultural context. The 
liberalisation of trade and the global scale of problems affecting die biosphere pose anew 
the issue of competitiveness for the many industrial sectors which have traditionally 
exploited biological resources. 
The novelty at this stage lies in the abundance of new scientific challenges which can 
be met, in particular by the advanced methods of biotechnology, integrated as 
appropriate with other industrial technologies. Now that life sciences and technologies 
have clearly demonstrated their societal role, a more precise vision must be developed 
of where and how mankind should arrange its way of life for the greatest social and 
economic common good. The obligation of using life sciences and technologies in the 
most harmonious way possible in relation to current practice, with a view to meeting the 
basic needs of society, is the overall purpose of this research theme. 
Member States' capabilities are now much more developed than they were only a decade 
ago, but remain very heterogeneous. In some key areas these capabilities are so 
fragmented that a critical size has not been reached and the value added-deriving from 
the integration of complementary approaches cannot be realised, while other efforts are 
wasted through redundancy. The operation of scientific networks has revealed the 
validity of this approach without, however, being sufficiently developed. The operational 
-48-
choices indicated under this take into account, above all, the opportunities for facilitating 
the interplay of complementary national activities. These considerations will be 
addressed in the following three fields: 
biotechnology 
biomedicine and health 
agriculture and fisheries (including agro-industry, food technology, forestry, and 
rural development). 
The most important activities will have to be upgraded through a range of measures 
aiming to promote a more positive environment for the timely application of life 
sciences and technology. Use will be made of demonstration activities to raise the profile 
and increase the attraction of alternative technological approaches. The selection of 
demonstration projects must be particularly rigorous in order to ensure the expected 
impact. Where appropriate, links will be established with the EUREKA programme. 
Special attention will be given to studies and debates which bring technological 
innovation within the scope of ethical and regulatory issues. Other measures will be 
implemented: training bursaries, special arrangements for the participation of SMEs (on 
the model of the CRAFT programme). 
A. Biotechnology 
A specific European weakness when faced with biotechnology breakthroughs is the 
dispersion of responsibilities and the lack of social consensus on what scientific tasks 
to undertake. This extreme reluctance to identify and mobilise relevant activities must 
be overcome by a more systematic consideration of the broad range of available 
scientific opportunities and by a concentration on those which relate to major issues of 
industry and society. 
The Community programme should promote global rather than reductionist approaches 
and the integration of disciplines rather than excessive specialisation, and should pay 
careful attention to users' needs as expressed through various interest groups including 
consumer groups, regulatory bodies, industrial or professional associations, EUREKA 
projects and national programmes. It is clear that in this area the need is to restrict die 
number of topics selected to those where all the above conditions for a cooperative 
process at Community level are met. 
In an attempt to focus biotechnology on where it differs fundamentally from alternative 
technologies, primacy must go to reaching an understanding of how the living cell itself 
manages to be so productive and how industry can learn from cellular processes. 
Significant progress will be expected from four priority integrated actions where national 
and Community efforts could converge. These will concentrate on: 
- the understanding of the "cell factory" concept and its extension to the design of new 
industrial bioprocesses, which will require the integration of biological, technological 
and computerised approaches; this will also include the promotion of the 
multidisciplinary vision of biochemical engineering; 
-49-
- the development of methods and infrastructures contributing to the analysis of 
genomes; 
- the development of plant molecular and cellular biology, and plant physiopathology, 
notably with agricultural and agro-industrial applications in mind; 
- the promotion of neurosciences by the combined support of several disciplines such 
as pharmacology, cellular biology, molecular biology and medical chemistry in order 
to understand the inter- and intra-cellular events by which nerve cells manage 
information. 
Three other objectives will be addressed via R&D projects and concertation networks 
supporting national efforts. They will consist of: 
- the development of scientific and technological research in animal physiology, 
immunology and structural biology; 
- the maintenance of a coherent framework for prenormative research, as well as 
biodiversity and bioethical studies; 
- the provision of informatics resources, telematics and genetic collections to serve the 
research described above. 
These activities together will produce knowledge indispensable for industrial progress 
in the targeted fields supported by the Community participation, and they will achieve 
this goal by applying the multidisciplinary approach which characterises biotechnology. 
Their success will depend on how much attention can be given to the continuity of 
efforts on the generic activities developed in this area in relation to the other areas of 
biomedical or agro-industrial applications. 
B. Biomedical and health research 
Health, so highly valued by every European citizen, is one of the most important sectors 
of the economy, absorbing 6 to 8 % of GNP and creating work for more than 6 million 
people; the challenge for research is to control die greatest scourges. AIDS represents 
one of the most worrying epidemics which need a strengthening of the coordination of 
research activities. Cancer, cardio-vascular disease, mental and neurological disorders, 
the problems of the aged and handicapped also require serious attention. Rising costs 
have become a concern for all countries, while citizens in every Member State are 
demanding high-quality health care. New health technologies and health care systems 
are expected to face these common problems. The Community's available resources will 
be concentrated on the following fields of research: 
- development of the scientific and technical basis required for the evaluation of new 
drugs, notably for the treatment of neurological, mental, immunological and viral 
illnesses (these actions must take account of the needs of the European Medicines 
Agency). New in vitro tests and animal models (primates and transgenic animals), 
their validation and multi-centre clinical tests and drug safety checks will be included. 
Research will be conducted through collaboration between industry, research centres, 
universities and the authorities responsible for verifying the efficacy, safety and 
quality of new drugs. 
50-
- development of biomedical technology and engineering, particularly through research 
concerning medical devices for minimally invasive surgery, imaging techniques, 
biosensors, biomaterials and modelling of human functions. 
- participation in the "Decade of the Brain", notably by the development and use of 
methodology, of instrumentation and of the most advanced and costly infrastructures 
considered necessary for the study of the nervous system. This approach will integrate 
the contribution of several disciplines. 
Three other objectives will be followed by coordinated actions and the support of 
national efforts: 
- development of the collection and analysis of statistical and epidemiological data 
concerning illnesses with major socio-economic impact (cancer, AIDS, occupational 
illnesses, etc.) and the "orphan" illnesses; sharing and harmonisation of the databanks 
on genetic diseases comprising Community participation in the management of the 
international database of the human genome and in relation to the potential for 
somatic gene therapy. 
- research on health systems and technologies, and on information and education on 
health matters. This will concentrate on primary care, the evaluation of health needs, 
performance measurements of health policy initiatives and the evaluation of health 
technologies. The impact of the Single Market on the supply of health care across 
internal frontiers will be examined, as well as the following: regulation and de­
regulation, the balance between health systems financed by the private and public 
sectors; tax harmonisation measures; the need to define a European approach for the 
introduction of new technologies in health systems. 
- research on medical ethics. 
C. Application of life sciences and technologies in agriculture and fisheries 
(including agro-industry, food technologies, forestry and rural development). 
In the field of agriculture, forestry, rural development, agro-industry and fisheries, the 
objectives and challenges are to provide an RTD base for competitive, efficient and 
sustainable primary production (agriculture, horticulture, forestry, and fisheries) and 
agro- industries (food, bioenergy and non-food); support the evolving Community 
policies (agriculture and fisheries especially); and respond to the needs of society for a 
wide range of healthy and nutritious foods and environmentally friendly non-food 
products. In order to meet the different objectives of the programme, four priorities have 
been identified and will be addressed by RTD projects and thematic and concertation 
networks in support of national efforts. They will consist of: 
- integrated production and processing chains that gather all the necessary skills and 
technologies relating to the use of biological raw materials (including those of aquatic 
origin) in a specific sector and with the focus on production lines with the largest 
market potential and the greatest economic feasibility. 
- scaling-up and downstream processing by pooling European resources; critical mass 
will be created to solve major problems and technological bottlenecks in this field 
using modelling, simulations and scale-up trials for testing the new approaches. 
- 51 -
- generic food science and advanced technologies to better meet the consumer's needs 
for a safe and health-promoting diet; research will concentrate on generic food 
processing technologies which take account of the molecular basis of the conversion 
of biological raw materials into finished food stuffs and integrate new advanced 
technologies for the food sector. 
- agriculture, forestry, rural development and fisheries in support of the reform of 
common policies and to identify solutions appropriate to the transformations in rural 
areas. The need is to develop new systems and chains of production which are 
economically viable in this area, which are protective of the environment and which 
maintain an adequate level of employment. An improvement in the economic situation 
of agriculture and of fisheries will also be sought by means of quality products, 
diversification of products (food and non-food) and activities, and by cost-reductions, 
which pre-suppose the introduction of new technologies and the better utilisation of 
more effective inputs. The demands of consumers and the completion of the Single 
Market require an effort to be made with regard to animal and plant health as well 
as to animal welfare. New land uses will be developed, for example for set-aside 
land. As regards forestry, the need is to develop a multi-functioned forestry 
management (production, leisure, protection). Finally, increased attention wil be 
devoted to rural development, in line with the strengthened Community policy in this 
area. The same will apply to coastal development. 
In line with Community policies and in order to provide means for primary production 
(including of aquatic origin) which respond to die demands of the consumer and industry 
for a supply of raw material in adequate quantity and quality, and at the same time 
serving die interests of producers and benefiting the rural economy, three priority 
coordination/network actions will be carried out in support of the substantial, existing 
efforts of Member States as regards: 
- networks for enhanced primary production in agriculture, forestry, fisheries and fish­
farming with the main emphasis on sustainability, quality, security of supply and 
interactions with the environment; 
- networks for rural and coastal development with particular attention on training and 
alternative economic activities; 
- food production and processing integrating socio-economic, health and food safety 
aspects. 
Activities will be carried out in this area by the JRC which will lend its support through: 
- the use of a laboratory for analysis of wine and other food drinks, where the expertise 
will be progressively enlarged to all pharmaceutical and food products; 
- by establishing a technical support project for the management and control of the 
application of the CAP, using data transmission by satellite; 
- by continuing the télédétection project for agricultural statistics. 
The aim in this area is to extend the application of the basic technologies developed in 
biotechnology, biomedicine and télédétection. 
52 
5. ENERGY 
Energy policy, which seeks to ensure security of supply (notably through the promotion 
of indigenous resources and technologies and the diversification of usable sources) now 
faces a new challenge: that of compatibility between energy and the environment. 
Present and future uses of different energy sources, on a European and global scale, 
carry local, regional and global risks to man and the environment: increased pollution; 
greenhouse gases; emission of ionizing radiations, etc. The aim of Community activities 
is to develop and demonstrate effective, cleaner and more reliable technologies 
guaranteeing compatibility between energy usage, the equilibrium of the biosphere and 
economic development under its various headings (competitivity, economic and social 
cohesion). 
During the period covered by the second and third framework programmes, Community 
activities of R&D and of demonstration/dissemination relating to energy have established 
networks of cooperation for research and networks for promotion and diffusion for those 
energy technologies which have achieved maturity (notably the OPET network). These 
activities will be continued, while seeking an appropriate balance between the three main 
lines under consideration (non-nuclear energies; nuclear fission; fusion) and 
strengthening the integration between R&D and demonstration (in succession to the 
THERMIE programme), thus contributing to the achievement of the Community's major 
goals in the energy field, sustainable development and support of competitivity. This 
work of integration will contribute to better evaluation of the relative efficiency of R&D 
and demonstration for each strand of technology and to better achievement of the 
synergies and adjustments required between upstream and downstream activities. 
Complementarity will be sought between shared-cost actions in these areas and JRC 
activities. 
The R&D actions will be centred on critical scientific and technical aspects so as to 
achieve significant techo-economic breakthroughs in the medium- to long-term. The 
European and global dimension of this new energy question and the solutions which 
could be applied will also be taken into account. Modelling studies aimed at better 
understanding of the energy-environment-economy interfaces will contribute to the 
analysis and to the definition of the Community energy strategy and will permit better 
definition of the work to be undertaken. Research dealing with technologies which are 
reaching maturity (management of low-level radioactive wastes and techniques of 
nuclear decommissioning, sectoral activities concerned with energy saving in industry) 
will be reduced or abandoned, as will areas (like conventional geothermal energy) where 
intervention at Community level no longer appears either necessary or adequate 
(imbalance of available funds). 
As far as demonstration and dissemination are concerned, special effort will be devoted 
to the areas of the rational use of energy, renewable energies and clean combustion of 
coal. This Community action will be necessary to ensure a stable supply at an 
acceptable price to the totality of European enterprises. It will also improve exploitation 
of resources in the different regions of the Community and will contribute significantly 
to cooperation, in terms of technology transfer, with developing countries. 
53 -
A. Technologies for cleaner and more efficient production and use of energy 
The Community's work on research (including pre-normative aspects), technological 
development, demonstration and dissemination/valorization will be focused on three 
principal axes. It will deal with the rational use of energy, the introduction of renewable 
energies on a large scale and with more effective production from the burning of fossil 
fuels (coal and hydrocarbons). 
Rational use of energy will focus principally on the transport sector, with integrated 
projects relevant to urban transport and reasearch and development on technologies such 
as batteries, fuel cells and advanced fuels. For the residential and tertiary sectors, the 
work should especially concentrate on bringing more effective technologies to the 
market, on the restructuring of energy-intensive systems, on adjusting the behaviour of 
consumers to a more restrained use of energy and on prenormative research on the use 
of energy in buildings. In the industrial sector, the development and demonstration 
actions will focus on technologies which can reduce energy consumption substantially. 
Targeted projects aimed at stimulating a more efficient use of energy (the intelligent 
house) and integrated projects bearing on the pattern of consumption (combined heat and 
power, and planning of industrial zones) should reinforce this activity. 
The objective of die second axis is to contribute to the development and demonstration 
of renewable energies, which are clean indigenous resources, in order to ensure better 
integration of the energy system with die environment and much greater security of 
supply. The planned activities are designed to establish a European industrial and 
technological framework favourable to a significant uptake of renewable energies. The 
programme should also encourage networks of excellence: specialized research centres, 
electrical power generation companies, towns, regions and islands, architects and 
building engineers. 
The programme is characterized by a balance between continuity and novelty. In order 
to follow-up and accelerate the work already in hand, research, development and 
demonstration on the most promising technologies will be emphasized: solar 
photovoltaic, technologies for solar heating, cooling and natural-lighting for buildings, 
wind energy, biomass. Other exploratory options will also be investigated: marine 
energy, solar electricity using thermodynamic cycles, geothermal (hot dry rock), "solar" 
hydrogen. 
The JRC will take part in these activities mainly through prenormative research in the 
field of photovoltaic energy and the conservation of energy in buildings. New initiatives 
will be aimed at easing the integration of renewable energies from the technological, 
economic and social points of view. Large-scale integrated projects such as the 
development of electricity production from renewable sources, especially biomass, or 
better integration of renewable energies into future electrical systems are priority targets. 
Large scale integration of renewable energies into the rural setting, in regions, towns and 
islands, is also very important; there is a huge potential for the use of renewables in 
rural development in the Third World and this has major implications. The efficient 
execution of these integrated projects will require that close links be established with 
other Community policies (Common Agricultural Policy, Structural Funds). 
54-
The third axis concerns the production and transformation of energy from fossil fuels. 
Combustion, which is an essential generic research topic common to the field of rational 
use of energy and to that of the conversion of fossil fuels, will be given priority. In the 
area of conversion, we will be looking for cleaner and more cost-effective disposal of 
the proceeds of conversion of fossil fuels. The work will concentrate on key 
technologies such as integrated combined cycles ("hot gas cleaning" and pressurized 
combustion) or fuel cells for the decentralized production of electricity. Substitution of 
coal by biomass or combustible waste will also be studied. 
Complementary work should ensure better energy security in the much longer term: 
actions relating to better management of indigenous resources at the levels of both 
extraction and conversion will be started. For hydrocarbons, the work will focus on 
development and demonstration, principally for the oil service industries, of more 
efficient techniques of reservoir exploration (geophysics), exploitation and transport. In 
this context, a basic programme of research in the earth sciences could complement this 
action. 
[B. Nuclear Safety and Safeguards 
C Controlled Thermonuclear Fusion 
NB: Activities B and C between square brackets are included in this annex to give an 
overall picture of energy research activities to be undertaken. However, they are subject 
to a Council decision, the same day, concerning the framework programme for research 
and training for the European Atomic Energy Community] 
6. RESEARCH FOR A EUROPEAN TRANSPORT POLICY 
Mobility of people and goods across Europe, its countries and regions as well as within 
urban areas has become a phenomenon of our modern society which it is increasingly 
difficult to master. In this context, the development of transeuropean networks for 
transport which facilitate the interconnection with and the interoperability of national 
networks and the access to these networks will be key questions in achieving an open 
and competitive market. 
In this respect, the Communication from the Commission to the Council over the future 
developments for the Common Transport Policy ("Livre Blanc" COM(92)494) specifies 
that the essential aim of reasearch for a European Transport Policy is to contribute to 
the development, integration and management of a transport system which is more 
efficient, safer and compatible with the environment and with quality of life, promoting 
sustained mobility of people and goods. 
In order for this goal to be achieved, a European approach will be developed to exploit 
the synergy between the different Community and national activities, as well as those 
of other international organisations. Research will be conducted within a coherent and 
coordinated framework, taking into account activities within the themes on industrial 
technologies, telematics, environment and energy wherever they relate to the objectives 
of the Common Transport Policy. Work focusing on generic technologies is, in effect, 
to be conducted under each of the relevant themes within the first activity. 
55 
The activities under this theme will focus, on the conditions for interoperability and the 
interconnection of networks, notably with regard to intermodality and accessibility. This 
will facilitate the design and management of infrastructures so that they are more 
compatible with the environment and safer for their users. 
In this sense, the research activities will principally address the evaluation, integration 
and global validation of technological innovations developed in the other themes. 
The objective is to contribute towards the optimisation of the Transeuropean Transport 
Networks, to the improved performance of transport modes and of individual operators, 
to the capacity of each to cooperate with the others, to accessibility for users as well as 
to support for the development of a multimodal transport system at urban, rural, regional 
and transeuropean levels. 
With this aim in view, the RTD activities will follow a systems and integrating 
approach, taking into account the strategic orientations of the European Transport Policy 
and the results of research conducted within other themes of the first activity, so as to 
develop specific solutions applicable to the transport sector. 
This work could lead, if necessary, to large-scale tests and to demonstration projects. 
The research will place emphasis on the optimisation of transport systems, the 
improvement of safety, the reduction of harmful emissions, and on social acceptability. 
In particular: 
- For combined transport and rail transport, it will, notably, set out to ensure the 
interoperability of rail networks, in particular those which operate at high speed, 
eliminating progressively the technical, regulatory and operational barriers. The 
research should lead to the specification of functional requirements for multimodal 
integrated routes, as well as pilot concepts to integrate and evaluate new technologies 
for interchanges, their management and control. 
- In the case of aeronautics a similar systems approach is necessary, on one hand, to 
define those objectives of European interest related to reducing congestion of airspace 
and of airports as well as to improving human safety and the impact on the 
environment, and on the other hand to allow the integration and evaluation of the 
results of research on generic technologies dealing, in particular with air traffic 
management, aircraft safety, the reduction of engine emissions and noise, drag 
reduction and the critical technologies for very large aircraft. 
- For urban transport, it will permit, through the integration of results achieved and 
tested in other research programmes on generic technologies, the development of 
specific solutions within a systems approach and appropriate modelling with the aim 
of reducing congestion, energy consumption and improving the balance between 
different modes, particularly between collective and personal transport. 
56 
- In the maritime area, integrated research and demonstration projects should permit 
optimisation of the performance of short sea shipping systems, new sea/land/river 
interfaces, which include new port facilities making use of manpower in a way which 
respects the needs of safety and the protection of the environment with an efficient 
traffic management system. 
- For road transport, the development of the appropriate methodologies to define the 
instruments necessary for the realisation of a common policy for road safety and the 
optimisation of interurban travel modes, while integrating and evaluating 
technological solutions concerning, in particular, traffic management and the design 
of infrastructure. 
With all these activities, particular attention will be given to ergonomics and human 
factors in an operational framework, as well as the protection of the environment. 
These activities will be accompanied, at the strategic level, by research focused on 
modelling and transport scenarios. Research in this area will be undertaken with the 
global objective of reaching a better understanding of the generation of transport 
demand. 
It consists of the development of harmonised methods at the Community level for 
analysing the development of transport and movements, the flows and their interactions. 
It also includes determination of the impact on demand of industrial location and 
distribution networks, the identification of changes in industrial structures, of logistic 
contraints and of the choice of modes of transport within the enlarged European 
economic area. 
Moreover, in line with the European Transport Policy, technological innovations will be 
accompanied by research concerning their integration into new operational and 
institutional frameworks (including those associated with technical standards and the 
definition of transeuropean transport networks). 
Finally, a new harmonised methodology for the evaluation of the global impact of 
European transport systems is necessary for this purpose and particularly to optimise 
transeuropean networks. 
The JRC will participate in these activities, essentially through the analysis of the safety 
of transport systems as well as their impact on society and on the environment in 
general. It will also undertake work of scientific and technical support related to projects 
financed by the Commission. 
7. TARGETED SOCIO-ECONOMIC RESEARCH 
The close interrelationship between technology, growth and employment is the essential 
feature of the context in which the objective is to contribute to the identification of 
concrete RTD activités which can be carried out throughout the Community with the 
aim of encouraging the competitiveness of European industry and the emergence of a 
new pedagogic and social model which will capitalise on the diversity of European 
Society. This new research topic will allow a response to be made to the growing need 
felt by decision-makers, and in particular those in charge of research, technological 
- 57-
development and demonstration policies in Member States and at the Community level, 
to be able to benefit from a greater synergy between the natural sciences and 
engineering, and the economic and social sciences. The need, first and foremost, is to 
renew and enlarge for them the knowledge base for decision-making through activities 
to evaluate scientific and technological policy options, taking account of developments 
in technology and know-how. 
As well as these horizontal activities of targeted research, socio-economic research will 
be carried out within each topic of RTD in the first activity (evaluation of socio­
economic impact and risks), in the second activity (socio-economic aspects of 
international scientific and technical cooperation), in the third activity (improvement of 
the efficiency of the uptake of results of RTD) and in the fourth activity (training and 
mobility of researchers in the social and economic sciences). Close contacts will be 
continued with the COST projects in the field of social sciences and with European 
organisations working in this field. 
A. Evaluation of scientific and technological policy options 
The evaluation of scientific and technological policy options for Europe will provide the 
common knowledge base for policy makers in the fields of science and technology 
policy at both the national and Community levels and also for those people responsible 
for other fields of Community activity within which science and technology play a role. 
These activities will follow the direction taken by the MONITOR programme (FAST, 
SAST, SPEAR), by the work of the Institute for Prospective Technological Studies of 
the JRC, by the activities in the framework of the VALUE, SPRINT or EUROSTAT 
programmes and on the base of the experience acquired through the specific programmes 
(evaluation of the socio-economic impact of research) in fulfilment of a decision taken 
at the time of the approval of the third framework programme. 
The object is to put at the disposal of actors, policy makers and users of RTD a 
European instrument - which takes into account global developments - for the evaluation 
of the scientific and technological policy options the better to encourage growth and 
employment and, with this as objective, to integrate into a diversified ensemble the 
activities undertaken at the regional, national and European levels in the fields of 
prospective studies of relationships between science, technology and society, of 
economic and technological monitoring, of strategic analysis, principally of generic 
technologies, and of the evaluation of RTD programmes and policies. In particular, the 
aim will be to reinforce prospective studies on technology and industry and to improve 
coordination within the Community in order to provide a consistent and global 
framework which will enable European actors to take the steps and initiatives relevant 
to their responsibilities and to adapt their own strategies better to technological and 
industrial changes. This to be done by putting into place a limited number of dedicated 
networks, concertation activities and studies, activities related to the preparation and 
definition of new programmes, support activities (methodological research, open 
databases, collections of indicators, directories of "technology assessment" in Europe, 
etc.) and of dissemination (workshops, seminars, information weeks). This will offer to 
actors involved in the evaluation of scientific and technology policy a pluralistic 
framework for dialogue and discussion of approaches which will lead to the 
- 58 -
identification of scientific and technological policy options for Europe and to 
recommendations which can be used by actors, policy makers and users in the field of 
RTD. This is why the activities foreseen are to be undertaken in close collaboration with 
governmental organisations and parliamentary offices for the evaluation of scientific and 
technological policy at regional, national and European level (in particular with STOA 
and the European Parliament Technology Assessment Network), with public sector 
organisations and those of the private sector which specialise in these fields as well as 
with die representatives for these questions of the various socio-economic actors in the 
field. A limited group of activities should be foreseen to be able to help with the 
launching of preparatory actions and definition phases for new Community RTD 
activities. 
The JRC will support these activities through the Institute for Prospective Technological 
Studies which will establish a technology observatory in order to collect and analyse 
information on scientific advances and technological innovations and to undertake 
forward studies and technological evaluations essentially at the request of Community 
institutions. 
B. Research on education and training 
The rate of change of scientific and technological knowledge and associated skills on 
the one hand, and of the education and training system, including the training of 
instructors, on the other are becoming more and more out of phase and it is becoming 
extremely difficult to ensure that timely, appropriate and well balanced exchanges take 
place between the two. Considerable efforts have been made at the national level to try 
to overcome these difficulties. The recent developments at the European level of 
networks in research and training and of various industrial and commercial agreements 
between businesses call for a common understanding and mastery by Europeans of these 
problems, which are increasingly global in character. 
The object of the Community research activities in this field is twofold: first, it is one 
of identifying the new generic processes which link research, education and training and 
the interfaces that it is necessary to build in order to master them; secondly, it is 
necessary to evaluate the implications of die process of Europeanisation and 
globalisation in order to identify the input of the Community to the improvement of 
education and training systems in Europe. 
The activities foreseen will respect the principal of subsidiarity by centring on 
exchanges of experience, the comparison and inter-operability of practices, the diversity 
of which enriches the Community. Priority will be given to four broad research 
objectives. First, research into die development of the European open labour market for 
all professional categories and the education and training needs that such developments 
imply. Secondly, research into methods of education and training, at all levels, including 
into the tools used, psycho-pedagogic and organisational aspects. Thirdly, comparative 
analysis of the special training needs linked to the development of new methods of 
quality and process control. These new methods must provide an appropriate response 
with regard to systems of qualifications for different types of work which will permit 
mutual recognition of problems and practices at the European level. Fourthly, 
comparative research on systems of education and training will be supported, including 
into regional differences and links with economic development in the regions. 
59 -
C. Research into the problems of social integration 
The growth in poverty and the appearance of new forms of social exclusion constitute 
major problems which the Member States must face. The Community has contributed 
to the fight against poverty and social exclusion through Structural Funds initiatives 
thanks to certain aspects of the EUROFORM, NOW, HORIZON and LEADER 
intiatives, as well as the HELIOS and TIDE programmes, but above all through its three 
successive programmes designed to combat poverty. 
Relative to the research effort of the Member States invested in these fields, Community 
research has a threefold objective: first, to contribute through a comparative analysis at 
the European level to a more systematic understanding of the processes of social 
exclusion and integration, their causes, their different forms and ways in which the 
problems manifest themselves and their implications for Community policies, in 
particular the structural policies; secondly, to allow all Member States through 
dissemination of appropriate information to benefit from successful experiences of social 
integration, through the circulation of information, the copying and application of the 
most innovative projects, starting with a thorough analysis of their results and of the 
lessons drawn from them by each Member State; thirdly,to evaluate in what way the 
actual process of European integration (in terms of markets, currency, etc.) gives rise 
to particular causes of social exclusion and integration as compared with those specific 
to the situation at national or local level. Such research work will help with better 
targeting of activities at the Community level to respond to the problems of social 
integration. 
The place where currently new types of social exclusion and integration are seen most 
frequently is the town (conurbations, city-regions, medium sized towns, etc.), and it is 
at this level, as well as that of the networks which link towns together and which are 
becoming more and more dense, most noticeably in Europe, (information, transport and 
financial networks...) where best advantage can be had from these significant changes. 
On the basis of the knowledge gained as a result of national research programmes as 
well as on the experience acquired through networks of European towns and regions and 
on their increasing willingness to implement common projects on the ground, the 
Community's contribution will be centred around two principal objectives. 
The first covers in particular multi-disciplinary research into concrete means of ensuring 
that those people who are excluded gain easier access to information, communications, 
public services, education and training, to the labour market which interest them both 
as citizens and socio-economic actors equally at the national and the European level. The 
second broad objective is to evaluate the contribution that technological developments 
make to the resolution of these problems in the larger context of experiments tried out 
across the Community. In effect it is necessary to put the emphasis on the 
complementarity of the different generic technologies developed under other topics of 
the first activity in relation to the socio-economic research work dealing with strategic, 
organisational and institutional aspects in order to contribute to the solution of the acute 
problems of urban life and to promote innovative approaches to this subject. 
60 -
SECOND ACTIVITY 
Promotion of cooperation in the field of Community Research, Technological 
Development and Demonstration with Third Countries and International 
Organizations. 
This second activity covers various related forms of Community intervention. 
Scientific and technical cooperation will be developed and intensified at the same 
time with industrialised countries, central and Eastern European countries, the new 
independent states of the former Soviet Union and developing countries. Such 
cooperation can be on a bilateral or multilateral basis; it can take place directly or 
through international organisations. The objectives of such cooperation are both to 
reinforce Community capacities in the fields of science and technology and to 
support the implementation of Community policies vis-à-vis third countries and it 
will be based on the principle of mutual benefit. 
In order to improve the competitiveness and the scientific and technological bases of the 
Community, die challenge is to increase the added value of RTD activities of the 
Community and the Member States, as well as of the other Community policies through 
selective cooperation with third parties, in coordination with the Member States. An 
important aspect of this challenge is the scientific contribution to the solution of regional 
or global problems or to advances in the situation of developing countries and of the 
countries of central and Eastern Europe. It is also necessary to be sufficiently flexible 
to react to possible developments in third countries. In cases where intellectual property 
rights are involved, the rules on the subject which the Council and the Commission 
adopted jointly in June 1992 which give general guidelines will be respected. 
The main objectives are the strengthening of the scientific and technological capabilities 
of Europe, supporting the implementation of Community policies with respect to third 
countries and contributing to the solution of regional and global problems, through 
increasing coordination with the Member States. 
A. Scientific and technological co-operation in Europe 
1. Collaboration with other scientific and technological cooperation frameworks in 
Europe 
The aim of this activity is to reinforce the coherence of research in Europe, in order to 
optimize it by taking into account national efforts, both those of Member States and 
those of EFTA countries, those of COST, EUREKA, and European organisations such 
as CERN, ESA, EMBL, ESF, etc. Besides this, the European position vis-à-vis 
international organisations at the world level (UN, OECD, etc.) should continue to be 
promoted. 
61 
The resulting objectives are to establish closer relations with these frameworks and 
organisations, not only at the political level, but also at the practical project level. 
This will foster the creation of networks of scientific and technical excellence, 
extending beyond the frontiers of the Community. The transfer of RTD results 
towards the market place will be improved, notably via EUREKA. Such relations will 
facilitate the setting of standards and legislation responding to requirements revealed 
during research actions. 
The COST concerted action projects are complementary to those of the Community 
programmes, and retain their specific character with respect to the other European 
research structures. 
With a view to strengthening the links between Community and EUREKA activities, 
the essential elements are better circulation of information concerning projects and 
support measures, taking into consideration in EUREKA projects the results of 
Community projects, taking into account in a more systematic way of the 
precompetitive phases of EUREKA projects within the framework programme and 
joint examination of large scale strategic projects proposed by industrialists. As 
regards the Community, this entails the establishment, after an extensive pilot phase, 
of new mechanisms for taking into account projects from the EUREKA framework, 
while respecting the specific character of the two frameworks, in particular, that of 
the Commission's procedures. 
The financial resources to be allocated to this activity could be included on an 
indicative basis in the work programmes for the Community programmes. The 
Community's participation should respect the aims of the specific programmes, and 
only concern the precompetitive and generic parts of projects, which would be 
submitted for the opinion of the corresponding Committees. 
As far as EFTA countries are concerned, account will be taken of the fact that several 
of them take part fully in the framework programme (European Economic Area) and 
that others are linked by bilateral cooperation agreements. 
2. Cooperation with Central and Eastern Europe and the new independent States of 
the former Soviet Union 
The objectives of this activity are to contribute, through cooperation in areas of 
mutual interest, to the safeguarding of the scientific and technological potential of 
these countries and to their restructuring. This will contribute to the rehabilitation of 
their production systems and to an improvement in the quality of life, which are key 
factors for stabilisation. 
Synergy with other Community activities, notably PHARE and TACIS, and close 
liaison with the actions of the Member States, will be sought. In the energy field, use 
will be made of the 'energy centres'established by the Community in these countries 
under the THERMIE programme. 
62 
The participation of the countries concerned in the specific programmes within the 
first activity is foreseen. Community funding will be available to facilitate their 
participation. 
The action will also include specific research themes appropriate to the current critical 
needs of these countries, notably in terms of the environment, energy, safety and 
technologies having an integrating effect on the economy. 
B. Co-operation with industrialised non-European third countries 
The objective of this co-operation is to promote the interests of the Community and 
to optimise the efforts made in the area of RTD, by facilitating access to sources of 
science and technology of the third countries in question : U.S.A., Japan, Canada, 
Australia and others. 
It is worth emphasising that these countries are at the same time allies or partners for 
the Community as well as competitors, notably on the commercial and industrial 
level. Hence the importance of respecting the principles of selectivity in areas of co­
operation, of concentration on a few carefully selected sectors, of flexibility in the 
modalities of co-operation, of balanced mutual benefit, of non-transfer of financial 
means. 
The modalities of co-operation with these countries include : concertation for certain 
sectors such as megaprojects, execution of joint research and study projects, as well 
as the exchange of information and experts. 
Co-operation with these countries supports the external political activities of the EC 
and must be seen in this policy context. Such co-operation also allows Member States 
to have access to sources of science and technology of the third countries in question 
in an equal manner. Coordination with Member States is necessary to avoid 
duplication of work and dispersion of financial resources and to give a better 
definition to the scope of Community action based on the principle of subsidiarity. 
C. Scientific and technological cooperation with developing countries (DCs) 
Each Member State conducts programmes of scientific cooperation with DCs, the 
importance of which is often a function of cultural traditions or long-standing 
relations. This Community action will be primarily a means of integrating different 
research initiatives in a global and coordinated way and in synergy with Community 
development actions. 
It will permit a scientific effort relevant for developing country problems to be 
maintained in Europe and even to be enhanced in certain Member States with a view 
to achieving a better balance. At the same time it will facilitate the strengthening of 
research capacities in DCs through carrying out joint research work under shared cost 
contracts and the reinforcement of links through networks. 
-63 -
The priority topics to be covered, which are common to all DCs and of prime 
importance for their economic and social development, are renewable natural 
resources and their utilisation for improving sustainable agricultural production and 
environmental protection, and health research for development. The utilisation of 
new information and communications technologies for the strengthening of economic 
structures is also envisaged. These generic topics allow a degree of flexibility in the 
definition of more precise priorities in the work programmes, according to the region 
and to the needs expressed. 
In addition, DC participation in certain specific programmes of the First Activity, on 
subjects of general interest or of clearly identified mutual interest, is envisaged, 
particularly for those countries with a scientific potential which is already developed. 
This could be achieved by the allocation of a Community financial contribution for 
concerted actions or shared cost contracts. 
THIRD ACTIVITY 
Dissemination and optimisation of the results of activities in Community research, 
technological development and demonstration. 
This third activity comprises measures which are not linked to any particular aspect 
of research and technological development; rather, it concerns Community RTD 
activities as a whole. The objective is to ensure that these activities have positive 
repercussions on the competitiveness of industry and the achievement of the other 
objectives of the Treaty. 
The competitiveness of European industry depends to a large degree on its ability to 
transform the outputs of its research into viable commercial products and processes. 
European industry is generally less efficient than its competitors at this transformation 
process, and, in the context of increasing global competition, the ability to secure a 
return on investment in R&D is becoming a crucial factor in many industrial sectors. 
To remedy this situation, and taking into account developments in the United States and 
Japan, the Community must make a substantial contribution to improving the 
dissemination and utilisation of research results. However, it should also create better 
conditions for the transfer and absorption of new technologies, whatever their origin, by 
industry and especially SMEs, whilst taking into account the needs of society: in fact, 
the social acceptance of science and technology seems to meet increasing resistance. 
The Member States of the Community have implemented at national and regional level 
a series of policies aimed at research exploitation and the diffusion of new technologies. 
But, on the one hand, these initiatives vary largely from one region to another and, on 
the other hand, the Community dimension is not sufficiently taken into account, although 
it could yield a significant amount of value added in the context of the Single Market. 
-64-
The centralised action for the dissemination and utilisation of research results under the 
third framework programme, and the SPRINT and THERMIE (in the field of energy) 
programmes situated outside the framework programme, endeavour in cooperation with 
other Community actions in this field and with relatively modest resources to develop 
a coherent Community system for research utilisation and technology diffusion, building 
upon appropriate national and regional structures, thus observing the principle of 
subsidiarity. This effort needs to be continued and extended in the course of the fourth 
framework programme by implementing integrated larger scale Community actions. 
Activities of dissemination and optimisation of results, moreover, have to be carried out 
in coordination with those implemented and financed by the specific programmes. They 
reflect the non-linear, complex and iterative nature of the innovation process and the 
specific character of technology transfer and utilisation, which call for special skills and 
a multi-sectoral approach. 
The objectives of the Third Activity are the promotion of the inter-sectoral and 
transnational dissemination and exploitation of the results of RTD and demonstration 
activities, the support of technology transfer and absorption by firms and the 
improvement of the financial environment for firms in order to encourage the diffusion 
and utilisation of new technologies. Priority attention will be given to SMEs. The 
synergies with die EUREKA programme will be strengthened as will the links between 
dissemination and optimisation activities with the cohesion and rural development policy 
of the Community. 
A. Dissemination and Exploitation of Results 
The objective of this area is, building upon appropriate structures at die national and 
regional level, to promote the inter-sectoral and transnational dissemination and 
exploitation of the results of RTD and demonstration activities in order to strengthen 
their social and economic impact. 
It is composed of the following activities: 
- the establishment of a European infrastructure for RTD dissemination and 
optimisation, with the objective of improving knowledge of the Community's RTD 
and demonstrations activities, facilitating the dissemination of information and the 
exploitation of RTD outputs in Europe and promoting scientific and technological 
cooperation. This infrastructure is based, on the one hand, on the strengthening of the 
activities of the relay centres network, and, on the other hand, on the reinforcement 
of the European public information and dissemination service (mainly CORDIS). 
- specialist services and direct assistance, which complement the established 
infrastructure and are directed at supporting SMEs, with the aim of promoting 
transnational and inter-sectoral utilisation of RTD results. They include assistance in 
the field of intellectual property rights, market research studies, training schemes, the 
stimulation of know-how transfer, the creation of technology clubs and support for 
projects on trans-sectoral applications. 
-65 -
- strategic and interdisciplinary reflections on improving the effectiveness of the 
transfer of RTD results (including acceptability and the evaluation of the social 
impact, management and economics of research, pilot projects on communication 
towards society). 
The network of organisations which promote energy technology (OPET) will continue 
its activity in the energy field. 
B. Dissemination of technologies to enterprises 
The objective of this area, in accordance with the principle of subsidiarity, is to promote 
the wider use of technologies, especially by SMEs, and to contribute to the 
establishment of a European infrastructure for technology transfer, bringing together the 
competent organisations at national and regional levels. 
Emphasis will be placed on improving the quality and efficiency of innovation and 
technology transfer support services, as well as on the improvement of the capacity of 
industry, especially SMEs and traditional industrial sectors, to absorb new technology. 
An integrated approach will be promoted based on the demands of firms ("bottom up") 
and covering all the aspects related to the transfer and utilisation of technologies. The 
proposed actions will not include RTD activities in the strict sense which are covered 
by the First Activity. 
The foreseen activities are: 
- the establishment of transnational networks of technology transfer and diffusion 
practioners, involving mainly organisations such as research and development 
organisations, sectoral technical centres, science parks, etc. in order to encourage the 
use of technologies in SMEs and the exchange of best practice; 
- the application of tools designed to facilitate the diffusion of technological 
opportunities and the bringing together of suppliers, users, and intermediaries; 
- the demonstration of mechanisms and conditions for the transfer of technologies and 
their use by new users via the implementation of inter-regional or trans-sectoral pilot 
projects. These projects will be based on intermediary organisations generating 
important multiplying effects on the diffusion of new technologies and management 
methods in SMEs; 
- measures to improve firms' awareness of best practice methods in the management 
of technological resources; 
- improving knowledge of the mechanisms involved and the reinforcement of the co­
ordination of relevant policies and instruments. 
C. The Financial environment for the dissemination of technology 
Given that the financial environment influences the competitiveness of industry, the third 
area aims to improve, through an appropriate Community action respecting the 
subsidiarity principle, the European environment for the financing of the exploitation, 
adaptation and dissemination of technologies. 
-66 
This area comprises: 
- indirect measures which aim to reinforce the communication between financiers and 
the promoters of technological projects, to support the establishment of effective 
systems for mobilising private capital and the exit of investments ("exit"), to analyze 
and promote the most appropriate legal structures; 
- pilot actions which aim to establish or to test financial mechanisms for the absorption 
of research results and technologies by SMEs. The technology performance financing 
scheme started under the SPRINT programme will be carried on and a new 
instrument compatible with those of the Member States and adapted to national 
contexts will be established. In accordance with established agreements, its 
management would be entrusted to public or private specialist financial intermediaries 
selected in the different Member States particularly for their ability to provide equity 
co-financing. This scheme should facilitate the granting of loan guarantees, interest-
rate subsidies and measures to support associated technical and managerial assistance. 
These activities will be implemented in close cooperation with the other Community 
actions in the field (Eurotech capital, European Investment Funds, enterprise policy). 
D. Scientific services for Community policies 
The JRC will give its technical support to activities of dissemination and utilisation of 
know-how resulting from its own research and technological developments activities 
which, due to their horizontal and trans-sectoral character, are an integral part of the 
third activity. 
The different forms of know-how exploitation, especially transfer to industry, in 
particular SMEs, will be encouraged. 
The optimisation of transfer of know-how, possibly in association with EUREKA 
projects, will also be encouraged. 
These activities will be carried out in close collaboration with the Commission services 
responsible for dissemination and optimisation. 
The JRC will also give its scientific support to Community policies, at the request of 
directorates in charge of these policies, where the need or the request is manifested. 
These activities, which are in general of a limited and short term nature, do not fit in 
well, because of their very nature, with long term planning, because they follow the 
short term requests of the Directorates General. The opportunity to undertake them only 
becomes apparent during the execution of the framework programme, and when it 
appears that die JRCs scientific knowhow could contribute to the formulation or to the 
implementation of one or other of the Community's policies. 
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Certain examples can nevertheless be identified: remote sensing of specific pollutants 
and of the cultivation of certain hallucinatory plants (combating drugs); the analysis of 
complex systems with multiple operators and the analysis of specific datasets; remote 
sensing for fisheries. 
FOURTH ACIWITY 
Stimulation of training and mobility of researchers in the Community 
The specific objective of this activity, is to promote, the development at 
Community level, while respecting the principle of subsidiarity, of a factor 
representing a key variable for the scientific and technological system : human 
resources. Mobility is not a zero sum opération : it leads to a net increase in 
productivity. 
The optimal utilisation of human resources is a basic parameter of all socio-economic 
activity. Although Europe possesses a human capital in research which ranks in second 
position at world level, its utilisation is often ponderous and slowed down by barriers 
which isolate Member States, separate different disciplines and hinder technology 
transfer. The development of human resources in the field of research through training, 
and their better utilization by transnational mobility and co-operation, are essential 
means to reinforce the basis of European industry and to improve its international 
competitiveness. 
The proposed activity succeeds (with a number of required modifications) the specific 
programme "Human Capital and Mobility" (1992-1994) and, further back in time, the 
programmes "Science" (1988-1992) and "Access to large scale scientific and technical 
facilities" (1989-1992). Elements of continuity essentially concern die objectives 
(increase of the efficiency of research and of the efficient use of research facilities in the 
Community through training, mobility and co-operation). The adjustments required by 
the evolving situation essentially occur at the levels of strategy and management 
(reduced dispersion of financing efforts, simplification of contractual agreements, 
elimination of obstacles to free circulation of researchers, clear distinction between the 
areas covered by the programme and the objectives of the targeted research described 
in the First Activity of this framework programme). The fourth activity, which aims to 
give advanced training in centres of excellence distributed throughout the Community, 
will keep it open characteristic and put the emphasis on university-industry partnerships. 
The general objectives of the activity, which encompass those of the former SCIENCE 
programme, are the following: 
- to stimulate training through research and, by means of co-operation, to foster better 
utilization of high-level researchers in the Community; 
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- to improve the mobility of European researchers at geographical level, and also 
amongst different disciplines and between university and industry; 
- to promote transnational co-operation for "free" research (as opposed to the targeted 
research foreseen in the first activities); i.e. : research activity proposed by the 
scientists themselves; 
- to improve large-scale facilities which are indispensable for high-quality research, and 
to place them at the disposal of all European researchers; 
- to improve the scientific and technological cohesion of the Community, by offering 
research opportunities to scientific institutions and to researchers, which may help 
them to reach the level of excellence. 
This activity will cover the exact, natural, economic and management sciences, as well 
as social and human sciences of relevance to Europe. 
The activities foreseen, following along the lines of the SCIENCE programme, are 
gathered into three sub-areas : 
(a) Training through research and stimulation of mobility : 
- Co-ordination of all training activities undertaken in the specific programmes defined 
in the first, second and third activities, with the aim of increasing their synergies; 
- Harmonization of national policies and definition of the status of the European 
research trainee; 
- Implementation of training activities through research and stimulation of researchers' 
mobility. This will consist of stays of three months to three years, which should allow 
European researchers to receive professional training and specialised experience 
outside their home countries. These training periods will be open to all researchers 
holding or preparing a doctor's degree. Grants will be awarded to host laboratories 
and will cover mobility and subsistence expenditure, and will provide a contribution 
to research and management costs. Particular attention will be paid to training in the 
field of the management of changes within enterprises as they relate to new 
technologies. 
- Organization of Euroconferences and scientific prizes. 
(b) Twinning of laboratories in different countries 
This will allow researchers from different countries of the Community working in 
isolation to join their efforts in a "European Laboratory Without Walls" and to 
constitute, in this manner, research groups with a sufficient "critical mass". Grants will 
be awarded to help researchers to meet, to perform experiments in common, to support 
the exchange of results between researchers, to complete equipment or to reinforce 
research staffs through temporary contracts for visiting scientists (preferably from other 
countries). 
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(c) Large scale facilities. Community activities will include : 
- support for researchers in order to facilitate their access to large installations and 
large instruments (necessary for research and rare in the Community); 
- support for the development of new technologies; 
- the coordination of large scale research facilities. 
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ANNEX IV 
RULES FOR FINANCIAL PARTICIPATION BY THE COMMUNITY 
1. The financial participation by the Community in RTD activities undertaken 
within the specific programmes shall be: 
(a) Indirect action (shared cost actions with third parties) 
- for RTD projects, including consortia integrated projects: progressively lower 
participation the nearer the project is to the market place and normally not 
exceeding 50% of the costs of the project (in the case of universities and higher 
education establishments, this may take the form of 100% of additional costs); 
- for thematic networks of excellence and training and mobility of researchers: 
normally 100% of the additional costs; 
- for preparatory, accompanying, and support measures: up to 100% of the costs 
of the measure; 
- for measures appropriate for certain specific programmes, such as feasibility 
awards: up to 100% of the costs of the measure. 
(b) Concerted action 
For concerted actions consisting of the coordination of RTD projects, such as 
concertation networks: up to 100% of the administrative costs of the concertation. 
(c) Direct action 
For direct action consisting of RTD programmes or parts of programmes carried out 
by the JRC: normally 100% of the costs of the research. 
There may be no derogation from these general rules, except under the conditions 
set out in each specific programme. 
2. The rules for any eventual financial participation by the Community in the 
activities foreseen in Article 2, paragraph 2, of this Decision will be specified in 
the measures concerning such activities taken by the Council in conformity with 
Article 130 Q(1) of the Treaty(2). 
(1> Replace by: "Article 130 O". 
(2) Add a paragraph 3 as follows: 'The rules for the financial participation of undertakings, research centres, and 
universities in the implementation of the specific programmes will be specified in the measures foreseen by Article 
130 J of the Treaty". 
- 71 -
Proposai for a 
COUNCIL DECISION 
concerning a framework programme of Community activities in the field of research 
and training for the European Atomic Energy Community (1994 to 1998) 
THE COUNCIL OF THE EUROPEAN COMMUNITIES 
Having regard to the Treaty establishing the European Atomic Energy Community, and 
in particular Article 7 thereof, 
Having regard to the proposal from the Commission, 
Having regard to the opinion of the European Parliament, 
Having regard to the opinion of the Economic and Social Committee, 
Whereas Community activities in the field of nuclear research and training can be the 
subject of a multiannual framework programme and of specific programmes both 
determined in accordance with Article 7 of the Treaty; 
Whereas by Decision 90/221/Euratom, EEC00 the Council adopted a third framework 
programme for the period 1990 to 1994 in the field of research and technological 
development (hereinafter referred to as "RTD") both within the scope of the EEC Treaty 
and in the nuclear area and whereas that programme is in the process of being 
implemented; whereas Council Decision 93/167/Euratom, EEC^ provided for 
supplementary financing for the last two years of implementation of the third framework 
programme; 
Whereas on 9 April 1992 the Commission presented an assessment of progress in 
implementing the third framework programme of RTD; whereas on 22 April 1992 it 
also presented an evaluation of all the specific programmes carried out under the second 
framework programme of RTD; 
Whereas, in view of the rapid pace of technological development, it has been judged 
appropriate to adopt a new framework programme on nuclear research and training for 
the period 1994 to 1998 in order to ensure the continuity of multiannual Community 
activities in this field; 
Whereas, Article 4(1) of the Treaty provides for Community nuclear research and 
training activities designed to supplement the activities carried out by the Member States 
and that whereas it is appropriate, to that end, to define the criteria which will allow 
value to be added to efforts undertaken by the Member States; whereas compliance with 
the criteria laid down in this Decision implies that decisions on the areas for Community 
intervention must be very selective; 
(a) OJNoL 117, 8.5.1990, p. 28. 
00 OJ No L 69, 20.3.1993, p. 43. 
72 
Whereas, in the application of the above criteria, research activities in the fields of 
nuclear safety and safeguard of controlled thermonuclear fusion should be pursued; 
whereas these activities are implemented by means of specific programmes based on 
cooperation with and between undertakings, research centres and universities; 
Whereas cooperation in the field of Community research with third countries and 
international organizations should be promoted; whereas in this field of activity it is 
necessary to take account of the Community's international responsibilities, on nuclear 
fission safety, in particular, with the countries of Central and Eastern Europe and the 
States which have emerged from the former USSR; whereas it is also important to 
continue international cooperation activities with third countries in the field of controlled 
thermonuclear fusion where appropriate; whereas it is important systematically to 
reinforce complementarity and to improve links between Community activity and 
research activities undertaken in the framework of specialized European organizations; 
Whereas action should be taken to promote the dissemination and optimization of the 
results of Community research activities; whereas the Treaty contains precise provisions 
regarding the dissemination of knowhow which apply principally to the nuclear research 
programmes and that these provisions are applied jointly by the specific programmes and 
a centralized activity; 
Whereas action should also be taken to promote the stimulation of the training and 
mobility of researchers, particularly young researchers, in the Community; 
Whereas activities involving international cooperation and stimulation of the training and 
mobility of researchers should be carried out within each specific programme; 
Whereas the Joint Research Centre is called upon to contribute to the implementation 
of the framework programme; 
Whereas the framework programme is to be implemented through specific programmes; 
Whereas there should be continual and systematic monitoring of progress with the 
framework programme as regards the criteria and objectives laid down in this Decision; 
whereas there should also be an independent assessment of management of the 
programme and of progress with the activities undertaken, in due time and before the 
proposal for the next framework programme; whereas the Commission shall also present 
an annual report to the Council; 
Whereas, without prejudice to the entry of the amounts needed to implement the 
programmes in the framework of the annual budgetary procedure in accordance with the 
third paragraph of Article 7 of the Treaty, it is necessary to make an estimate of the 
Community financial means necessary for the realization of the research and 
development activities envisaged; 
- 73 
Whereas it is expedient to maintain coherence between all Community RTD activities 
and whereas this framework programme and the fourth framework programme for 
Community RTD activities(c) should therefore be adopted jointly for the same period; 
Whereas the Scientific and Technical Committee has been consulted by the Commission, 
HAS DECIDED AS FOLLOWS: 
Article 1 
1. A framework programme for Community activities in the field of nuclear research 
and training is hereby adopted for the period 1994 to 1998. 
2. The framework programme shall include all activities regarding research, 
technological development, international cooperation, dissemination and optimization 
of results, as well as training, in the fields of: 
- nuclear safety and safeguards, 
- controlled thermonuclear fusion. 
3. Without prejudice to the third paragraph of Article 7 of the Treaty, the amount 
deemed necessary for Community financial participation in the framework programme 
as a whole shall be ECU 1 475 million. Annex I sets out the breakdown between the 
two fields referred to in paragraph 2. 
4. The selection criteria to be applied in the implementation of the framework 
programme are laid down in Annex II. 
5. Annex III sets out the scientific and technological objectives and main features of the 
proposed activities, in accordance with the criteria referred to in paragraph 4. 
Article 2 
The framework programme shall be implemented through specific programmes. These 
programmes shall be adopted in accordance with Article 7 of the Treaty. Each specific 
programme shall specify its precise objectives in accordance with the guidelines set out 
out in Annex III. 
Article 3 
The detailed rules for financial participation by the Community in the framework 
programme as a whole 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 specified in Annex IV. 
(c) See p. of this Official Journal 
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Article 4 
1. The Commission shall continually and systematically monitor progress with the 
framework programme as regards the criteria and objectives set out in Annexes II and 
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 amend or supplement the framework programme according to the results 
of such monitoring. 
2. Before presenting its proposal for the next framework programme, the Commission 
shall have an assessment conducted by independent experts into the management of 
and progress with Community activities carried out during the five years preceding 
such assessment. It shall communicate the assessment, accompanied by its comments, 
to the Parliament, the Council and the Economic and Social Committee at the same 
time as its proposal for the next framework programme. 
Done at Brussels, For the Council 
The President 
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ANNEX I 
FRAMEWORK PROGRAMME (1994-1998) 
AMOUNT AND BREAKDOWN 
MECU 
(Current prices) 
Nuclear safety and safeguards 495 
Controlled thermonuclear fusion 980 
AMOUNT DEEMED NECESSARY* 1475 
* of which JRC : 343 MECU allocated as follows : Nuclear safety and safeguards 
293 MECU and controlled thermonuclear fusion 50 MECU. 
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ANNEX II 
SELECTION CRITERIA FOR COMMUNITY ACTIVITIES 
The following criteria which guide the selection of scientific and technical objectives of 
the framework programme should also be applied in the definition of specific 
programmes: 
1. Community research, technological development and demonstration (RTD) activities 
must focus on clearly defined objectives which will contribute towards: 
- strengthening the technological base of Community industry and providing it 
with the knowledge and know-how (skills) required to make it more competitive 
at international level; 
- defining and implementing Community policies; 
- meeting the needs of society and promoting a sustainable development. 
This approach will also yield short-term, medium-term or long-term economic 
benefits and should contribute to the strengthening of economic and social cohesion 
in the Community, while being consistent with the pursuit of scientific and technical 
quality. 
2. On this basis, the following types of action could warrant Community activities: 
- action on a very large scale for which Member States could not provide the 
necessary facilities, finance and personnel, or could only do so with difficulty 
("critical mass"); 
- activities tackling ambitious themes, addressing large-scale problems or of 
long-term scientific benefit. Activities of this type require specific research at 
Community level and can thus often enhance the Community's overall 
contribution to the solution of international problems; 
- activities producing obvious financial benefits which justify joint action even 
allowing for the extra costs inherent in all international cooperation; 
- activities which are complementary to those being carried out nationally and 
which aim at strengthening the scientific and technological base of the 
Community as a whole and where there is a better chance of applying the results 
at Community level; 
- 77 
- activities contributing to the achievement of a common policy, such as 
completion of the single market or of a common objective such as the unification 
of the European scientific and technical area, and, where the need is felt, to the 
establishment of common rules and standards. 
3. The Community's RTD activities must be implemented through projects which are 
to be assessed on the basis of their scientific and technical excellence. 
In this process of selecting the projects to be carried out in the specific programmes, 
priority will be given to projects. 
- allowing closer coordination of the research being conducted in the 
Member States, at Community level and within other European and international 
cooperation forums; 
- making it possible to respond as effectively as possible to the Community's 
objectives regarding economic and overall industrial competitiveness. 
78 -
ANNEX III 
SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES 
Nuclear Safety and Safeguards 
The objective is to ensure the safety of all nuclear activities whatever they are ,the 
production of electricity from fission, the use of radioactivity or ionising radiation, or 
the presence of natural radioactivity. In spite of the progress achieved by the nuclear 
electricity industry, the accident at Chernobyl has shown that nuclear safety should still 
be improved, particularly in the East. It is necessary to consolidate the nuclear option 
by showing our ability to control it in all areas of application. This demonstration of a 
full nuclear safety capability will be made through four priority routes: 
- the development of a dynamic approach to nuclear safety contributing to the 
consolidation of a "safety culture " on a world scale; the joint use of the large European 
facilities to arrive at a better understanding of the crucial phenomena linked to the 
nuclear fuel cycle and waste ; pursuing the development of techniques to control nuclear 
safety ; the integration of radiological protection into a global system for the protection 
of man and the environment. 
As far as the first priority is concerned and in close cooperation with the competent 
international organisations the areas of activities will concern the study of new systems 
of control and monitoring, aspects related to severe accidents, and the evaluation of the 
safety characteristics of new reactor concepts. The ageing of installations and their 
prolonged operation will require complementary studies in the frame of research 
networks. The decommissioning of installations in the EC , the Eastern and central 
European countries, as well as the restoration of sites will be studied in coordination 
with the national authorities. 
As far as the second priority is concerned, the work carried out by the JCR in the field 
of the nuclear fuel cycle and radioactive waste will focus on the problems of safety 
related to nuclear fuel and on final disposal. Prenormative approaches will be developed. 
The joint use of underground installations by research workers of all the Member States 
will have to be increased. 
The research activities at the JRC in the field of control of safeguards and in the 
framework of networks of national laboratories, will be aimed at obtaining results, or the 
development of new techniques necessary to assure the respect of the obligations 
concerning safeguards relevant to treaties and to those following from the Treaty on 
non-proliferation. Moreover, the JRC will pursue its activities in supporting the 
fulfilment of the tasks which are the responsibility of the Commission in this field, as 
well as with its participation in establishing a coherent and reliable international system 
of control of safeguards through its cooperation with the IAEA and its cooperation with 
the countries wishing to contribute to such a system, in particular with the Eastern 
countries. 
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In the field of radioprotection, the thorough understanding of the biological mechanisms 
arising from radiation exposure remains the key to achieving a better quantification of 
the effects of low doses. The reduction of exposure from all sources, taking into account 
social and economic constraints, remains the objective of the protection of man and his 
environment. 
The problems of radioactive pollution originating from accidents or operational errors 
in the Eastern and central European countries, in particular Chernobyl, require 
cooperation with these countries. The setting up of a network of international centres 
will stimulate international collaboration and contribute to a better coordination of 
bilateral and international initiatives. 
Controlled Thermonuclear Fusion 
The long term objective of die Community action, embracing all activities undertaken 
in Member States (plus Sweden and Switzerland) in the field of controlled thermonuclear 
fusion by magnetic confinement, is the joint creation of safe, environmentally sound 
prototype reactors. The long time span and the large human and financial efforts 
required before reaching this objective make necessary the total cohesion of the network 
of organizations associated in the Community action, as well as the full exploitation of 
the cooperation with the large fusion programmes outside the Community. 
Safety and environmental issues will play a central role in the realization of the large 
devices included in the strategy which is envisaged for moving towards a prototype 
reactor. During the period 1994-1998, the simultaneous development of three themes 
of activity is necessary for implementing this strategy : the Next Step activities, on the 
first experimental reactor; the improvement of concepts, in plasma physics and 
engineering, for die subsequent step, die demonstration reactor; the long term 
technology, essential for progressing towards the exploitation of fusion as an energy 
source. 
For the period 1994-1998, die objective of the Next Step activities will be to complete 
the engineering design of an experimental reactor, in the frame of the quadripartite 
international agreement ITER, between EURATOM, Japan, the Russian Federation and 
the USA. For EURATOM, the activities, other than the participation in the "Joint 
Central Team", will be coordinated by the NET team and carried out by JET, the 
Associations, the JRC and industry. A European candidate site for the construction of 
the Next Step will be identified. The JET Joint Undertaking will end after a phase of 
operation with tritium; the expertise will be transferred, in particular to ITER; available 
equipment will be utilised in organizational frames to be defined. The optimisation of 
concepts, on which tokamaks and similar configurations are based, will be continued by 
the Associations; the upgrading of existing devices, as well as the construction of new 
ones, such as a stellarator, could be necessary. The possibility of using other fusion 
reactions will be studied. The long term technology will concern tritium breeding 
blankets, materials and safety; the specialized laboratories, in particular at the JRC, will 
contribute in demonstrating the safe handling of tritium. 
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The research will continue to focus principally on controlled thermonuclear fusion by 
magnetic confinement. However, it is important that alternative ways, such as fusion 
by inertial confinement, for example with trie aid of beams of particles, receive due 
attention, if possible in the frame of international collaboration, in particular for a 
possible experimental activity. 
The synergy between research and training will be developed. The mobility of scientists 
will be increased, in particular in the frame of consortia for integrated actions, grouping 
several Associations on joint projects. The decentralized management of the Programme 
will be maintained. 
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ANNEX IV 
RULES FOR FINANCIAL PARTICIPATION BY THE COMMUNITY 
1. The financial participation by the Community in RTD activities undertaken 
within the specific programmes shall be: 
(a) Indirect action (shared cost actions with third parties) 
for RTD projects, including consortia integrated projects: progressively lower 
participation the nearer the project is to the market place and normally not 
exceeding 50% of the costs of the project (in the case of universities and 
higher education establishments, this may take the form of 100% of 
additional costs); 
for thematic networks of excellence and training and mobility of researchers: 
normally 100% of the additional costs; 
for preparatory, accompanying, and support measures: up to 100% of the 
costs of the measure. 
(b) Concerted action 
For concerted actions consisting of the coordination of RTD projects, such as 
concertation networks: up to 100% of the administrative costs of the 
concertation. 
(c) Direct action 
For direct action consisting of RTD programmes or parts of programmes carried 
out by the JRC: normally 100% of the costs of the research. 
There may be no derogation from these general rules, except under the 
conditions set out in each specific programme. 
2. The rules for the participation of the Community in the Joint Undertaking, JET, 
and ITER activities are specified in the specific programme relating to controlled 
thermonuclear fusion. 
- 82 -
FINANCIAL STATEMENT 
Part 1: Financial implications 
1. TITLE OF THE OPERATION 
Fourth framework programme of Community activities in the field of research and technological development and framework 
programme for the European Atomic Energy Community (1994-1998) 
2. BUDGET HEADING CONCERNED 
Sub-section B6 
3. LEGAL BASIS 
Article 130 Q(I) of the EEC Treaty (to be replaced by article 130i, paragraph 1 of the EC treaty after the entry into force of the 
Maastricht Treaty) and article 7 of the EAFX Treaty. 
4. DESCRIPTION OF THE OPERATION 
4.1 Specific objectives 
Implementation of research, technological development and demonstration programmes by promoting cooperation with and between 
enterprises, research centres and universities; 
Promotion of cooperation in the field of Community research, technological development and demonstration with third countries and 
international organizations; 
Dissemination and application of results of Community research, technological development and demonstration activities; 
Stimulation of the training and mobility of researchers in the Community. 
4.2 Duration 
1994-98 
4.3 Target population for the operation 
Industrial enterprises - including especially SMEs - research centres and universities in their research and technological development 
activities. 
5. CLASSIFICATION OF THE EXPENDITURE AND REVENUE 
SI. Non-compulsory expenditure. 
5.2 Differentiated appropriations. 
5.3 Type of revenue involved 
The EFTA countries as defined in Article 2 of the Protocol amending the Agreement on the European Economic Area (EEA) will 
contribute to proportional additional financing for this framework programme, if the EEA Joint Committee provided for in the 
Agreement so decides, probably limited to the non-nuclear activities. 
6. TYPE OF EXPENDITURE OR REVENUE 
Research, development and demonstration projects carried out by external contractors may receive a Community contribution to the 
cost of research, with a ceiling of 50% of the costs or the equivalent (100% of additional costs for universities and similar 
organisations). 
Networks, training and the mobiKty of researchers, concerted actions, which consist of the coordination of research and development 
projects, and accompanying activities, may receive a contribution of up to 100% of the cost of these activities. 
Research activities carried out by the Joint Research Centre will in principle be 100% funded. 
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7. FINANCIAL IMPACT 
7.1 Method of calculating tile total cost of the operation 
The framework programmes have been defined so as not to exceed two-thirds of the amount allocated to category 3 of the proposed 
financial perspective for 1993-99. 
The amounts will cover scientific, technical, demonstration and related horizontal support measures as well as personnel costs and 
administrative, scientific and technical expenses directly linked to the execution of the activities and measures. As far as activities 
carried out by the JRC are concerned, these amounts will cover the infrastructure for the institutes. 
12 Breakdown 
The four activities correspond to the four objectives listed at 4.1 above. 
4th framework programme 1994-98 
MECU 
(current prices) 
First Activity (Research, Technological 1092S 
Development and Demonstration Programmes) 
Second Activity (Cooperation with Third 790 
Countries and International Organizations) 
Third Activity (Dissemination and 600 
Application of Results) 
Fourth Activity (Stimulation of the 78S 
Training and Mobility of Researchers) 
• , , • .,. 
OVERALL AMOUNT 13100 
I l 
MECU 
(current prices) 
Indicative breakdown between mêmes in the first activity 
Information and Communications Technologies* 
Industrial Technologies * 
Environment * 
Life Sciences and Technologies * 
Energy • 
nuclear 
non-nuclear 
Research for a European transport policy* 
Targeted Socio-economic Research * 3900 
1800 
970 
1325 
2525 
1475 
1050 
280 
125 
10925 
of which JRC 1067 MECU. N.B.: in addition to participating in the first activity, the JRC will also participate in the third activity 
to the tune of 70 MECU. 
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73 Indicative schedule 
MECU - current Prices 
YEARS Financial Actual 
Perspectives Amounts 
4th FP 
1994 4325 pm 
1995 4715 2928 
1996 5078 3153 
1997 5450 3384 
1998 5852 3635 
Total 
1994-1998 13100 
The deflators used are respectively for 92-93: 1.023, for 92-94 : 1.059, for 92-95 : 1.091, for 92-96 : 1.123, for 92-97 : 1.157 and 
for 92-98 : 1.192. 
The definitive annual amounts will be fixed by the budgetary authority. 
ANTI-FRAUD MEASURES PLANNED UNDER THE OPERATION 
Audit programme of the Directorate-General. Supervision by the officials formally responsible for the actions. 
Part 2 : Basis for cost/effectiveness analysis 
OBJECTIVES 
The framework programme corresponds to the objectives established by the Treaty on European Union and notably its Article 130f| 1 ) 
which states: "The Community shall have the objective of strengthening the scientific and technological bases of Community industry 
and encouraging it to become more competitive at international level, while promoting all the research activities deemed necessary 
by virtue of other chapters of this Treaty." The four activities selected reflect Article 130g. 
JUSTIFICATION OF THE OPERATION 
The operation is justified by the need for the Community to help strengthen the scientific and technological bases of Community 
industry and to encourage it to become more competitive at international level, while contributing to the definition and implementation 
of Community policies and to meeting die needs of society. 
MONITORING AND EVALUATION OF THE OPERATION 
The form and frequency of the process of evaluation will be such as to enable the Commission to respond to the requirements under 
Article 4 of the draft Decisions in the proposal above, and to evaluate Community RTD programmes and policies. 
The principal factors of uncertainty which can affect the results of the operation include any delay which may occur in the 
implementation of activities under the present proposal, the ability and readiness of private enterprises to take full advantage of the 
benefits which these activities will offer them, and the unavoidable difficulty in making a direct link, especially in the short term, 
between research expenditure on the one hand and industry's competitive success on the other, notably in the light of the fact that 
innovation is not a linear process from fundamental research, through applied research to commercial application. 
The indicators and quantitative or qualitative criteria which make it possible to measure the results will be determined at the level 
of each specific programme. 
- 85 
During the implementation of the fourth framework programme, the Commission will examine the state of its progress in relation 
to criteria and objectives indicated in annexes II and III. It will assess, on a permanent and systematic basis, in particular, if die 
objectives, the priorities as well as the financial means are still adapted to the changing situation (see Article 4(1) of the draft 
Decision). It will submit if necessary proposals aiming to adapt or to complete the framework programme according to this 
assessment. Similarly, before submittmg its proposal for the fifth framework programme, it will commission independent experts to 
carry out an evaluation of management and achievements of Community RTD activities during the five years preceding this evaluation 
(see Art4(2) of the draft decision). 
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BUSINESS IMPACT STATEMENT 
THE IMPACT OF THE PROPOSAL ON BUSINESS 
WITH SPECIAL REFERENCE TO SMALL AND MEDIUM-SIZED 
ENTERPRISES (SMEs) 
Title of proposal: Commission proposal concerning the fourth framework programme of Community 
activities in the field of research and technological development (1994-98) 
Reference number: 
The proposal 
1. Taking account of the principle of subsidiarity, why is Community legislation necessary in this area and 
what are its main aims ? 
The objectives of the Community's research and technological development activities are to strengthen the 
scientific and technological bases of Community industry and to encourage it to become more competitive 
at international level. The need for Community action is acknowledged by Title VI of the EEC Treaty and 
by Chapter I of the Euratom Treaty. In addition, the EC Treaty (in Article 130f as introduced by the Treaty 
on European Union) stipulates that the Community shall promote all the research activities deemed 
necessary by virtue of other Chapters of the Treaty. The subsidiarity of the Community RTD activities 
proposed has been determined in accordance with the approach described in Article 3b as introduced into 
the EEC Treaty by the Maastricht Treaty. 
The impact on business 
2. Who will be affected by the proposal ? 
- Which sectors of business ? 
The Community's RTD activities must concentrate more on generic technologies for widespread use in all 
sectors of economic activity in Europe. The joint research funded by the budget allocated to the fourth 
framework programme on, for example, information technologies, industrial technologies, materials or 
biotechnology will assist very many sectors. 
- Which sizes of business (what is the proportion of small and medium-sized firms)? 
The Community encourages RTD and cooperation by businesses, including SMEs, research centres and 
universities. The complementarity between the comparative advantages of small firms and big companies 
has prompted the Commission successfully to encourage small firms to become involved in the Community's 
research programmes, notably with the aid of special incentives. SMEs have also benefited most from the 
improvements made to the management of Community research, e.g. simplification of the information 
packages, support in seeking partners and targeted proposer days, etc. The fourth framework programme 
expands this approach by providing for technology promotion activities for SMEs, by focusing the 
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dissemination measures on small firms and proposing a completely new financial instrument specially 
designed to encourage SMEs to apply the results of Community research. This instrument forms part of 
the third activity and is a new addition to the package of measures designed to ensure more effective 
participation by SMEs in the Community's RTD activities. 
-Are there particular geographical areas of the Community where these businesses are found ? 
In principle, the Community's RTD activities serve no geographical or regional objective. Although the 
objectives of strengthening economic and social cohesion in the Community and of promoting 
harmonious development also apply to RTD policy, scientific and technical excellence is the overriding 
selection criterion applied for this particular policy. This criterion in itself is a factor encouraging 
cohesion in so far as it enables scientists from the least favoured regions to participate in the most 
advanced research activities in Europe. The evaluation panel's September 1991 report on the impact of 
the framework programme on economic and social cohesion in the Community revealed increasing 
involvement by firms from the least favoured regions (most of them SMEs) in the Community 
partnerships. The fourth framework programme should help to continue this trend, building on the results 
of the operations carried out under the Structural Funds (and in particular STRIDE) to bolster RTD 
structures in the least favoured regions. Specific measures are also planned under the third and fourth 
activities for these regions. 
3. What will business have to do to comply with the proposal ? 
The proposal imposes no formal obligations on businesses in the Community. On the contrary, it 
provides them with greater means to participate in joint research. The private sector will retain primarily 
responsibility for fully seizing the opportunities opened up and for applying the results of the research 
projects for the manufacture and successful marketing of innovatory products. 
4. What economic effects is the proposal likely to have ? 
- on employment, on investment and the creation of new businesses and on the competitive position of 
businesses ? 
By making European businesses more competitive at international level, the Community's RTD activities 
will create jobs and encourage investment. The Commission communication evaluating the second 
framework programme for Community research and technological development (SEC(92)675 of 
22 April 1992) and the subsequent analysis of this evaluation by CREST give an idea of the economic 
impact of the Community's RTD activities. The proposed fourth framework programme follows the 
concentration strategy started in the third. More selective allocation of the funds requested for the 
individual activities should ensure that the activities have greater relevance and impact. 
5. Does the proposal contain measures to take account of the specific situation of small and medium-sized 
firms (reduced or different requirements, etc.) ? 
Arrangements specifically for small firms will continue to be developed and, in certain cases, tested. 
New approaches have also been proposed (cf. paragraph 2 above). 
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Consultation 
6. List the organizations which have been consulted about the proposal and outline their main views. 
This proposal concerning the Fourth framework programme is the fruit of a policy debate within the 
Commission, which keeps in constant contact with the advisory bodies responsible for RTD (CREST, 
IRDAC and CODEST), the European Parliament and the Economic and Social Committee, UNICE, the 
national authorities, researchers and the relevant European and national organizations. 
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PROPOSED TIMETABLE1 
Plenary debate on the Parliament's own initiative report 
Transmission of the proposal of the Commission for the 
Fourth framework programme to the Council and Parliament 
Preliminary political agreement on the main lines in the Council 
Official submission to the Parliament and 
Economic and Social Committee by the Council June 1993 
June 1993 
June 1993 
plenary session in July 1993 
Examination of the proposal in Parliamentary committee September/October 1993 
(Entry into force of the Maastricht Treaty (?) 
Adoption in Parliamentary Committee in accordance with the 
provisions of the Maastricht Treaty 
Opinion of the Economic and Social Committee 
Adoption in plenary by EP in accordance with 
the provisions of the Maastricht Treaty 
Adoption of Common Position by the Council 
Transmission of the Common Position 
Second reading (and final reading ?) 
Adoption of specific programmes October 1993) 
November 1993 
November 1993 
November 1993 
December 1993 
plenary January 1994 
February 1994 
April/May 19942 
1 Considered by the informal "Research" Trilogue of 26 May 1993 as a basis for organising work. 
2 The transmission of informal texts of specific programmes should in principle take place well before the final 
adoption of the decision on the Fourth framework programme, during the second half of 1993. 
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ISSN 0254-1475 
COM (93) 276 final 
DOCUMENTS 
EN 15 
Catalogue number : CB-CO-93-329-EN-C 
ISBN 92-77-57040-7 
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