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)
Date: 1993-06-16
Institutions: European Commission
Subjects: EU programme, action programme, innovation, research and development, technological change, testing

COMMISSION  OF  THE  EUROPEAN  COMMUNITIES 

m£ 

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 

C O N T E N TS 

Summary 

Explanatory  memorandum 

Annex: subsidiarity  of this proposal 

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) 

Annex  I  :  Fourth framework  programme  (1994-1998):  Amounts and breakdown 

Annex II  :  Selection  criteria for  Community  activities 

Annex III:  Scientific  and technological  objectives 

Annex IV  :  Rules for  financial  participation  by  the Community 

Proposal  for  a Council  Decision  concerning  a framework  programme  of 
Community  Research  and Training Activities  for  the European  Atomic 

Energy  Community  (1994  to  1998) 

Annex I  : 

Framework  programme  (1994-1998)  : Amount  and breakdown 

Annex  II  : 

Selection  criteria for  Community  activities 

Annex III: 

Scientific  and technological  objectives 

Annex IV  :  Rules for financial participation  by  the Community 

Financial  statement 
Business  impact statement 
Proposed timetable 

3 

6 

20 

22 

28 

29 

31 

71 

72 

76 

77 

79 

82 

83 
87 
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 
the  total  of  both  Framework 
Programmes. 

for 

-  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 
a 
combination  of  knowledge,  know-how  and dissemination  of  know-how. 

is  needed 

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; 
-  work programmes:  adaptability. 

links  with  EUREKA 

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. 

-  6  -

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 

-  8 -

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. 

- 9-

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 
international 

development  and  demonstration  with  third  countries  and 
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 

-  10-

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 
It  must  be 
national  policies  and  Community  policy  are  mutually  consistent. 
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. 

-  12 -

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. 

-  13  -

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 

-  14 

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. 

-  15 -

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 -

for 

the 

implementation  of 

(d)  all  the  acts  adopting  Decisions  concerning  the  creation  of  other,  optional, 
instruments 
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. 

the 

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 
the 
Treaty  on  European  Union  and, 
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. 

the  strengthening  of 

in  particular, 

(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; 

international  cooperation, 
Whereas  the  fact  of  centralized  activities 
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; 

involving 

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" 

- 2 6-

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 

" 

. 

I

II 

, 

. 

, 

MECU 
(current  prices) 

First  Activity  (Research, Technological  Development  and 
Demonstration  Programmes) 

9  450** 

Second  Activity  (Cooperation  with Third  Countries and 

International  Organizations) 

Third  Activity  (Dissemination  and optimisation  of Results) 

Fourth  Activity  (Stimulation  of the Training  and Mobility  of 
Researchers) 

790 

600 

785 

AMOUNT DEEMED NECESSARY™ 

11 625** 

Indicative breakdown  between  themes in the first activity 

-Information  and Communication  Technologies* 

-Industrial Technologies* 

-Environment* 

-Life  Sciences  and Technologies* 

-Non nuclear  Energy* 

-Research  for  a European  transport  Policy* 

-Targeted  Socio-economic  Research* 

MECU 
(current  prices) 

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; 

- 2 9-

-  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. 

- 3 0-

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; 

5) 

-  31 

-  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. 

third  countries  and 

technological  cooperation  with 

Scientific  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. 
in  both  conception  and 
They  will  be  "bottom-up" 
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. 

- 35  -

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. 

Three fundamental  objectives form  the  basis of  the 

GENERAL  OBJECTIVES: 
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, 
technology),  RACE 
where 

including  ESPRIT 

the  programmes, 

(information 

-  36 

(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 
in  nature,  and  will  emphasise 
demonstration, validation,  and  integration  of  technologies,  specifications  and standards. 
reinforced  by  an  effort  in  longer  term  advanced  research,  especially 
They  will  be 
interdisciplinary  research  addressing  issues  of  relevance  in  several  industrial  areas. 

to  be  precompetitive 

information 

The  new  focus  of  RTD  on  the  generic  technologies  and  applications  essential  to  the 
fundamentally  pan-European 
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. 

together  with 

infrastructure, 

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 
be  facilitated  through  supplier-user  pairs  and 
streamlined  procedures  for  small  projects. 

SMEs  will 

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 

- 3 9-

in  order 

to  achieve 

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, 
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. 
include  increased  capacity,  compactness  and 
Memory  subsystem  development  will 
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 
rapid  prototyping  or  molecular  engineering)  operating  within 
engineering, 
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. 

- 4 4-

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 
integrated  and 
money  and  resources,  environmental  research  needs  a  strongly 
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) 

(c) 

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; 
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. 

- 4 6-

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. 

- 4 7-

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 

- 4 8-

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; 

- 4 9-

-  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. 

5 0-

-  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 
integrating  and  evaluating 
travel  modes,  while 
optimisation  of 
technological  solutions  concerning,  in particular,  traffic  management  and the  design 
of  infrastructure. 

interurban 

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 

-  5 7-

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 
the  first  activity  (evaluation  of  socio 
be  carried  out  within  each  topic  of  RTD  in 
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 
for  dialogue  and  discussion  of  approaches  which  will  lead  to  the 
framework 

-  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. 

- 6 4-

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. 

- 6 7-

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; 

- 6 8-

-  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). 

- 6 9-

(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. 

- 7 0-

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)  O J N oL  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 

-  74 

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 
It  shall  examine  in  particular  whether  the  objectives,  priorities  and  financial 
III. 
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 

-  75 

ANNEX  I 

FRAMEWORK  PROGRAMME  (1994-1998) 
AMOUNT AND  BREAKDOWN 

Nuclear  safety  and  safeguards 

Controlled  thermonuclear  fusion 

MECU 
(Current  prices) 

495 

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. 

-  76 

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 
level  and  can  thus  often  enhance  the  Community's  overall 
Community 
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 

in  the 
Member  States, at Community level  and within other European and international 
cooperation  forums; 

the  research  being  conducted 

-  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. 

- 7 9-

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. 

-  8 0-

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. 

-  81 

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 
the 
concertation  networks:  up 
concertation. 

the  administrative  costs  of 

to  100%  of 

(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  -

1. 

TITLE OF THE  OPERATION 

FINANCIAL  STATEMENT 

Part  1:  Financial  implications 

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. 
DESCRIPTION  OF THE  OPERATION 

Specific  objectives 

4. 

4.1 

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. 

CLASSIFICATION  OF THE  EXPENDITURE  AND  REVENUE 

Non-compulsory  expenditure. 

Differentiated  appropriations. 

Type  of  revenue  involved 

5. 

SI. 

5.2 

5.3 

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. 

- 83 

7. 

7.1 

FINANCIAL IMPACT 

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 

First Activity  (Research, Technological 
Development  and  Demonstration  Programmes) 

Second Activity  (Cooperation  with  Third 
Countries  and  International  Organizations) 

Third  Activity  (Dissemination  and 
Application  of  Results) 

Fourth  Activity  (Stimulation  of the 
Training  and  Mobility  of  Researchers) 

I 

• 

, 

, 

OVERALL AMOUNT 

l 

MECU 
(current  prices) 

1092S 

790 

600 

78S 

• 

. ,. 

13100 

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  * 

MECU 
(current prices) 

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. 

- 8 4-

73 

Indicative schedule 

MECU - current Prices 

YEARS 

Financial 
Perspectives 

Actual 

Amounts 

4th  FP 

4325 
4715 
5078 
5450 
5852 

1994 
1995 
1996 
1997 
1998 

Total 
1994-1998 

pm 
2928 
3153 
3384 
3635 

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. 

OBJECTIVES 

Part 2  : Basis  for cost/effectiveness  analysis 

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). 

- 8 6-

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 

- 8 7-

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). 

- 8 8-

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. 

- 89 

PROPOSED TIMETABLE1 

Plenary  debate on the Parliament's own  initiative  report 

June  1993 

Transmission  of  the proposal  of  the  Commission  for the 
Fourth framework  programme to the Council  and Parliament 

June  1993 

Preliminary  political  agreement on the main lines  in the Council 

June  1993 

Official  submission to the Parliament and 
Economic  and Social  Committee  by the  Council 

plenary  session  in July  1993 

Examination  of  the proposal  in Parliamentary  committee 

September/October  1993 

(Entry  into force  of  the Maastricht Treaty  (?) 

October  1993) 

Adoption  in Parliamentary  Committee  in accordance with the 
provisions  of  the Maastricht Treaty 

November  1993 

Opinion of  the Economic  and Social  Committee 

November  1993 

Adoption  in plenary  by  EP in accordance  with 
the provisions of the Maastricht Treaty 

Adoption of  Common  Position  by the  Council 

November  1993 

December  1993 

Transmission  of  the Common  Position 

plenary  January  1994 

Second reading  (and final  reading ?) 

Adoption of  specific  programmes 

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. 

- 9 0-

ISSN 0254-1475 

COM (93) 276  final 

DOCUMENTS 

EN 

15 

Catalogue number : CB-CO-93-329-EN-C 

ISBN 92-77-57040-7 

Office for Official Publications of the European Communities 

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