No C 161/12 Official Journal of the European Communities 28. 6. 89 
Re-examined proposal for a Council Decision adopting a Community programme in the field of 
strategic analysis, forecasting and evaluation in matters of research and technology (Monitor) 
(1989 to 1992) (*) 
COM(89) 270 final — SYN 147 
(Submitted by the Commission pursuant to point (d) of Article 149 (2) of the Treaty establishing 
the European Economic Community on 1 June 1989) 
(89/C 161/09) 
PART I 
THE COUNCIL OF THE EUROPEAN COMMUNITIES, 
Having regard to the Treaty establishing the European 
Economic Community, and in particular Article 130q (2) 
thereof, 
Having regard to the proposal from the Commission, 
In cooperation with the European Parliament (2), 
Having regard to the opinion of the Economic and 
Social Committee (3), 
Whereas Article 130k of the Treaty states that the 
framework programme shall be implemented through 
specific programmes developed within each activity; 
Whereas, by Decision 87/516/Euratom, EEC (4), as 
amended by Decision 88/193/EEC, Euratom (5), the 
Council adopted a framework programme for 
Community activities in the field of research and techno­
logical development (1987 to 1991), providing for acti­
vities in the fields of forecasting and assessment in 
science and technology and in evaluation of 
programmes; 
Whereas the quality and independence of the evaluation 
of each research action programme should be maintained 
within the context of an evaluation procedure applicable 
to all research activities at European level; 
Whereas Decision 87/516/Euratom, EEC provides that 
a particular aim of Community research shall be to 
strengthen the scientific and technological basis of 
European industry and to encourage it to become more 
competitive at the international level and that 
Community action is justified where research 
(') OJ No C 74, 22. 3. 1989, p. 12. 
(2) OJ No C 69, 20. 3. 1989, p. 78. 
(») OJ No C 337, 31. 12. 1988, p. 12. 
(4) OJ No L 302, 24. 10. 1987, p. 1. 
(5) OJ No L 89, 6. 4. 1988, p. 35. contributes, inter alia, to the strengthening of the 
economic and social cohesion of the Community and the 
promotion of its overall harmonious development, while 
being consistent with the pursuit of scientific and 
technical quality; whereas it is intended that the Monitor 
programme should contribute to the achievement of 
these objectives; 
Whereas the growing impact of science and technology 
on social and economic life reinforces the role and utility 
of analysis of the social and economic consequences of 
developments in science and technology; 
Whereas several important initiatives have been taken in 
the Member States in matters of programme evaluation, 
forecasting and technology assessment; 
Whereas the Commission, in carrying out its duties 
regarding evaluation of R&D activities, must have the 
support of reliable methods, appropriate indicators and a 
network of experienced European specialists in order 
that the effectiveness of its evaluations and its capability 
to measure the impact of R&D activities are improved; 
Whereas the evaluation report of the FAST II 
programme has been taken into account; 
Whereas the Scientific and Technical Research 
Committee (Crest) has given its opinion, 
HAS ADOPTED THIS DECISION: 
Article 1 
A Community programme in the field of strategic 
analysis, forecasting and evaluation in matters of 
research and technology (Monitor), as defined in 
Annex I and hereinafter referred to as 'the programme', 
is hereby adopted for a period of four years from .... 
28. 6. 89 Official Journal of the European Communities No C 161/13 
Article 2 
The funds estimated as necessary for the Community's 
contribution to the execution of the programme amount 
to ECU 22 million, including expenditure on a staff of 
25. 
An indicative breakdown of the estimated total amount 
between the various programme activities is given in 
Annex I. 
Article 3 
Detailed rules for the implementation of the programme 
and the rate of the Community's financial participation 
are set out in Annex II. 
Article 4 
1. In the third year of the programme implementation, 
the Commission shall undertake a review of the 
programme and shall report to the European Parliament 
and the Council on the results thereof, together, if 
necessary, with any proposals for modification or 
prolongation. 
2. At the end of the programme, the Commission shall 
report to the European Parliament and the Council on 
the results achieved. 
3. The reports provided for in paragraphs 1 and 2 
shall be established having regard to the objectives set 
out in Annex III to this Decision and in conformity with 
Article 2 (2) of Decision 87/516/Euratom, EEC. 
Article 5 
1. The Commission shall be responsible for the 
implementation of the programme. 
2. The Commission shall be assisted by a committee 
of an advisory nature composed of the representatives of 
the Member States and chaired by the representative of 
the Commission. 
Article 6 
1. The representative of the Commission shall submit 
to the committee a draft of the measures to be taken. 
The committee shall deliver its opinion on the draft, 
within a time limit which the chairman may lay down 
according to the urgency of the matter, if necessary by 
taking a vote. 
2. The opinion shall be recorded in the minutes; in 
addition, each Member State shall have the right to ask 
to have its position recorded in the minutes. 3. The Commission shall take the utmost account of 
the opinion delivered by the committee. It shall inform 
the committee of the manner in which its opinion has 
been taken into account. 
Article 7 
The procedure laid down in Article 6 shall apply in 
particular to: 
— the work programmes drawn up in respect of each of 
the component parts of the programme, 
— the content of calls for proposals or tenders, 
— the assessment of the proposed activities and the 
estimated amount of the Community's contribution 
to them, 
— the measures to be undertaken to evaluate the 
programme, 
— any adaptation of the internal indicative allocation of 
funds set out in Annex I, section I (2), 
— departures from the general rules governing 
Community participation in financing set out in 
Annex II, 
— the participation in any activity by third country 
organizations or enterprises as provided for in 
Article 8, 
— arrangements for the dissemination, protection and 
exploitation of the results of research carried out 
under the programme. 
Article 8 
1. The Commission shall be authorized to negotiate, 
in accordance with Article 130n of the Treaty, 
agreements with international organizations, those 
non-Member States participating in European 
cooperation in the field of scientific and technical 
research (COST) and those European countries having 
concluded framework agreements in scientific and 
technical cooperation with the Community, with a view 
to associating them wholly or partly with the 
programme. 
2. Where framework agreements for scientific and 
technical cooperation between non-Member States and 
the European Communities have been concluded, organ­
izations and enterprises established in those countries 
may participate in a project undertaken within the 
programme. 
Article 9 
This Decision is addressed to the Member States. 
No C 161/14 Official Journal of the European Communities 28. 6. 89 
ANNEX I 
COMMUNITY PROGRAMME IN THE FIELD OF STRATEGIC ANALYSIS, FORECASTING AND 
EVALUATION IN MATTERS OF RESEARCH AND TECHNOLOGY (MONITOR) 
I. General aims and activities 
1. (a) The purpose of the programme is to be instrumental in identifying new directions and priorities 
for Community research and technological development policy and to help show more clearly 
the relationships between R&D and the other common policies. 
(b) The programme involves factual and strategic analysis and forecasting relating to the scientific 
and technological environment and its interaction with economic and social developments. 
2. The programme comprises three activities. The internal indicative allocation of the funds estimated 
as necessary for each of these activities is as follows: 
(million ECU) 
— strategic and impact analysis (SAST) 3,1 
— FAST forecasting 4,5 
— research and studies to improve methodologies and effectiveness of 
evaluation of R&D activities (Spear) 1,8 
— still to be allocated 0,7 
— staff costs 9,6 
— administrative costs 2,3 
Total 22,0 (») 
II. Content and working methods 
Strategic and impact analysis (SAST) 
3. The SAST activities consist of carrying out 'targeted' analyses in a scientific field, technology sector, 
or a challenging theme. The aim is to show the options available to the Commission's science and 
technology policy and interactions with other policies as well as the way in which the different 
actors concerned (industrialists, certain local public authorities, Member and non-member States, 
social groups, etc.) situate themselves with regard to the options. 
4. The activities consist of: 
(a) the preparation of reports on the prospects for development and the strengths and weaknesses of 
the European Community, a group of countries in the Community, particularly with respect to 
R&D structures, a high-technology sector, a scientific field or in relation to important changes 
in other countries' science and technology policies, particularly those outside the Community; 
(b) the carrying-out of technology assessments into the state of development of a technology and its 
future evolution, constraints to innovation, industrial and socioeconomic impact within the 
Community (by sector, region, etc.), requirements in terms of R&D and investment financing, 
etc.; 
(c) the preparation of reports of strategic analyses (strategic dossiers) shedding light, for a given 
problem, on alternatives open to the European Community and proposing precise orientations 
for action. 
5. The Commission will establish an annual calendar of priority activities which will be adopted after 
consultation with the Committee referred to in Article 5 of the Decision. 
(') Figures provided by the Commission services on the basis of a staff of 25. 
28. 6. 89 Official Journal of the European Communities No C 161/15 
FA S Tfo recasting 
6. The FAST forecasting activities are a reoriented follow-up to previous FAST programmes: they 
include study of scientific and technological changes and their many interactions with economic and 
social changes. Their aim is to provide the Commission with global analyses and long-term 
projections. The projections are to be useful in relation to the Community's major objectives for the 
1990s, namely the creation of a single internal market and strengthening economic and social 
cohesion within the Community, and in the light of worldwide economic and social developments. 
7. Forecasting includes: 
(a) the preparation of reports (forecasting dossiers) on major topics or phenomena of a global 
character. The choice of these topics will depend on their relevance and significance in relation 
to the objectives of the common RTD policy. They may extend beyond the strictly European 
framework; 
(b) the undertaking of studies of the implications and consequences of selected scientific and 
technical developments which present important challenges for society in the future; 
(c) the synthesis and critical analysis of the main forecasting studies published worldwide; 
(d) the preparation, every two years, of a report on the economic and social implications of techno­
logical change, particularly in Europe. 
8. These activities will be defined according to a biennial work programme established by the 
Commission in consultation with the Committee referred to in Article 5 of the Decision. 
9. These activities will involve the participation of experts and working groups from outside the 
Commission under the responsibility and guidance of the FAST team in consultation with other 
Commission services concerned (including, where necessary, officials from other Directorates-
General seconded to the FAST team for limited periods) and visiting scientists on secondment from 
the Member States or from non-member countries. 
In addition, the activities under 7 (a) and (b) will be organized in such a way as to ensure the 
broadest and most efficient possible interaction between the actors involved. To that end, the 
European Parliament, the Council and the Economic and Social Committee will be regularly 
informed of the results of these activities. 
10. FAST forecasting activities are also intended to continue to stimulate the development of European 
forecasting efforts and expertise. To this end, it will be necessary to reinforce the FAST '12 + 1' 
network (comprising the 12 national FAST units nominated by the Member States to ensure inter­
action between Community activities and similar work undertaken in their own countries) and to 
encourage the setting-up of an informal network of European experts in the field of prospection. 
Activities in support of the evaluation of R&D programmes (Spear) 
11. Research and studies in support of evaluation of R&D activities at Community level are intended to 
improve the theoretical and methodological bases, as well as the methods of organization and 
management of Community R&D programmes within the context of, and drawing as appropriate 
on, the experience of national and international R&D programmes. Such research and studies will 
also analyse and improve the effectiveness and impact of R&D activities and define an evaluation 
procedure applicable to the broad range of research activities at Community level carried out under 
the responsibility of the Commission while preserving the quality and independence of such 
evaluation. 
12. To this end, the Spear activities comprise: 
— the preparation, in conformity with the Community plan of action relating to the evaluation of 
Community research and development activities for the years 1987 to 1991 ('), of four to five 
horizontal evaluations, within the context of, and drawing as appropriate on, the experience of 
national or international research programmes, in order to analyse their impact and identify 
means to improve their effectiveness at Community level. This covers analyses of methods of 
support and of management of national and Community research. 
(') OJ No C 14, 20. 1. 1987, p. 5. 
No C 161/16 Official Journal of the European Communities 28. 6. 89 
— research actions into methodologies of evaluation of R&D programmes in order to increase their 
utility and make them more credible to their users. This will be in conformity with points 5, 6 
and 7 of the aforementioned plan of action. 
In particular the programme must: 
— improve methods for evaluations of Community R&D programmes within the context of, 
and drawing as appropriate on, the experience of related national R&D programmes, 
— stimulate research into the methodology of evaluation and its use in Member States, 
— develop quantitative indicators that can describe the quality and utility of research and its 
contribution to the Community's economic and social development, 
— prepare guidelines for the carrying-out of Community R&D programme evaluations in the 
light of the European experience, 
— prepare guidelines for evaluating the quality of management using a set of related criteria 
(utilization of appropriations, allocation of contracts, meeting of deadlines, etc.), 
— examine the idea of assigning parts of a given evaluation to a working group or contractor to 
investigate points of detail and to assess the application of results of the research programme 
in question. 
13. The Commission will establish an annual calendar of priority activities which will be adopted after 
consultation with the Committee referred to in Article 5 of the Decision. 
ANNEX II 
PROGRAMME IMPLEMENTATION 
The implementation of the programme will vary according to the specific nature of the activity involved, 
but will include in particular: 
— the involvement of research centres or research teams from the Community countries specializing in 
strategic and impact analyses, forecasting and evaluation of R&D programmes, especially by setting up 
networks, organizing workshops, seminars, etc., 
the setting-up of two '12 + 1' networks, one linked to FAST forecasting, the other to Spear. Their 
objectives will be the exchange and diffusion of information, promotion within the Community of more 
effective means of forecasting and of evaluation of R&D, and also the exploitation of results, 
the secondment of visiting scientists from national institutions and governments to take part in the 
various activities, 
the dissemination of the knowledge and results acquired in the context of the SAST, FAST and Spear 
activities in the form of publications in the field of research, policy notes, the organizations of national 
Monitor days and other publicizing activities. 
(') OJ No C 14, 20. 1. 1987, p. 5. 
28. 6. 89 Official Journal of the European Communities No C 161/17 
The above activities will be implemented chiefly by means of contracts for studies and services to be carried 
out on behalf of the Commission. 
The Communities' financial contribution towards the activities in question may be up to 100 % of the 
expenditure involved. 
The contracts entered into by the Commission shall regulate the rights and obligations of each party, 
including the methods of disseminating, protecting and exploiting the research results. 
As a general rule, contracts will, where appropriate, be awarded on the basis of calls for proposals or for 
tenders (restricted or public) published in the Official Journal of the European Communities. 
ANNEX III 
PROGRAMME OBJECTIVES AND EVALUATION CRITERIA 
The general objective of the programme is that its three component parts — SAST, FAST and Spear — 
should form as far as possible an integrated whole to achieve the purpose set out in section 1.1 of Annex I, 
namely that it should be instrumental in identifying new directions and priorities for Community research 
and technologial development policy and should help show more clearly the relationships between R&D 
and the other common policies. The particular objectives of the three component parts are: 
1. SAST 
1.1. The unit should satisfy the demands for strategic analysis expressed by the various services and 
committees associated to Community science and technology. A calendar of projects to be 
implemented should be established annually, following consultation of the Committee referred to in 
Article 5 of the Decision. 
1.2. Each SAST project, once selected, should be conducted in such a way as to ensure access and 
commitment to the exercise, from the definition of the project to the diffusion of its results through 
the various implementation phases, by all those directly concerned. 
1.3. Each project intended to produce a strategic dossier should be supervised by a steering group with 
the requisite authority, legitimacy and expertise, involving customer(s)' representative(s), SAST 
personnel and external expert(s). 
1.4. The strategic dossiers should demonstrate the need, and give precise recommendations, for action 
and, where appropriate, the conditions under which it could best be pursued. The dossiers should 
represent a broad consensus among their steering groups. 
2. FAST 
2.1. The FAST activity should elaborate and implement the two-yearly working programmes to the 
satisfaction of the FAST interservice group of Directors-General of the Commission, and the 
national units of FAST 12-1-1 network. 
2.2. The FAST activity should have produced two two-yearly reports on the economic and social conse­
quences of scientific and technological change mainly in Europe to the satisfaction of the 
Commission, the European Parliament, the Council of Ministers and the Economic and Social 
Committee. 
2.3. The global prospective studies, the FAST technological assessment examples and the analytical 
synthesis should be of such a relevance and quality that they have been significantly useful for the 
Commission orientation not only of Community RTD choices and options but also of other 
relevant Community policies. 
No C 161/18 Official Journal of the European Communities 28. 6. 89 
2.4. The prospective activities of FAST should have stimulated the development of European pros­
pective efforts and expertise. Furthermore, the 12+1 network should have been reinforced to the 
satisfaction of both Member States and the Commission. 
2.5. An informal network of prospectivists should have been set up. The activities of other FAST 
networks (such as Eureta or the ROME network which has to be established) should have been 
supported. 
3. Spear 
3.1. The Spear activity should lead to the production by the Commission of evaluation guidelines that 
include criteria to guarantee the relevance, rigour and independence of the evaluations of 
Community RTD programmes. These guidelines should be prepared no later than June 1993. 
3.2. Approximately one 'horizontal' evaluation per year should be performed and these evaluations 
should indentify potentially significant improvements in the Commission's support mechanisms for 
R&D. 
3.3. As a result of the activities of Spear, the Commission's evaluators should be provided with 
improved tools for the analysis of he management and impact of R&D programmes. 
3.4. Suitable quantitative indicators should Jbe developed in order to provide a valuable contribution to 
evaluations. 
3.5. The activities related to the Spear network should provide a useful support to the evaluation acti­
vities of its members and in particular improve the means of evaluating Community programmes. 
The programme shall also be evaluated in the light of all the selection criteria set out in Annex III to 
Decision 87/516/Euratom, EEC which includes that of contributing to the strengthening of the economic 
and social cohesion of the Community, while being consistent with the pursuit of scientific and technical 
quality. 
28. 6. 89 Official Journal of the European Communities No C 161/19 
PART II 
Declaration Annex 
Amendments of the European Parliament not accepted by the Commission 
COMMON POSITION OF THE COUNCIL AMENDMENTS PROPOSED BY THE EUROPEAN PARLIAMENT 
Amendment 2 
Article 2 
New third and fourth paragraphs 
Each year the Commission, as part of the annual budgetary 
approval procedure, shall propose to the budgetary authority 
that it enter the appropriations intended for the programme with 
due regard for the actual reguirements of the financial year 
concerned and the financial estimates as set out in the Inter-
Institutional Agreement. 
The Commission shall state in the Annex what proportion of the 
expenditure per programme relates to temporary officials, 
regardless of grade, and what proportion to collaborating 
researchers. 
Although the Commission recognizes, in principle, the opportunity to specify in research programme 
decisions the relationship between the term 'amount deemed necessary', the budgetary procedure and the 
institutional agreement on budgetary discipline, it considers untimely the introduction of such a new 
provision for proposals already submitted as this could delay the adoption of the programmes concerned. 
As regards the second part of this amendment, the Commission has not included it as it is not possible at 
the date of the programme proposal to indicate the number of collaborating researchers who will 
participate in the programme. 
Amendment 4 
ANNEX I 
I. General aims and activities 
Paragraph 1, new third subparagraph 
(c) The programme shall form an integral part of the procedure 
for the revision of the framework programme of Community 
research and technological development. 
This amendment is not accepted by the Commission which considers it to be redundant with the first 
subparagraph (a) of this same paragraph 1.