Proposal for a COUNCIL DECISION adopting a specific research and development programme to be carried out for the European Community, - on the one hand, by means of direct action (JRC), - and on the other, by means of activities within the framework of a competititive approach and intended for scientific and technical support to Community policies (1995- 98)
Date: 1994-03-30
Institutions: European Commission
Subjects: EU programme, European industrial area, Joint Research Centre, action programme, research and development, technological change

COMMISSION  OF THE EUROPEAN  COMMUNITIES 

COM(94)68 final 
Brussels, 30.  03.1994 

94/0079(CNS) 
94/0080(CNS) 
94/0081(CNS) 
94/0082(CNS) 
94/0083(CNS) 
94/0084(CNS) 
94/0085(CNS) 
94/0086(CNS) 
94/0087(CNS) 
94/0088(CNS) 
94/0089(CNS) 
94/0090(CNS) 
94/0091(CNS) 
94/0092(CNS) 
94/0093(CNS) 
94/0094(CNS) 
94/0095(CNS) 

PROPOSALS FOR COUNCIL DECISIONS 

CONCERNING THE SPECIFIC PROGRAMMES  IMPLEMENTING  THE 

S 

*S5iT 

FOURTH EUROPEAN COMMUNITY FRAMEWORK 

PROGRAMME FOR 

RESEARCH,  TECHNOLOGICAL DEVELOPMENT AND 

DEMONSTRATION  ACTIVITIES 

(1994-1998) 

(submitted by the 

Commission) 

EXPLANATORY  MEMORANDUM 

This  document  is being  submitted  in order  to present  the  proposals  for  Council  Decisions 
concerning  the specific  programmes  implementing  the  1994-98  framework  programme. 
The  proposals  are  based  on  the  scientific  and  technical  content  of  the  specific  programmes 
set  out  in the  Commission  working  document  COM(93)459 final of  6  October  1993. 
They  also  take account  of  the constructive  comments  made concerning  the  working 
document  and  new  factors  emerging  during  the decision-making  process  in  relation  to  the 
framework  programme. 

In drawing  up  the specific  programmes,  account  was  also  taken  of  the guidelines  set  out 
in  the  White  Paper  on growth,  competitiveness  and  employment  (COM(93)700 final  of 
5  December  1993). 

For  reasons  of  consistency  and  transparency,  the  proposals  are  being  submitted  in a  single 
document  containing  all  the proposed  specific  programmes  under  the  framework 
programme  as  set out  in the table  of contents.  However,  this does  not  rule out  the 
possibility  of  each  proposal  being  discussed  separately. 

Another  document  is also  being  submited  concerning  the  proposals  for  Council  Decisions 
concerning  the  specific  programmes  implementing  the  framework  programme  for 
Community  research  and  training  activities  for  the  European  Atomic  Energy  Community 
(1994-98). 

yf& 

TABLE  OF  CONTENTS 

PROPOSALS  FOR  COUNCIL  DECISIONS  CONCERNING  THE  SPECIFIC  PROGRAMMES 
IMPLEMENTING  THE  FOURTH  EUROPEAN  COMMUNITY  FRAMEWORK 
PROGRAMME  FOR  RESEARCH,  TECHNOLOGICAL  DEVELOPMENT  AND 
DEMONSTRATION  ACTIVITIES  (1994-98) 

FIRST  AREA  OF  ACTIVITY 

Information  and communications  technologies 

1. 
2. 

3. 

Telematics 
Communications  technologies 

Information  technologies 

Industrial  technologies 

4. 
5. 
Environment 

Industrial  technologies  and  materials  technologies 
Standardization,  measurement  and  testing 

6. 

7. 

Environment  and  climate 

Marine  sciences  and  technologies 

Life  sciences  and  technologies 

8. 
9. 
10. 

11. 
12. 
13. 

Biotechnology 
Biomedicine  and  health 
Agriculture  and  fisheries  (including  agro-industry, 
food  technologies,  forestry, 
aquaculture  and  rural  development) 

Non-nuclear  energy 
Transport 
Targeted  socio-economic  research 

SECOND  AREA  OF  ACTIVITY 

14. 

Cooperation  with  third  countries  and  international 
organizations 

THIRD  AREA  OF  ACTIVITY 

15. 

Dissemination  and  exploitation  of  results 

FOURTH  AREA  OF  ACTIVITY 

16. 

17. 

Stimulation  of  the  training  and  mobility  of 
researchers 

Activities  to  be carried  out  by  means  of  direct  action  (JRC)  and 
by  means  of  activities  within  the  framework  of  a  compétitive 
approach  and  intended  for scientific  and  technical  support 
to  Community  policies  (1995-98) 

94/0079(CNS) 
94/0080(CNS) 
94/008KCNS) 

94/0082(CNS) 
94/0083(CNS) 

94/0084(CNS) 
94/0085(CNS) 

94/0086(CNS) 
94/0087(CNS) 

94/0088(CNS) 

94/0089(CNS) 
94/0090(CNS) 
94/009KCNS) 

94/0092(CNS) 

94/0093(CNS) 

94/0094(CNS) 

94/0095(CNS) 

Proposal  for a 

COUNCIL DECISION 

94/0079(CNS) 

on a Specific  Programme of  research 

and  technological development and  demonstration 

in the area 

of telematics applications of common  interest 

(1994-1998) 

Ac 

TAULE OF  CONTENTS 

Proposal  for  a Council  Decision 

Annex  I 
Scientific  and  technical  objectives  and content 

Annex  II 
Indicative  breakdown  of  the amount 

Annex  III 
Implementation  procedures 

Financial  Statement 

Page 

10 

36 

37 

40 

PROPOSAL FOR A COUNCIL DECISION 

of 

on a Specific  Programme of  research and  technological  development  and 
demonstration  in the  area  of  telcmatic applications  of  common  interest 

THE COUNCIL OF THE EUROPEAN UNION 

Having  regard  to  the Treaty  establishing  the  European  Community,  and  in  particular 
Article  130 i,  (4), 

Having regard to the Proposal  from  the Commission1, 

Having  regard to the opinion  of  the European  Parliament2, 

Having  regard to the Opinion  of  the Economic and Social  Committee3, 

Whereas,  by  Decision  94/../EC4,  the  Council  and  Parliament  have  adopted  a  fourth 
Framework  Programme  for  Community  actions  of  research,  technology  development 
and  demonstration  (Referred  to  after  as  RTD)  for  the  period  1994-1998  specifying 
inter alia  the activities  to  be  pursued  in  the area of  telematic  applications  of  common 
interest,  and that the present  Decision  is taken in the light of  the grounds set out  in the 
preamble to that Decision; 

Whereas  Article  130i  (3),  stipulates  that  the  Framework  programme  shall  be 
implementated  through  Specific  programmes  developed  within  each  activity  of  the 
the 
Framework  Programme; 
implementation  procedures,  fix  its  duration  and  foresee  the  amounts  estimated  as 
necessary; 

that  each  Specific  Programme 

specify 

shall 

Whereas  the  present  programme  is  implemented  principally  through  the  means  of 
cost-shared  actions,  concerted  actions,  and  preparatory,  accompanying  and  supporting 
measures; 

Whereas,  in  accordance  with  Article  130i  (3),  an  estimate  should  be  made  of  the 
financial  resources  needed  to  carry  out  this  Specific  Programme;  whereas  the  final 
amounts  will  be  decided  upon  by  the  budgetary  authority  in  accordance  with  the 
relative  priority  assigned  to  the  areas  covered  by  this  programme  within  activity  I 
under the fourth  Framework  Programme; 

1 
2 
3 
4 

O.J.  No. 
of  p 
O.J.  No.  ot  p 
O.J.  No.  ot  p 
O.J.  No.  of  p 

Whereas  the  Decision  94/../EC  (4th  framework  programme)  foresees  that  the 
overall  maximum  amount  for  the  4th  framework  programme  will  be  re-examined  at 
the  latest  by  30th  June  1996  in  the  perspective  of  re-inforcement;  that  as  a 
consequence  of  this  re-examination,  the  amount  estimated  as  necessary  for  the 
execution  of  the present programme could be increased; 

Whereas  the  present  programme  can  contribute  significantly  to  the  re-launching  of 
growth,  to  the  re-inforcement  of  competitiveness  and  to  the  development  of 
employment  in  the  Community,  as  indicated  in  the  White  Paper  on  "growth, 
competitiveness and employment";5 

Whereas  the European  Council  of  Brussels on  10-11  December  1993  has decided,  on 
the  basis  of  the  White  Paper  on  "growth,  competitiveness  and  employment",  to 
implement  an  action  plan  consisting  of  concrete  measures  at  both  Union  and  the 
Member  States  level,  notably  with  respect  to  information  infrastructures  and  new 
telematics applications; 

Whereas  the  development  and  introduction  of  new  generations  of  telematics  systems 
and services  is essential  to the implementation  of  Community  policies,  in particular  to 
the  consolidation  of  the  internal  market,  to  the  efficiency  of  cooperation  among 
researchers in Europe and to increased competitiveness of  European industry; 

Whereas  telematics  applications  shall  contribute  to  improving  the  quality  and  the 
economic  efficiency  of  services  of  public  interest,  the  access  to  knowledge  sources 
and the conditions of  life  of citizens;  they shall  stimulate  the creation and exchange  of 
electronic  information  in all languages of  the European Union; 

Whereas  it  is  essential  to  involve  users  in  all  phases  of  RTD  projects  so  they  can 
express their needs and be trained  in using the results; 

Whereas  the  content  of  the  Fourth  Framework  Programme  of  Community  RTD 
actions  has  been  defined  in  conformity  with  the  principle  of  subsidiarity;  that  the 
present  Specific  Programme  defines  the  content  of  the  actions  to  be  undertaken  in 
conformity  with  this  principle  in  the  area  of  telematics  applications  of  common 
interest; 

(4th  framework  programme) 

foresees  that 
Whereas  the  Decision  94/../EC 
Community  action  is justified  if,  amonst other  things,  the  research  contributes  to  the 
reinforcement  of  economic  and  social  cohesion  of  the  Community  and  to  its 
harmonious  overall  development  while  at  the  same  time  respecting  the  objective  of 
scientific  and  technical  excellence;  that  the  present  programme  is  designed  to 
contribute to the realisation of these objectives; 

COM(93) 700  final,  ot  5.12.93. 

Whereas  the  present  Program me  and  its  implementation  will  contribute  to  the 
reinforcement  of  synergies  between  the  RTD  actions  in  the  area  of  telematics 
applications  of  common  interest  carried  out  by  research  centres,  universities  and 
enterprises,  in  particular  small  and  medium-sized  enterprises,  established  in  the 
Member States and betwwen  these and corresponding  Community actions; 

Whereas  the  rules  on  participation  for  undertakings,  research  centres  (including  the 
JRC) and universities,  and the  rules applicable  to  the dissemination  of  research  results 
which are set out  in the  measures  forseen  by  Article  130j, apply; 

Whereas,  in  the  implementation  of  the  present  Programme,  and  in  addition  to  the 
association  with  Countries  covered  by  the  European  Economic  Area  agreement, 
international  cooperation  actions,  consistent  with  Article  130m,  are  also  appropriate 
with other third countries and international  organisations; 

Whereas  the  implementation  of  the  present  Programme  will  involve  actions  for  the 
dissemination  and  exploitation  of  RTD  results,  in  particular  towards  small  and 
medium-sized  enterprises  notably  in  the  Member  States  and  regions  which  participate 
least  in  the  programme,  as  well  as  actions  to  stimulate  the  mobility  and  training  of 
researchers,  developed  within  the  present  Programme  and  in  line  with  its  effective 
implementation; 

Whereas  in  the  implementation  of  the  present  programme,  it  is  necessary  to  foresee 
measures  to encourage  the  participation  of  SMEs,  notably  by  technology  stimulation 
measures; 

Whereas  it is necessary  to carry  out an evaluation  of  the economic  and social  impact, 
and of  the technological  risks, of  the actions carried out in the present programme; 

Whereas  it  is  necessary,  on  the one  hand,  to  examine  in  a  systematic  and  continuous 
way  the  state  of  implementation  of  the  present  Programme  in  order  to  adapt  it,  as 
necessary,  to scientific  and technological  changes  in this area; and that it is necessary, 
on the other  hand,  to  have carried  out  at appropriate  times  an  independent  evaluation 
of  the state of  implementation  of  the  Programme  in  order  to  provide  all  the  elements 
necessary  for  determination  of  the  objectives  of  the  fifth  Framework  Programme  of 
RTD; that it is  necessary  at the end  of  this  programme  to carry  out  a final  evaluation 
of  results with respect to the objectives defined  in this Decision; 

Whereas  the  JRC  may  participate 
programme; 

in  indirect  actions  covered  by  the  present 

Whereas  the  Scientific  and  Technical  Research  Committee  (CREST)  has  been 
consulted, 

HAS  ADOPTED  THIS  DECISION 

Article J 

A Specific  programme  of  research,  technology  development  and demonstration  in the 
area  of  telematics  applications  of  common  interest,  as  defined  in  Annex  I,  is  hereby 
adopted  for  a  period  beginning  on  (date of  adoption  of  the present  programme)\994, 
and ending  on 31st  December  1998. 

Article  2 

1.  The  amount  deemed  necessary  for  carrying  out  the  programme  is  ECU  843 

million,  including  10.3% for staff and administrative expenditure. 

2.  An indicative breakdown of this amount is given  in Annex II. 

3.  The  amount  deemed  necessary  for  carrying  out  the  programme,  as  indicated 
above,  could  increase  as a  result  of  and  in  accordance  with  the  Decision  referred 
to in  Article  1(3) of  Decision 94/../EC  (4th  framework  programme) 

4.  The  budgetary  authority  shall determine  the appropriations available for each year 
in  the  light  of  the  scientific  and  technological  priorities  fixed  by  the  Fourth 
Framework  Programme. 

Article  3 

Detailed  rules  for  implementing  this  programme,  in  addition  to  those  referred  to  in 
Article 5,  are set out in  Annex III. 

Article  4 

The  Commission  shall  continually  and  systematically  monitor,  with  appropriate 
assistance  from  independent,  external  experts,  the  progress  within this programme 
in  relation  to  the  objectives  set  out  in  Annex  I.  In  particular,  it  shall  establish 
whether  the objectives,  priorities and  financial  resources  remain appropriate to the 
evolving  situation.  It shall,  as necessary,  submit  proposals  for  the  modification  or 
reinforcement  of  this  Programme as a result of  these examinations. 

the  Decision  on 

2.  In order  to contribute  to an  overall  evaluation  of  Community  activities  foreseen  in 
Article  4.2  of 
the 
Commission  shall  have  an  evaluation  carried  out,  by  independent  experts,  and  at 
an  appropriate  time,  of  the  actions  in  the  areas  directly  covered  by  the  present 
programme,  and  of  their  management  during  the  five  years  preceeding  the 
evaluation. 

the  Fourth  Framework  Programme, 

3.  At  the  end  of  the  present  programme,  the  Commission  shall  have  a  final 
evaluation  carried  out,  by  independent  experts,  of  the  results  of  this  programme 
with  respect  to  the  objectives  defined  in  Annex  III  of  the  Fourth  Framework 
Programme  and  in  Annex  I  of  the  present  Decision.  The  Commission  shall 
communicate  the  report  of  this  evaluation,  together  with  its  observations,  to  the 
Council,  the European  Parliament  and  the  Economic and  Social  Committee. 

Article  5 

A  work  programme  shall  be  drawn  up  by  the  Commission,  in  accordance  with 
the objectives  set  out  in  Annex  I and  shall  be  updated  where  appropriate.  It  shall 
set  out  in  detail  the  scientific  and  technological  objectives  and  specify  the  stages 
in 
financial 
the 
arrangements. 

the  programme  and 

implementation  of 

the  proposed 

The  work  programme  may  also  provide  for  participation  in  certain  activities 
within  the EUREKA  framework. 

The  Commission  shall  establish  Calls  for  proposals  for  projects  on  the basis  of  the 
Work  programme. 

Article  6 

1.  The  Commission  shall be responsible  for  the implementation  of  the programme. 

2.  For  the  cases  specified  in  Article  7(1),  the  Commission  shall  be  assisted  by  a 
Committee  composed  of  representatives  of  the  Member  States  and  chaired  by  the 
representative  of  the  Commission. 

The  Commission  representative  shall  submit  to  the  Committee  a  draft  of  the 
measures  to be  taken.  The  Committee  shall  deliver  its opinion  on  the  draft  within 
a  time  limit  which  the  chairman  may  lay  down  according  to  the  urgency  of  the 
matter.  The  opinion  shall  be  delivered  by  the  majority  provided  for  in  Article 
148(2)  on  the  Treaty  in  the  case  of  decisions  which  the  Council  is  required  to 
adopt  on  a  proposal  from  the  Commission.  The  votes  of  the  Member  States' 
representatives  within  the  Committee  shall  be  weighted  in  the  manner  set  out  in 
that  Article.  The  Chairman  shall  not vote. 

The  Commission  shall  adopt  the  measures envisaged  where  they  are  in  accordance 
with  the opinion  of  the Committee. 

If  the  measures  envisaged  are  not  in accordance  with  the  Committee's  opinion,  or 
if  no  opinion  is  delivered,  the  Commission  shall  without  delay  submit  to  the 
Council  a  proposal  relating  to  the  measures  to  be  taken.  The  Council  shall  act  by 
qualified  majority. 

If  on  expiry  of  a  period  of  one  month  from  referral  of  the  matter  to  the  Council, 
the 
the  latter  has  not  acted, 
Commission. 

the  proposed  measures  shall  be  adopted  by 

1.  The procedure  laid  down  in Article 6 shall apply  to: 

Article  7 

- 

- 

- 

- 

the  preparation  and  updating  of  the  work  programme  referred  to  in  Article  5, 
paragraph  1; 

the  evaluation  of  RTD  projects  proposed  for  Community  funding,  and  the 
estimated  amount of  this  funding  where that amount exceeds ECU  2  million; 

the  measures  to be undertaken  to evaluate the  Programme; 

any  departure  from  the indicative breakdown  of  the amount  set out  in  Annex  II 
which  has not been  the subject  of a budgetary  decision. 

2.  The  Commission  shall  inform  the Committee,  at  each  of  its  meetings,  of  progress 

with  the implementation  of  the programme as a  whole. 

Article 8 

The  Commission  is  authorised  to  negotiate,  in  accordance  with  Article  228(1), 
international  agreements  with  European  third  countries  with  a  view  to  involving  them 
in all  or  part  of  the programme. 

This  Decision  is addressed  to the  Member  States. 

Article  9 

Done at  Brussels, 

For the  Council 

The President 

ANNEX  I 

SCIENTIFIC  AND TECHNICAL  OBJECTIVES  AND  CONTENT 

The  present  Specific  Programme  fully 
the  Fourth 
Framework  Programme,  applies  the  selection  criteria  cited  and  specifies  its  scientific 
and  technological  objectives. 

the  orientations  of 

reflects 

Section  l.A  of  Annex  III,  on  the  first  Action  of  this  Framework  Programme,  is  an 
integral  part  of the present  programme. 

Introduction 

The  new  focus  of  RTD  in  the  specific  programme  on  telematics  applications  is  the 
emerging  information  and communications  infrastructure,  which  will  provide  the basis 
of  the information  society  of  the  future.  The  RTD  areas  proposed  are  those  most  vital 
to  the  development  of  the  infrastructure,  taking  into  account  the  need  for  selectivity 
and  concentration  of  effort,  and  with  the  objective  of  improving  the  competitiveness 
of all  industry  and  the employment  situation  in  the European  Union,  and  of  enhancing 
the quality  of  life. 

Information  and  communication 
technologies  (ICT)  are  rapidly  and  continually 
developing.  They  can  be  used  in  often  complex  set-ups  to  offer  all  sorts  of  users, 
particularly  those  in  public  services  and  private  individuals,  new  ranges  of  products 
and  services  to  meet  basic  economic  and  social  needs.  The  term  "telematics 
applications"  is  used  to  refer  to all  the  systems  (hardware  and  software)  and  services 
(distance  training,  teleworking,  telemedicine,  remote  management  of  road  or  air 
traffic  etc.)  which  use combinations of these  technologies. 

Research  and  technological  development  (RTD)  in  telematics  applications  makes  it 
possible  to  establish  a  link  between  progress  in  ICT  and  user  needs.  It  also  enables 
telematics  systems  and  services  to  develop  in  parallel  with  technological  progress, 
making  them  easier  to  use.  The  impact  of  research  of  this  kind  is  considerable, 
provided  that  the  telematics  solutions  developed  are  well  suited  to  user  requirements 
and  that account  is taken  of the need  for  European-level  interworking. 

introduction  of  telematics  throughout  Europe  could 

The  successful 
lead  to  an 
improvement  in the quality  of  life and  working conditions,  better organisation  of  work 
within  businesses  and  administrations,  a  new  impetus  to  economic  growth  which  will 
boost  employment  -  being  based  on  new  products  and  services  -  consolidation  of  the 
internal  market  and  the  strengthening  of  the  economic  and  social  cohesion  of  the 
European  Union. 

10 

In addition,  by drawing on  the  results  of  other  ICT  research  programmes,  Community 
RTD on  new  telematics applications  of common  interest  (TELEMATICS  Programme) 
will also  help to capitalise  upon  the  financial  investments  already  made  in  programmes 
such as  ESPRIT or  RACE. 

Finally,  the  European  Council  of  Brussels,  10-11  December  1993,  emphasized  the 
importance  of  new  telematics  applications  for  investment  and  employment,  in  the 
areas of  teleworking  and  teleservices  for  education  and  training,  for  health  care  or  for 
transport,  on  the basis of  the  "White  Paper  on  the  medium-term  strategy  for  growth, 
competitiveness and  employment". 

I THE  CONTEXT 

The  TELEMATICS  Programme  has  two  aims.  One  is  to  further  promote  the 
competitiveness  of  European  industry  and  to  stimulate  job  creation  through  the 
development  of  new  telematics  systems  and  services  in  such  areas  as  telework  and 
teleservices.  The  other,  which  is  a  new  feature  contained  in  the  Treaty  on  European 
Union,  is to promote research  activities  necessary  for  other  common  policies.  In  view 
of  the  user-oriented  nature  of  the  programme,  the  latter  aim  will  also  be  given 
priority. 

The  RTD  will  be  based  on  the  experience  gained  under  the  Third  Framework 
Programme  but  will  be  directed  in  three  new  ways.  Firstly,  the  emphasis  will  shift 
from  data  telematics  to the  new  "multimedia  telematics",  which  covers  all  distributed 
and  interactive  multimedia  applications.  Secondly,  more  importance  will  be  attached 
to  user  requirements.  Finally,  particular  attention  will  be  put  on  finding  affordable 
solutions.  These  three  new  guidelines  will  not  only  apply  to  the  programme  as  a 
whole but also to individual  projects. 

As a  rule,  each  project  should  be  implemented  in  five  phases,  with  close  involvement 
of  the concerned  users at every  stage. 

First,  priority  will be given  to identifying  specific  user  needs,  either  latent  or  explicit. 
The  users  comprise  a  very  wide  range  of  bodies,  for  example  administrations  or 
businesses  which  need  to  make  use  of  teleworking,  and  several  categories  of 
individuals,  such  as  researchers,  librarians,  members  of  the  medical  profession,  air-
traffic  controllers  or  handicapped  persons  who  need  to  use  networked  multimedia 
workstations. 

Secondly,  translating  these  needs  into  telematics  terms  will  lead  to  the definition  of  a 
set  of  functional  specifications  based  on  the  common  requirements  of  the  users 
concerned, 
security  and  confidentiality.  These 
specifications  will  also  have  to  ensure  that  the  telematics  equipment  and  services  can 
inter-work at a  European  level. 

issue  of  data 

including 

the 

11 

Thirdly,  the  specifications  will  be  used  as  a  basis  for  pre-competitive,  pre-normative 
and  pre-legislative demonstrators,  following  RTD  work  which  seeks  to  integrate  four 
elements. 

The first three elements  are  generic:  generic  networks  (e.g.,  high-capacity  optical 
(multimedia 
fibre  or  satellite  communications  networks),  generic  equipment 
workstations,  portable  data  storage  and  processing  devices  etc.),  and  generic  services 
(e.g.  multimedia  electronic  mail,  remote  access  to data  or  knowledge,  possibilities  for 
interactive  simulation  and  virtual  environments). 

The  fourth  family  of  elements  will  cover  specific  hardware  and  software.  These 
will  be  the  object  of  specific  research  by  the  individual  project  so  that  the  resulting 
application  closely  meets  user  requirements.  However, 
in  order  to  ensure  the 
economic  efficiency  of  this  systems  integration,  maximum  use  must  be  made  of  the 
generic  elements  resulting  from  other  research  programmes  -  particularly  RACE  and 
ESPRIT.  In  this  way,  there  will  be  close  interaction  between  the  first  three  specific 
programmes  of  the  framework  programme  (1994-1998).  In  addition,  close  links  will 
be established  with  public  and  private  telecommunications  network  operators,  service 
providers,  and  the electronics and  computer  industries. 

Fourthly,  the  demonstrators  developed  in  this  way  will  be  validated  in  working 
situations  by  user  groups.  Involvement  of 
the  appropriate  public  and  private 
institutions  will  be  even  wider  than  in  previous  programmes,  to  help  the  subsequent 
dissemination  of  the  new  telematics  applications.  These  validation  tests  could  include 
iterations,  whether  to  review  the  functional  specifications  previously  adopted  or  to 
complete other  RTD  work  on  specific  components,  and  even  to  make use of  the other 
ICT research  programmes  further  upstream. 

Finally,  after  this  feedback  process,  the  applications  which  are  successfully  validated 
will  be  accompanied  by  a  plan  for 
the  results  obtained, 
recommendations  to standards  institutes  and  to  legislators,  and  a  reference manual  for 
their  successful  implementation. 

the  exploitation  of 

The  RTD  work  carried  out  in  the  projects  will  have  to  anticipate,  as  fully  as  possible, 
the  usage  requirements  of  handicapped  and  elderly  people,  who  represent  about  one-
quarter  of  the  European  Union's  population.  To  this  end,  RTD  work  will  need  to 
ensure  that  the  applications  developed  can  be  upgraded  so  as  to  address,  in  the  most 
cost-effective  way,  the needs of  these categories  of  users. 

Guidelines  for  the management  of  the overall TELEMATICS  Programme 

The  management  of  the  programme  as  a  whole  will  endeavour  to ensure  that  research 
will  take  better  account  of  user  requirements  and  aim  to  achieve  greater  economic 
efficiency.  This will  particularly  involve  avoiding  costly  duplication  of  effort  between 
projects  and  ensuring  that  similar  applications  from  different  RTD  fields  use  a 
maximum  of  common  elements.  Consistency  and  economic  efficiency  will  be  the 
guiding  principles  for  a  specific  programme  of  research  on  telematics  which  covers 
many  sectors. 

12 

During  the  Third  Framework  Programme  the  approach  taken  was  largely  empirical. 
In all  the sectors covered,  frequent  meetings  between  people working  in the same area 
but on  different  projects  {vertical  "concertation")  stimulated  exchange  of  information, 
and aimed  to avoid  wasteful  duplication  of  effort  in  the development  of  demonstration 
projects.  In  addition,  the  exchange  of  experience  at  the  validation  stage  between 
projects  and  representative  user  groups,  made  it  easier  to  formulate  practical 
recommendations  on  how organisations  could  themselves  introduce  the new  telematics 
applications. 

This  pragmatic  approach  will  be  continued  and  improved.Inter-disciplinary  or 
"horizontal"  meetings  will  be organised.  These  will  bring  together people  working on 
projects  in  a  variety  of  sectors  but  dealing  with  similar  subjects,  such  as  the 
development  of  tele-working  (for  researchers,  doctors  or  officials  in  either  a  rural or 
urban context),  human-machine  interfaces and ergonomie aspects,  or the improvement 
of  trans-European  telematics  networks  and  services  (where  the  users  may  be 
researchers,  administrations,  organ banks or air traffic  controllers). 

In  addition,  this  empirical  approach  will  be  backed  up  by  research  on  telematics 
engineering  as part of  the horizontal  RTD work  under the programme. 

Finally,  particular  attention  will  be  given  to  the  co-ordination  of  this  Community 
research action  with similar activities at both  national  and European  levels  (EUREKA, 
ES A,  Eurocontrol etc.). 

In  conclusion,  by  promoting  the  development  of  telematics  systems  and  services 
which  are  well  suited  to  user  needs  and  that  are  technically  and  economically 
efficient,  the  TELEMATICS  programme  will  help  strengthen  the  competitiveness  of 
the  European  economy.  It  will  also  stimulate  the  investment  necessary  to  provide 
Europe  with  an  effective 
infrastructure  -  or 
"infostructure"  - and help ensure that this investment  bears fruit. 

information  and  communication 

The  activities  will  concern  nine  vertical  application  sectors  regrouped  around  three 
major areas: 

telematics  for  improving  employment  and  the  quality  of  life:  urban and rural 
areas, elderly or disabled  people,  environmental  protection; 

telematics  for  knowledge:  researchers,  libraries,  education and training; 

telematics 
for 
administrations. 

services  of  public 

interest: 

transport,  health  care, 

A  fourth  area  will  address  three  RTD  activities  of  an  horizontal  nature:  telematics 
engineering,  information  engineering,  and  language  engineering,  which  will  support 
and reinforce  the sectoral  activities. 

13 

This  set  of  activities  will  be  complemented  by  a  series  of  accompanying  measures  on 
international  co-operation,  the dissemination  of  results  and  the  training  of  researchers 
and  users. 

Measures  for 
implemented  to encourage and  facilitate  the participation  of  SMEs. 

technology  use  stimulation,  based  on  feasibility  grants,  will  be 

II  RESEARCH  AREAS 

AREA  1 - TELEMATICS  FOR  SERVICES  OF  PUBLIC  INTEREST 

The  European  infostructure  can  also  contribute  to  the  smooth  running  of  the  internal 
market  and  to  meeting  the  new  obligations  resulting  from  the  Treaty  on  European 
Union.  This  will  require  new  telematics  services.  Research  will  concentrate  on  three 
fields  of  major  political,  economic  and  social  importance,  i.e.  the  administrations, 
health  care  and  transport.  It  will  be  based  on  previous  Community  activities  in  these 
fields.' 

Administrations 

under 

programme 

the  TNA/IDA 

Systems  for  processing  and  exchange  of  information  between  administrations  will  be 
implemented 
for 
Administration/Interchange  of Data between Administrations).  A  set of  guidelines  has 
been  drawn  up  for  telematics  networks  for  administrations  (TNA)  and  will  be  used  as 
a  basis  for  feasibility  studies  and  pilot  projects  as  part  of  the  IDA  multiannual 
Community  action.  As  a  consequence,  research,  development  and  demonstration 
activities  will  need  to be carried  out  upstream  to support  the TNA/IDA  programme in 
order  to  ensure  that  technological  advances  in  the  area  of  multimedia  telematics  can 
subsequently  be made available  for  use by  administrations. 

(Telematics  Network 

Aim 

the  economics  and  efficiency  of  public  services  at  a  European 

The  aim  is  to  enable  the  implementation  by  administrations  of  the  relevant  results  of 
telematics  research  as they  become available,  thus bringing  about  a  swift  improvement 
in 
level. 
Administrations  will  be  able  to  introduce  new  telematics  systems  and  services,  while 
rationalising  existing  infrastructures  and capitalising on  investments already  made with 
a  view  to  improving  the  public  service.  These  RTD  actions  will  equally  promote  and 
define  open  standards,  which  can  be  used  in  specifications  for  procurement  contracts 
in connection  with telematics applications. 

14 

Nature of the work 

Two  aspects  will  be  covered.  The  first  will  involve  the  development  of  telematics 
applications  facilitating  the  exchange  of  information  between  administrations.  This 
work  will  make  the  new  technologies  available  for  use  by  the  administrations  which 
have become vital  for  the operation  of the single  market and  the implementation  of  the 
Treaty  on  European  Union.  It could  concern  subjects  such  as  image  transfer  (e.g.  the 
rapid  update  of  hydrographical  or  geographical  maps  required  for  the  remote 
management  of  sea  and  road  traffic),  the  use  of  multimedia  and  videoconferencing 
systems  between  administrations 
teleworking  between  national  and 
Community  administrations  and  thus avoiding  translation  and  interpretation  resources 
the  development  of  multimedia 
becoming  over  concentrated 
information  servers for  public  procurement  and  regulations. 

in  Brussels),  or 

(e.g. 

for 

Secondly,  great  importance  will  also be attached  to the  methodology  for  implementing 
telematics  applications.  In order  to ensure a  maximum  level  of  efficiency  and  security 
in  the  links  between  administrations,  research  will  take  account  of  previous  work  on 
security  within  public telematics  networks (notably  with  respect  to financial,  economic 
and  social  statistics),  on  language  differences,  on  the  use of  electronic  signatures  and 
on  the  legal  implications  of  data  transfer  between  countries.  The  work  must  also 
involve  the  development  of  appropriate  tools  and  methods  for  analysing  the  quality 
and  performance  of  the services offered  to administrations. 

Validation tests and pilot  projects 

telematics  services,  which  will  be  made  available  to 

In  order  to  help  administrations  introduce  new  telematics  systems  rapidly  and,  where 
appropriate,  adapt  their  internal  structures  accordingly,  the  validation  tests  will  be 
based  on  advanced 
the 
administrations  as the need  arises.  Businesses  in the computer  and  telecommunications 
sector  and  the administrations  concerned  will  be  closely  and  actively  involved  in  this 
work.  By  making  a direct  contribution  to  the  validation  of  the  solutions  envisaged  by 
the  programme,  they  will  help  clear  the  way  for  swift  dissemination  of  the  results 
obtained  within  the  administrations  and  the  subsequent  adoption  of  technological 
advances. 

Health  care 

There  are  two  challenges  facing  the  public  health  systems  in  Europe.  On  the  one 
hand,  operating  costs  need  to  be  reduced  while at  the  same  time  all  citizens  must  be 
offered  equal  and  guaranteed  access  to  health  care  at  any  place  and  at  any  time.  On 
the other  hand,  the  medical  professions  need  to  take  account  of  the  rapid  advances  in 
knowledge  and  the  increasing  complexity  of  their  tasks.  Work  under  the  Third 
Framework  Programme  has  shown  that  telematics  could  help  them  meet  these 
challenges. 

15 

Aim 

The  aim  of  this  action  is  to  continue  the  research  in  this  area,  enabling  the  entire 
health  sector  to  benefit  from  access  to  telematics  services  at  European  level.  The 
action  will  encourage  the  introduction  of  new  applications  based  on  the  whole  range 
of  both  available  and  emerging  technologies,  with  emphasis  on  multimedia  tools. 
Particular  attention  will  be  paid  to  the  relevance,  quality,  confidentiality,  consistency 
and  security  of  medical  data.  There  will  be  close  co-ordination  with  the  specific 
programme  of  research  on  bio-medicine and  health  and  with  Community  activities  on 
public  health,  particularly  the  "Europe  against  Cancer"  and  "Europe  against  AIDS" 
programmes. 

Nature  of the work 

the  "medical 

image"  component, 

Four  fields  will  be  covered.  The  first  area  concerns  multimedia  medical  records  of 
its  computerisation  and 
patients,  particularly 
transmission,  in  a  structured  and  standardised  form,  between  the  various  health-care 
institutions and  centres concerned  (hospitals,  specialists,  general  practitioners,  medical 
analysis  laboratories,  social  security  services  etc.).  The  definition,  at  a  European 
level,  of  a portable and  standardised  medical  record  which comprises both data as well 
as  images  will  also  be  covered  through  concertation  between  the  actors  involved  and 
potential  users.  In this way,  the work will contribute to the establishment  of a  uniform 
and  reliable  health  system  for  the  entire  population  as  much  at  a  local  and  regional 
level as at a  national or  European  level. 

Secondly,  work  will  concern  increasing  the  resources  available  to  the  medical 
professions  for  diagnosis  and  treatment  and  improving  health  service  management 
through  the development  of  telematics applications.  In this  way,  medical  professionals 
will  be  able  to  communicate  and  exchange  information  concerning  a  patient  or  to 
consult  a colleague.  The  RTD  work  will  be aimed  on  the  one  hand  at automating  and 
screening  certain  diagnostic  or  detection  procedures,  the  results  of  which  can  be 
directly  communicated,  with  comments,  via  the telematics  networks  and,  on  the  other 
hand,  at  integrating  the  hospitals'  information  systems,  diagnostic  equipment,  expert 
systems  and  specialised  systems  for  transmission  of  medical  images.  The  equipment 
will  be  interoperable,  compatible  and  modular,  and  emphasis  will  be  placed  on  an 
open  systems  architecture, 
transferability  of  data  and  harmonised  methods  of 
connection  to the telematics  networks. 

The  rapid  progress  made  in  interactive  simulation  and  virtual  environments  will 
also  be  used  in  order  to  develop  "virtual  organs"  for  training  surgeons  or  preparing 
for  operations.  For example,  the development  of a prototype  virtual  brain  could  make 
a  significant  contribution  to  the  international  efforts  being  undertaken  during  the 
"decade  of  the  brain".  Research  will  also  cover  remote  medical  assistance  for 
surgeons  by  means of virtual environment  technology  ("telepresence"). 

16 

Finally, 

telematics  applications  will  also  be  developed 

the 
management  of  medical  resources,  quality  control  for  health  care,  processing  and 
communication  of  epidemiological  data  and  the  implementation  of  monitoring  and 
early-warning  programmes. 

facilitate 

to 

Thirdly,  the  RTD  work  will  cover  telemedicine  with  a  view  to  providing  isolated 
patients  with  an  adequate  level  of  care  and  to  permit  remote  consultation  between 
doctors  on  difficult  cases.  New  telematics  services,  based  on  interactive  multimedia 
communication,  will  make  the  diagnostic  and  therapeutic  competency  of  appropriate 
centres  available  to  patients  in  peripheral  areas  or  at  sea.  This  will  require  the 
development  of  telematics  applications  guaranteeing  total  security  in  the  exchange  of 
biological  signals  and  animated  images  via  broad-band  land  networks  or  satellites.  It 
should  also be possible to carry  out  remote diagnosis  e.g.  the interpretation  of  medical 
examinations,  or  to  provide  remote  supervision  of  treatment,  such  as  renal  dialysis, 
while  maintaining  total  safety.  These  telematics  applications  will  also be  extended  and 
adapted  Tfor  monitoring  patients  at  home  or  the  victims  of  serious  accidents  at  the 
actual  site of  the catastrophe. 

Finally,  telematics  applications  will  be  developed,  on  the  basis  of  Community 
activities  concerning  the  prevention  of  diseases,  in  order  to  provide  health  workers 
and  citizens  with  appropriate  information  concerning  tried  and  tested  rules  for  the 
prevention  and  identification  of  major  serious diseases. 

Validation tests and pilot  projects 

The  validation  tests  will  be  conducted  in  close  co-operation  with  the  health  care 
sector.  Particular  emphasis  will  be  placed  on  the  integration  of  local  health-care 
actions  into  the  regional,  national  and  trans-European  telematics  systems.  This 
networking  will  primarily 
involve  the  interconnection  of  European  centres  of 
reference  and  excellence. 

Transport 

The Third  Framework  Programme  showed,  via a series of  tests and  pilot  projects,  that 
telematics  systems  and  services  could  help  reduce  road  congestion,  increase  the 
mobility  of  persons  and  goods,  improve  road  safety,  reduce  pollution  and  protect  the 
environment  -  in  other  words  they  could  contribute  towards  achieving  the  general 
objectives  of  the common  transport  policy. 

17 

Aims 

The  TELEMATICS  programme  will  continue  and  consolidate  the  research  on 
telematics  in  road  transport  and  Community  RTD  should  be  extended  to  other  modes 
of  transport,  and  air  transport  in  particular,  in  order  to  better  contribute  to  the 
achievement  of  the  aims  of  the  common  transport  policy,  while  strengthening  the 
competitiveness  of  European  industry.  A  close  co-ordination  will  be  assured  with 
those  research  activities  related  to  transport  which  are  carried  out  in  other  specific 
programmes:  "Industrial  technologies",  "Clean  and  efficient  energy  technologies", 
and  "Transport". 

Nature of the  work 

The  RTD  work  will  cover  the  entire  telematics  set-up  in  the  transport  sector,  from 
data capture and  processing  to transmission  and  reception.  The  RTD  should  ensure an 
industrial  coherence between  all  the different  elements  concerned,  draw-up  compatible 
specifications  and  interfaces  as  well  as  common  recommendations  for  use  which  will 
guarantee  the  interconnection  of  networks  and  the  interoperability  of  equipment  and 
services.  Those aspects  relating  to  the  implementation  of  these  telematics  applications 
will also be taken  into account. 

The  RTD  work  will  pay  particular  attention  in  taking  the  needs  of  users  into  account. 
In  addition,  emphasis  will  be  placed  on  research  on  telematics  tools  common  to 
various  modes  of  transport,  and  on 
telematics 
applications  likely  to  lead  to  significant  progress  as  regards  transport  efficiency  and 
safety.  These  applications  could  call  as  much  on  terrestrial  telematics  networks  as  on 
communications  and  navigation  satellites.  The  effects  of  telematics  applications  on 
travel  patterns  and  transport  demand  will  also  be  examined.  Finally,  transitional 
strategies  will  be devised  for  the  implementation  of  different  generations  of  telematics 
systems. 

the  development  of  advanced 

As  far  as  road  transport  is  concerned,  work  will  address  the  development  and 
integration  of  advanced  telematics  systems  and  services  for  traffic  control,  for  the 
management and operation  of  passenger and  goods  transport,  both  urban  and  intercity. 
It  will  be  necessary  to  have  pilot  and  demonstration  projects  based  on  the  results  of 
the Third  Framework  Programme.  They  will  be  undertaken  in co-operation  with  other 
relevant specific  programmes  and  with  national or  European  programmes. 

Other  actions  will  aim  to  complete  and  improve  tools  for  assisted  driving: 
advanced  communication  and  navigation  equipment  and  services,  systems  for 
enhancing  vision,  tools  for  monitoring  the  behaviour  of  the  vehicle,  driver-alert 
systems  and  collision-avoidance  systems.  The  integration  of  these  elements  should 
provide  a  telematics  solution  for  computer  assisted  motorway  driving  which,  among 
others,  will  particularly  benefit  commercial  vehicles.  Some  of  these  telematics 
applications  may  also  be  adapted  for  urban  traffic.  This  work  will  be  mindful  of  the 
economic constraints. 

18 

The  research  work  will  also cover telematics  applications  which  aim  to  help road 
users (traffic  information  to assist  in the choice of  transport means,  itinerary,  etc.),  to 
increase  the safety  and  security  of  users and  to help  manage demand  on  the transport 
infrastructure. 

These research activities  will  continue to be closely  co-ordinated  with the  specific 
programme  on  "Transport",  with  EUREKA  and  with  related  national  research 
programmes. 

In the  field  of  air  transport,  in  order  to improve  the quality  of  service  offered  to  the 
end-user,  the  emphasis  will  be  on  the  development  of  telematics  applications  to 
establish  a  harmonised  and,  ultimately,  unified  air  traffic  management  system  for 
Europe. 

In  the  first  place, 

telematics  applications  using  satellites  and  advanced 
communications  networks  will  be developed  to  improve  the  location,  monitoring  and 
navigation  of aircraft  and to perfect  in-flight  or ground  anti-collision  systems and aids 
for all-weather landing. 

In  the  second  place,  work  will  contribute  to  the  modernisation  of  existing  air 
traffic  management  systems  by  developing  the  trans-European  telematics  aeronautics 
network  and  easing  the  task  of  air  traffic  controllers  and  pilots  by  means  of 
multimedia  telematics  tools  which  integrate aids  for decision  making.  Recent progress 
on virtual environments  will also be exploited. 

All  these  activities  will  be  co-ordinated  with  existing  work  by  other  specific 
programmes on  transport  research,  by  European  organisations  such as  Eurocontrol  or 
ESA and by national civil  aviation bodies. 

With a view  to extending  the  use of  telematics  tools common  to the various  modes of 
transport and thus reducing  costs,  research  work  will  also cover sea  transport, inland 
waterways and railways.  Work on telematics for railways will cover,  on the one hand, 
a  new generation  of control  and communication  systems  with a view  to increasing  the 
capacity  of  the  infrastructure  and,  on  the other  hand,  passenger  access  to  multimedia 
services. 

As  regards  multimodal  transport,  of  merchandise  and  of  passengers,  new  telematics 
systems  and  services  will  be developed  to improve the  integration  and running  of  the 
transport  systems  as  a  whole,  to  provide  travel  information  and  to  facilitate  the 
optimal  choice  of  transport  modes.  As  far  as  passenger  transport  is  concerned,  the 
emphasis  will  be  placed  on  the  use  of  public  transport  systems.  Telematics 
applications will also be developed  to optimise the use and management of  multimodal 
transport,  which  will  also  require  research  into  means  of  direct  communication  with 
the appropriate administrations. 

Attention  will  be paid  to controlling  the impact of transport on  the environment.  This 
will 
involve  the  development  of  telematics  applications  which  will  allow  the 
implementation  of  strategies  aimed  at  reducing  pollution  produced  by  the  various 
means  of  transport  and  to  minimise  the  risks  resulting  from  the  movement  of 
hazardous substances. 

19 

Finally,  work  is  foreseen  on  activities  to  integrate,  within  the telematics  applications 
themselves,  Geographic  Information  Systems  (GIS),  adapted  to  the  various  modes  of 
transport.  This  will  be  based  on  the  results  of  the  Community  Programme  on  the 
development  of  the  information  market  (IMPACT)  and  will  be  co-ordinated  with 
work  carried  out  under  the  specific  programme  for  "Transport".  In  addition,  before 
the  launch  of  pilot  projects  for  real-life  validation,  it  could  be  useful  to  undertake 
laboratory-based  simulations  with  the aid of  models to be developed  in the  framework 
of  the present  specific programme. 

Validation tests  and pilot projects 

These  actions  will  be conducted  with  the active participation  of  the appropriate  local 
or national  authorities.  They  will  take place in close co-ordination  with the validation 
activities  of  other  specific  programmes  dealing  with  research on  transport.  They  will 
make it possible to verify  the technical  performance,  operation and user acceptance of 
the  resulting  telematics  solutions  for  optimising  air  traffic  control,  the  integrated 
management  of  urban  and  motorway  traffic,  "intelligent"  motorway  driving, 
automatic  control  of  railways  and  the  management  of  maritime  and  multimodal 
transport. 

AREA  2 - TELEMATICS  FOR KNOWLEDGE 

In order  to ease  the transition  towards a new  information  society,  Europe  must equip 
itself  with  an  infostructure  permitting  remote access  to and the  sharing  and continual 
updating of  knowledge.  Research centres,  universities, company training departments, 
libraries  and  publishers  represent  the  main  categories  of  actors  which  both  produce 
and use knowledge.  The research  must contribute to the development of  new methods 
of access,  sharing and up-dating of  knowledge.  The applications will  have to take into 
account  the  needs  of  individuals  as  much as  the  needs of  enterprises,  and the market 
realities.  These  activities  will  be  based  on  previous  Community  action  on  these 
subjects  under the Third  Framework Programme. 

Telematics  for  research 

Research  workers  in  Europe  increasingly  need  efficient  channels  for  exchanging 
information.  They  also  need  remote  access  to  experimental  installations,  scientific 
data banks or high-performance  computers in various parts of  the European  Union or 
in other comers of the globe. 

20 

Aim 

The  aim  is  to  develop  advanced  telematics  applications  which  will  on  the  one  hand 
enable European  researchers to co-operate and work  together  regardless of  where they 
are  in  the  European  Union  and,  on  the  other  hand,  will  facilitate  access  of  users  to 
research  results,  national  or  specialised  networks  already  exist,  but  we  must  now 
enable  them  to  take  advantage  of  the  progress  which  has  been  achieved  in  high-
performance  networks  and,  above  all,  to  interconnect  them  with  high-capacity 
European  links.  This  European  research  infostructure  will  be  one  of  the  most 
important  means  for  co-ordinating  national  RTD  efforts  in  the  European  Union.  In 
addition,  the  results  obtained  will  also  benefit  the  areas  covered  by  the  other 
telematics applications. 

Nature of the work 

Solutions  must be found  to the problems arising  from  the conduct of  complex  research 
experiments,  possibly  between  remote  sites,  and  from  the  use  of  large  computer 
networks  which  have  to  operate  in  an  open  environment,  with  a  range  of  different 
systems and high-capacity communication  services.  The questions to be dealt with  will 
particularly  concern  the  inter-working  of  these  systems,  the  quality  of  services 
available on the networks,  and their  reliability,  availability  and security.  The  research 
will  cover the architecture and protocols  for computer  networks  and the management, 
monitoring  and protection of these networks. Three aspects will be covered. 
the 

improved 
interconnection  of  national  networks  at  European  level,  and particularly  to  increasing 
the  bandwidth  rate  needed  for  applications  proposed  by  network  users.  Over  the 
period  1994  to  1998,  it  should  be  possible  to  increase  this  rate  to  34  megabits  and 
subsequently  to  155  megabits  per  second.  This  type  of  interconnection  is  vital  if 
Community  research  is  to  maintain  its  position  in  the  world;  it  will  also  have  a 
decisive effect  on the future of  European industry. 

Firstly,  particular  attention  will  be  paid 

to  validating 

Secondly,  the  work  will  concern  the  advanced  distributed  multimedia  services 
that support co-operative  research,  as  much academic  as  industrial.  It will  particularly 
involve  the  development  of  telematics  tools  to  permit,  on  the  one  hand,  access  to 
knowledge  on  the  large  scientific  computer  networks  of  the  future  and,  on  the  other 
hand,  co-operative  work  at  a  distance,  particularly  through  remote  monitoring  of 
experiments,  tele-working or video-conferencing  in scientific  circles. 

Finally,  work  will  need  to  address  ways  of  selecting,  searching  and  presenting 
scientific  information  or results of  research  in progress  to  make them easily  accessible 
to those users who wish  to exploit  them,  whilst taking  account of  intellectual  property 
rights. 

21 

Validation tests and pilot projects 

With  its  700,000  scientists  and  engineers,  a  large  proportion  of  whom  work  in  the 
physical  and  natural  sciences,  the  research  community  is  an  ideal  population  of 
telematics  applications.  This  will 
leading-edge  users  for  validating  advanced 
ultimately  be  to  the benefit  of  other  categories  of  users.  Standardisation  activities  will 
also  be  stimulated  through  this  process.  These  validation  tests  will  use  the  national 
broadband  networks and  interconnections at  European  level.  They  will  be of  particular 
in  the  first  action  under  the  Fourth 
benefit 
Framework  Programme  (RTD  on  industrial  technologies, 
life 
sciences and  technologies,  energy,  and  information  and  communication  technologies). 
These activities will be carried  out in close co-ordination  with  initiatives  in other  parts 
of  the  world,  particularly  central  and  eastern  Europe,  so  as  to  strengthen  the  links 
between  scientists in the European  Union and  beyond. 

to  the  user  community  involved 

the  environment, 

Education  and  training 

In  a  world  undergoing  major  changes,  the  education  and  training  systems  must  be 
reformed  in  order  to  make  a  contribution  to  the  competitiveness  of  the  European 
economy.  All  businesses,  particularly  SMEs,  now  face  the challenge  to  continuously 
adapt  the  skills of  their  staff.  At the same time,  an  increasing  number  of  students  and 
employees  - particularly  of the younger,  computer-literate  generations  - are calling  for 
new types of initial and continuing  training  which  is  suitable  for  their  individual  needs 
and  limitations,  and which corresponds to developments  in knowledge and  know-how. 
The  work  carried  out  under  the  Third  Framework  Programme  has  shown  that 
telematics  can  greatly  help  the  universities  and  training  departments  of  businesses  in 
taking  up  the  challenges  facing  them,  including  the  development  of  educational 
software  allowing  for  interactivity. 

Aim 

The  aim  of  this  action  is  to  extend  this  research,  making  use  of  the  continuous 
progress  in  multimedia  communications  via  broad-band  networks  or  satellites,  and 
advances  in  interactive  simulation  or  virtual  environments.  This  would  aim  to  make 
the  services on  offer  more interactive.  It would  facilitate  remote access  to  multimedia 
documents and  services,  and  it would  personalise  education  and  training  programmes. 
There  will  be  close  co-ordination  with  the  new  specific  programme  on  "Targeted 
socio-economic  research"  and  the  fourth  action  in  the  Framework  Programme  on  the 
training  of  researchers,  as  well  as  with  the  other  Community  activities  in  connection 
with education  and training,  including those addressing  more specifically  SMEs. 

22 

Nature of the  work 

Two  fields  will  be covered.  In each  field,  emphasis  will  be placed  on  research  on  low-
cost  telematics  solutions.  Firstly,  following  up  the  work  under  the Third  Framework 
Programme,  work  will  continue  on  developing  and  validating  telematics  services 
using 
the  most  appropriate  combination  of  existing  communication  networks 
(satellites,  ISDN,  interactive  cable  networks).  This  will  be done  following  an  in-depth 
in  a  real  operational 
pedagogic, 
environment,  of  each  type  of  service  and  each  type  of  user  (university  and  college, 
large  industry,  SMEs,  individuals).  This  action  must  see  that  the  European  networks 
of  libraries can  provide access to  large knowledge-bases  for  users of distance training. 

technical  and  economic  study,  carried  out 

Secondly,  a  new  generation  of  telematics  applications  will  be  developed  to  permit 
distance  teaching  and  group  training  by  means  of  video-conferencing,  computer-
assisted  conference  networks  and  multimedia  electronic  message  systems.  These 
applications  will  be particularly  based  on  'telewriting',  group  work  via  networks,  and 
access  to  distributed  course  banks,  multimedia  libraries  and  "virtual  laboratories", 
which permit experiments  to be carried  out  remotely.  This  will  necessitate research  on 
multimedia  telematics applications  for  distance  training  using  broadband  networks  and 
satellites. 

There  will  also  be  work  on  personalised  training  and  new  types  of  learning.  In 
particular,  training  systems  will  need  to  be  integrated  into  individual  workstations  -
either  stand-alone  or  networked  -  for  in  situ  vocational  training.  Methods  for 
designing  personalised  interactive  teaching  programmes  will  also  be  investigated, 
particularly  those  used  for  producing  electronic  books.  This  will  allow  the  student  or 
the trainee a  high degree  of  interactivity  and  enable  him  or  her  to  follow  personalised 
courses.  Attention  will  also  be  given  to  finding  personalised  telematics  methods  for 
the  training  of  researchers  in  Europe.  Importance  will  be  attached  to  language 
teaching,  which  is of  vital  interest  for  Europe,  by  using,  inter  alia,  voice-recognition 
techniques  and  voice  mail.  Finally,  research  will  also  concern  the  new  forms  of 
education  and  training  made possible.by  virtual-environment  techniques. 

Validation tests and pilot  projects 

The  applications  developed  will  be  evaluated  in  a  real-life  situation,  with  particular 
attention  being  given  to  the  technical  feasibility  and  implementation  process,  with 
emphasis  on  user  reactions,  ergonomie  aspects,  pedagogical  efficiency,  economic 
viability  and  the  implications  for  the  organisation  of  education  or  training.  Local, 
regional and  national  authorities  will  be closely  involved  in  these activities. 

23 

These  validation 

tests  will  be  based  on  university  or  professional 

training 
networks aimed  at  specialists,  particularly  researchers  and  engineers,  who  will  receive 
individual  or  group  training,  as  well  as  other  categories  of  potential  users  affected  by 
the  research  of  the  TELEMATICS  Programme,  such  as  librarians  or  doctors. 
Attention  will  be  paid  to  the  validation  of  telematics  applications  geared  to  the  needs 
of  SMEs  The  validation  tests  will  also  permit  the  networking  of  training  centres  so 
that  they  can  share  their  resources.  These  different  experiments  will  thus  provide  the 
basis  for  European  supply  of  tele-teaching  and  tele-training  services. 

Libraries 

The  future  of  our  modern  societies  and  economies  depends  more  and  more  on  the 
exploitation  and  dissemination  of  knowledge  and  information,  yet  the  vast  wealth 
contained  in  Europe's  libraries  remains  under-used.  The  European  Union  is  at  a 
disadvantage  in  this  respect.  Most  libraries  do  not  yet  take  full  advantage  of  the 
opportunities  offered  by  new  information  and  communication  technologies  and are not 
linked  up  with  telematics  networks.  More  and  more  libraries  are  now  automating  the 
internal  management  and  exploitation  of  their  documentary  and  bibliographical 
resources.  However,  it  is  not  yet  possible  to  access  these  resources  easily  through 
networks  or  to  use  the  catalogues  of  more  than  one  library  at  a  time.  Only  a  small 
core of  libraries  so  far  have solid  experience  in  the development  and  use of  telematics 
applications. 

This  rather  unbalanced  situation  means  that  vital  sources  of  information  are  not 
readily  available  to  network  users,  despite  the  fact  that  libraries  should  be  at  the  hub 
of  the  European  knowledge  infostructure.  In  this  respect,  the  research  will  contribute 
to the  improvement  and  development  of  telematics  links between  libraries,  publishers, 
researchers,  universities,  colleges and  training  centres. 

Aim 

The  aim  of  this  action  is to contribute  to  the creation  of  a  common  European  area  for 
libraries,  by  launching  applications  to  increase  the  ready  availability  of  library 
resources  across  Europe  and  by  facilitating  their  interconnection  with  the  European 
infostructure. 

To  this  end,  the  work  will  aim  to  establish  interconnections  at  Community  level 
between  libraries  which  can  act  as  network  nodes  at  national  level,  to  promote  the 
introduction  of  telematics applications  in less technologically  advanced  libraries and  to 
support  the  effort  to  increase  the  technological  skills  and  awareness  of  library  staff 
through  exchange of experience and  best  practice. 

24 

Nature of the work 

The  RTD  work  will  be based  on  the  results of  the exploratory  action  carried  out  under 
the  Third  Framework  Programme,  which  helped  to  create  building  blocks  for  the 
modernisation  and  interconnection  of  libraries.  The  work  will  follow  two  main 
orientations. 

The  first  concerns  the  development  of  advanced  systems  facilitating  access  to  library 
resources.  This  work  will  particularly  involve  perfecting  methods  for  establishing  and 
exchanging  automated  bibliographies  and  for  making  catalogues  and  other  resources 
accessible  on-line  via  existing  networks.  Work  will  also  involve  the  development  of 
methods  for  the electronic  capture,  storage and  retrieval  of  documents  in  an  extremely 
wide  range  of  formats.  Finally,  electronic  archiving  techniques  will  be  developed  for 
the conservation  and  consultation  of  rare or  fragile  works. 

Secondly,  the  RTD  will  concern  the  inter-connection  of  libraries,  both  with  other 
libraries  and  with  the  European  infrastructure.  The  main  aim  of  this  work  will  be  to 
ensure  interworking  of  applications  designed  for  different  types  of  library  systems. 
They  will  also aim  at  establishing  "virtual  libraries"  which  allow  users  to  gain  access 
to  an  array  of  networked  library  services  and  other  sources  of  information  from  any 
point  in  the  European  Union.  Finally,  the  work  will  aim  to  develop  electronic  links 
between  libraries  to achieve  fast  document  delivery  from  different  sources  (databases, 
libraries,  booksellers,  publishers,  etc.). 

Validation tests and pilot  projects 

The  validation  of  this  work  will  involve  different  user  -groups  such  as  researchers, 
students  and  companies,  according  to  the types  of  services  on  offer  by  the  libraries.  It 
will  also  involve  companies  in  the  information  and  communications  sectors,  libraries, 
publishers,  booksellers  and  end-users.  These  validation  tests  will  be  accompanied  by 
measures  aimed  to  promote  standards  for  the exchange  of  library  resources,  to  ensure 
the widest possible dissemination  of  the  results  and  to support  the efforts  necessary  for 
making  library  staff  aware  of  the  possibilities  afforded  by  telematics  systems  and 
training  them  in their  use. 

AREA  3 - TELEMATICS  FOR  IMPROVING  EMPLOYMENT  AND  QUALITY  OF 
LIFE 

Telematics  systems  and  services  should  make  it  possible  to  improve  employment  and 
the quality  of  life  by  promoting  better  use  of  land,  by  raising  the degree  of  autonomy 
of  the  less-favoured  social  groups,  such  as  old  people  and  the  handicapped,  and  by 
permitting  more effective  protection  of  the  environment. 

25 

Urban  and  rural  areas 

The  ORA  exploratory  action  under  the Third  Framework  Programme  showed  that  the 
rural  areas  whose economic,  social  and cultural  infrastructure  is no longer attractive  to 
the business world and  the general  public could  compensate,  to some extent,  by  means 
of  telematics  systems  and  services.  These  would  effectively  improve  service  quality, 
make  good  use  of  the  business  environment,  enhance  living  conditions  for  the 
population  as a whole and  create jobs  through  teleworking.  In  addition,  urban  areas in 
decline  or  the  less-favoured  areas  of  large  cities  suffering  today  from  comparable 
handicaps,  could also benefit  from  telematics  solutions. 

Aim 

The  aim  of  this  action  is  to  permit  the establishment  of  new  economic  activities,  the 
reinforcement  of  traditional  activities  and  the  improvement  of  living  conditions  in  the 
interests  of  rural  and  urban  areas  with  inadequate  socio-economic  and  cultural 
infrastructures.  Telematics  solutions  should  permit,  through  teleworking,  hosting  new 
activities,  providing  remote  access  to  basic  services  for  enterprises  -  data  banks, 
maintenance,  assistance,  vocational  training  -  and  offering  indispensable  services  to 
people in these areas,  with  respect  to medicine,  training,  culture and  social  services. 

As  a  consequence,  the  exodus  towards  large  conurbations  should  be  reduced, 
urban  congestion  could  be diminished  and  new  populations  could  settle  in  rural  areas. 
This  action  will  be  closely  co-ordinated  with  other  Community  activities  and 
programmes  on structural  policy,  particularly  in  respect  of  vocational  training,  as well 
as  with  the  specific  programme  on  "Targeted  socio-economic  research"  relating  to 
social  exclusion. 

Nature of the work 

The RTD  work will concern  the development  and  adaptation  of  telematics  applications 
for  two  major  purposes. 

The  first  is  teleworking,  which  can  be  implemented  through  working  at  home, 
teleservice  providers,  subcontracting  or  collaborative  business  networks.  Work  will 
concentrate  on  the  use of  generic  technologies  such  as  multimedia  workstations,  tools 
for  managing  co-operative  work  across  networks 
(groupware),  audio-  and 
videoconferencing,  and  the  use  of  any  or  all  available  networks  -  public  switched 
network,  ISDN  and  the  future  broadband  networks.  The  main  objective  is to  increase 
the  competitiveness  and  productivity  of  local  enterprises,  particularly  SMEs,  whose 
economic efficiency  is a determining  factor  for  employment. 

26 

The  second  area  of  activity 
is  publicly  available  teleservices.  The  emerging 
technologies  such  as  mobile  digital  telephones,  interactive  compact  disks,  very  small 
aperture  satellite  terminals  (VSAT)  and  interactive  television  will  be  the  tools  used  to 
provide  access  to speech,  data and  video  information.  Private  individuals,  businesses, 
local  authorities  and  administrations  will  be  able  to  use  these  networks  to  search 
remote  databases  and  specialised  libraries,  to  consult  voice  mail,  and  to  access 
services  such  as  telemedicine,  audio-visual  services,  teletraining  and  tourism  and 
social  services. 

In order  to  tackle  the problem  of  areas  which  are  inadequately  covered  by  cable 
or  radio  relay  networks,  work  will  also  involve  the  development  of  systems  using 
wireless  communication  to  provide  universal  access  to  information  and  services. 
Special  attention  must  be  paid  to  interconnection  and  interoperability  between  local 
networks  and  national  or  international  networks,  particularly  the  emerging  European 
infrastructure. 

Validation tests and pilot  projects 

Areas  for  validation  tests  will  include  networks  of  partners  already  set  up  under  the 
ORA  project  and  other  existing  networks  for  co-operation  between  European  cities 
(Eurocities,  Telecities,  etc.).  These  activities  will  be  co-ordinated  with  the  pilot 
projects  implemented  under the  land-development  plans  of  certain  Member  States  or 
Community  regional  programmes.  Particular  emphasis  will  be  placed  on  ease  of  use 
and user acceptability  of  telematics applications. 

Elderly  and  disabled  people 

The  TIDE  exploratory  action  has  shown  that  information  and  communication 
technologies  could  provide  appropriate  solutions  to  the  specific  needs  of  elderly  and 
disabled  people. 

Aim 

The aim  of  this  RTD activity  is  to  use  information  and communication  technology  in 
order  to  improve  the autonomy  and quality  of  life  of  disabled  and  elderly  people and 
to  facilitate  their  integration  in  the society.  Attention  will  be paid  to the  identification 
of  the  needs and  the  validation  by  users  of  the  applications  developed.  Finally,  close 
co-ordination  will be established  with other specific  research programmes in this  field, 
such  as  "Biomedicine and  health" and  "Industrial  and  materials  technologies",  which 
also  aim  at  using  generic  technologies,  including  biotechnologies  or  new  materials 
technologies,  for  the  benefit  of  disabled  and  elderly  persons,  as  well  as  with  the 
specific  programme  on  "Targeted  socio-economic  research".  There  will  also  be  a 
close  link  with  the  Community  social  programme  in  favour  of  handicapped  people 
(HELIOS). 

27 

Nature of the  work 

The  research  work  will  concern  two  main  topics:  access  to  telematics  services  and 
compensation  for  functional  disability.  In the  first  case,  it  must  be  made  possible  for 
those  with  cognitive  and  sensory 
disabled  and  elderly  people,  particularly 
impairments,  to  play  a  full  part  in  economic  and  social  life.  The  work  will  concern 
developing  equipment  -  particularly  audio-visual  aids  -  and  interfaces  which  will 
permit these categories of  people  to  use telematics  systems and services,  both  existing 
and  under  development,  to  facilitate  their  access  to  tele-working,  information  and 
distance  training,  or  to  cultural  programmes.  The  work  will  also  involve  the 
development  of  'intelligent'  systems,  such  as  remote  control,  alarm  systems  or 
for  managing  working  or  private 
systems 
environments.  Finally,  appropriate systems will  be developed  for training these people 
in the use of  the technical  aids developed. 

for  guidance  outside  the  home, 

As  regards  compensation  for  functional  disabilities,  the  work  will  involve  developing 
applications  using  information  and  communication  technologies  with  a  view  to 
restoring  all  or  part  of  the  functional  capacities  of  disabled  and  elderly  people. 
Particular emphasis  will  be placed  on  systems  for  improving  mobility,  inter-personal 
communication  and  the  ability  to  cope  with  the  immediate  environment.  This  work 
will  also  be  based  on  recent  progress  in  virtual  environments  and  remote  control 
("telepresence"). 

Validation tests and pilot  projects 

There  will  be a demonstration,  in a  real-life  situation,  of  the  technical  feasibility  and 
functional  suitability  of  the  systems  and  services  developed  under  this  action. 
Rehabilitation  technology  centre  networks  will  be  involved  in  the  validation  of  the 
results. 

Exploratory  action: telematics  for the  environment 

Exploratory  actions  to assess  the  potential  for  telematics  solutions  in  other  areas  will 
also be conducted.  The environment  is the first  topic to be addressed. 

Aim 

The  aim  of  this  action  is  to  investigate  to  what  extent  telematics  solutions  are 
appropriate  for  protecting  and  improving  the  environment,  in  close  association  with 
the  corresponding  Community  policy  and  the  specific  programme  of  RTD  on  the 
environment. 

28 

12 

Nature of the  work 

The  research  work  will  concentrate firstly on  Community  actions  on  the  environment 
already  being  tackled  in  other  specific  programmes  of  research  and  which  can  draw  on 
telematics solutions. This will particularly concern the European Agency  for the Environment 
and the future Centre for Earth observation. 

Also,  the  research  work  in  this  field  will  concentrate  on  automatic  warning  and 
monitoring  systems  concerning  pollution  levels  in  the  atmosphere,  rivers  or  seas. 
Applications  will  be developed  to  monitor  nuclear  power  stations  and chemical  plants 
and  to  manage  natural  risks  such  as  desertification,  earthquakes  and  forest  fires. 
Research  will  also  concern  the  development  and  interconnection  of  information 
networks  and centres  for  the  prevention  of  these  risks.  The  centres  will  have  remote 
access  to automatically  updated  databases  and  to  systems  for  aid  in  decision  making. 
The  extension  of  these  networks  to  cover  central  and  eastern  Europe  will  also  be 
studied.; 

Validation tests and pilot  projects 

The validation  tests will  be conducted  in  the  most exposed  urban areas,  industrial and 
port  areas,  coastal  areas and  river  basins,  in  close  collaboration  with  the  appropriate 
local or national authorities. 

Other exploratory  actions 

If  considered  appropriate  during  the  course  of  the  programme  other  exploratory 
actions could be launched  from  1996 onwards. 

AREA 4  - HORIZONTAL  RTD  ACTIVITIES 

The  success  of  telematics  applications  amongst  users  depends  on  several  common 
factors.  These include the language problem and the usability  of  information  services. 
The dissemination  of  telematics  services  throughout  Europe  will  be hampered  if  users 
are not able to work with  them  in their own  language.  The vast  resources available in 
electronic  databases  will  be  under-exploited  if  information  retrieval  methods  are  not 
simplified.  The  integration  of  language-processing  tools  into  telematics  systems  and 
the improvement of access to databases are therefore  priority  issues. 

Moreover,  such  a  recent  development  as  telematics  requires  the  production  of 
appropriate tools and methods to make the  new  systems  and services easily  absorbable 
by  users  and  to  permit  them  to  be  developed  by  researchers  and  engineers  as 
efficiently  as possible. 

These  questions  cannot  be  tackled  efficiently  under  any  one  of  the  separate  fields 
covered by the programme.  For this reason,  they are the subject of  horizontal  lines  of 
action,  the results of  which  will  benefit  all  the fields. 

29 

Telematics  engineering 

Aim 

telematics  applications  as  efficiently  as  possible 

The  studies  and  research  under  this  heading  have  three  ends  in  view.  First  of  all, 
work  will  involve  devising  tools  and  methods  to  enable  researchers  and  engineers  to 
develop 
the  optimal 
integration  of  generic  equipment,  networks  and  services  with  specific  equipment  or 
software  (applications  engineering).  The  next  task  will  be  to  identify  and  analyse 
changes  to  be  made  to  the  user  environment  so  that  a  new  telematics  application  can 
be  successfully  introduced  (process  engineering).  Finally,  cross-sectoral  issues,  such 
as  data  protection  or  intellectual  property  rights,  will  be  tackled.  These activities  will 
be  carried  out  in  close  collaboration  with  the  specific  programmes  on  information 
technologies  and on communication  technologies. 

through 

Nature  of the work 

The  work  on  the  process  engineering  in  user  sectors  covered  by  the  programme 
(hospitals,  universities,  administrations,  etc.)  will  involve an  evaluation  of  the  impact 
and  user  acceptance  of  old  or  new  telematics  applications,  such  as  teleworking,  tele-
medicine or  distance training.  Comparative  studies  and  research  will be undertaken  in 
the  domains  covered  by  the  TELEMATICS  Programme  (administrations,  hospitals, 
research  centres  or  companies  introducing  teleworking  etc.)  In  particular,  this  work 
will  take  stock  of  the  efficiency  of  administrative  procedures,  management  practice 
and  work organisation  in these  various,  public or  private, bodies both  before  and  after 
the 
to  deriving  practical 
telematics  systems  with  a  view 
recommendations  which  are  as  generic  as  possible.  It  should  thus  be  possible  to 
identify  general  methods  which  will  permit,  on  the one hand,  to  re-engineer  processes 
employed  in  the  user  sectors  concerned  under  optimal  conditions  as regards  economic 
efficiency  and  social  acceptability  and,  on  the  other  hand,  an  analysis  of  the 
advantages  and  savings  resulting  from  the new  telematics systems.  Particular  attention 
will  be  paid  to  ergonomie  aspects  so  that  the  systems  can  contribute  to  the 
improvement  of  working conditions. 

implementation  of 

The  RTD  work  on  application  engineering  will  concentrate  on  ways  of  integrating 
generic  and  specific  elements,  either  hardware  or  software,  so  that  the  telematics 
applications  developed  in  the  various  fields  covered  by  the  programme  may  have 
fundamental  characteristics  such  as  adequate  functionality  and  reliability,  greater 
flexibility  of  use,  exploitation  and  management,  and  the  possibility  of  incorporating 
subsequent  technological  progress.  Special  attention  will  be  given  to  the  search  for 
modular  and  generic  solutions  as  well  as  to  inter-operability  (protocols,  interfaces 
etc.).  This  work  will  be  based  on  the  results  and  on-going  activities  of  programmes 
such  as  those  addressing  information  technology  and  telecommunications  or  similar 
initiatives,  and  on  the  experience  gained  in  the  course  of  the  previous  phase  of  the 
TELEMATICS programme. 

30 

Finally,  studies  will  be  carried  out  on  all  projects  in  order  to  tackle  horizontal  issues 
of  data  security  and  confidentiality,  intellectual  property  rights  and  standards,  in  the 
most  efficient  way  possible. 

This  work  on  telematics  engineering  will  progressively  lead  to  a  set  of  methods, 
techniques,  tools  and  recommendations  which  is  as  coherent  and  unified  as  possible. 
The  recommendations  will  be disseminated  widely  in  a  specific  action  aimed  at  all  the 
participants  in  the  TELEMATICS  programme  and 
to  researchers  and  users  of 
telematics  applications  in general. 

Language  engineering 

Language  is  the  main  vehicle  for  scientific  and  technical  knowledge,  the  basis  of  our 
culture  and  an  essential  tool  for  communication  in  administration  and  commerce. 
Telematics  systems  use  a  simplified  language  which  is  often  far  removed  from  the 
language  normally  employed  by  users.  The  integration  of  language  engineering 
techniques  into  information  and  communications  systems  is becoming  vital  for  making 
them  user-friendly  and  more  widely  available.  In  addition,  modern 
tools  for 
processing  spoken  and  written  language  may  help  overcome  the  language  barriers 
hampering  the  use  of  telematics  systems  at  a  European  level.  This  action  will  extend 
the field of  research  covered  by  the Third  Framework  Programme  by  emphasising  the 
integration  of  language  technologies  into  concrete  applications  (for  example  in  the 
areas  of  administration,  health  or  training)  and  by  continuously  improving  evaluation 
techniques.  It  will  build  upon  other  Community  actions  in  generic  RTD  and  will  be 
conducted  in co-ordination  with  linguistic  research  actions  in  member  states and  under 
EUREKA. 

Aim 

The aim  is to  facilitate  the  use of  telematics  applications  in  Europe  and  to  increase  the 
possibilities  for  communication  in  European  languages  by  integrating  new  spoken  and 
written  language-processing  methods. 

To  this  end,  the  research  and  development  work  will  address  broad  telematics 
applications  areas,  such  as  information  services,  including  document  processing  and 
tele-banking  or  electronic 
management, 
including  electronic  mail  and 
directories)  and  person-to-person  communications, 
teleconferencing. 
*e>-

teleservices  (such  as 

transaction-based 

Nature of the  work 

The  RTD  work will  fall  into three sections. 

Firstly,  the results of  previous  research  will be used  to develop  systems  facilitating  the 
language 
integration  of  language  technologies  into  multi-sector  domains  where 
processing  is  important. 

31 

The  work  will  first  concern  the  development  of  language  tools  to  improve  the 
creation  and  management  of  electronic  documents  in  a  variety  of  languages.  These 
tools  will  comprise advanced  multi-lingual  aids  for  authors,  improved  techniques  for 
indexing  and  searching  free-style  documents,  and  automated  methods  for  extracting 
and combining  information  from different  document archives and databases. The work 
will  then concern  spoken  and  written-language  interfaces  which  will  make  it  possible 
to adapt transaction  services  aimed at business,  the  professions  and  the general  public 
to fit  in with the requirements of  users in different  Member States.  In addition,  with a 
view  to  improving  the  linguistic  aspects  of  tele-working  and  of  electronic  mail, 
techniques  will  be  developed  for  converting  speech  to  text  and  vice-versa,  for 
automatic  routing  of  messages  and  for  real-time  access  to  machine  translation  and 
other linguistic facilities. 

The  work  will  also  concern  improving  tools,  methods  and  systems  for  machine 
and  computer-assisted  translation  with  a  view  to  integrating  them  into  the  user's 
working environment. 

Lastly,  linguistic  methods  and  tools  will  be  developed  to  facilitate  language 

learning. 

Secondly,  the work  will  involve  developing  and  harmonising  language  resources  such 
as  electronic  grammars  or  dictionaries  with  a  view  to  facilitating  the  portability  of 
these resources from one computer system  to another so that more  use can be made of 
them. 

Finally, the work  will  concern  linguistic  research  which  might  lead  to applications  in 
the medium and long term.  Work of this kind is necessary  if progress is  to be made in 
mastering  the  complexities  of  different  languages  and  in  improving  methods  for 
automated  language analysis.  Three  sectors  will  be  given  priority:  the  representation 
of  concepts  in  different  languages  with  a  view  to  facilitating  computer  analysis  of 
texts  and  man-machine  dialogue,  the  use  of  advanced  information  technology  for 
natural  language  processing  and  advanced  methods  for  the  processing  of  written  and 
spoken language,  such as processing  of  free text,  advanced  speech  recognition  systems 
and simultaneous  machine interpretation. 

Validation tests and pilot  projects 

Pilot  projects,  particularly  covering  telematics  applications  developed  under  other 
parts of  the programme,  will  be  launched  in  order  to  verify  the  technical  feasibility, 
operation  and  applicability  of  the  linguistic  solutions  developed.  In  addition, 
comparative  test  methods  and  objective  criteria  will  be  drawn  up  for  evaluating 
language  tools.  Finally,  quality  control  processes  will  be  elaborated  for  language 
systems and services and recommendations  will  be addressed  to standards bodies. 

32 

Information  engineering 

The volume of  information  stored  in electronic  form  and disseminated  via  telematics 
systems  is  increasing  substantially.  Access  to  these  resources  is  still  difficult, 
however,  because  of  the  number,  geographical  spread  and  heterogeneity  of 
information  services.  This  means that  telematics  systems  are  under-used  and  there  is 
less choice of information  sources  for  different  categories of  users.  In order  to tackle 
this problem,  it is necessary  to accelerate the use of  information  services by applying 
advanced  telematics  to  electronic  publishing  and  information  retrieval.  Work  will 
exploit,  wherever  appropriate,  the  results  of  other  Community  programmes  (e.g.  in 
the  area  of  information  technologies)  and  will  be  based  on  existing  or  emerging 
technological advances. 

Aim 

The aim of the action is to permit easier and more selective access and better usability 
of  electronic  information  in  all  its  forms,  through  the  application  of  ICT-based 
methods and systems. 

Nature of the work 

The RTD work will cover the principal links in the value-added  electronic  information 
chain (production, dissemination,  retrieval etc). 

As  regards  electronic publishing, work  will  address  applications  on  the  creation  of 
information  "products" (for  example data banks and electronic  manuscripts).  In order 
to  meet  the  requirements  of  different  user  groups,  these  applications  should  run  on 
any  type  of  hardware  platform,  with  any  kind  of  software  and  for  any  type  of 
publication.  To this end,  advanced  applications  will  enable authors  and  publishers  to 
structure  and  to  format  information  content  in  a  generic  fashion,  regardless  of  the 
technology  base used. These applications will need  to be integrated  smoothly  into the 
existing environment of information  producers. 

As  regards  the  dissemination  of  electronic  information,  new  ways  to  present 
information  will  be  developed  so  that  the  user  can  find  the  information  required, 
without having to know anything about the structure or  the contents of  the data banks 
in  question.  Also,  research  will  address  the  integration  of  different  kinds  of 
information  (text,  images,  sound)  and  of  distributed  information  into  one  service.  It 
will  aim  at  increasing  the  modularity  of  separate  items  of  information  within  long 
texts,  by  applying  the  most  recent  database  methodologies,  so  as  to  improve  the 
transactional and economic basis for  information  transfer. 

33 

Advanced information  retrieval techniques will be developed  in order  to improve user 
access to  the increasing  number  of  heterogeneous  and  dispersed  information  sources. 
These methods  will  help the  user to locate the right information  source by  means of 
on-line  navigation  aids,  to  make  the  same  search  in  different  databases  without 
duplication,  to  browse  through  information  records  in  an  intuitive  way,  to  extract 
information  and to integrate it seamlessly into his own applications. 

Validation tests and pilot projects 

Validation will take account,  by means of pilot applications, of the requirements of all 
the parties concerned  in the information-production  chain,  from  novices to computer-
literate  users.  It  will  include  the  development  of  quality  control  and  system 
performance  measurement and will lead to the promotion of standards for  information 
exchange formats. 

AREA ? - HORIZONTAL ACTIONS 

Horizontal actions address issues common to several areas of the programme. 

"Telematics observatory " and consensus development 

A  specific  action  will  be  launched  to  evaluate  user  needs,  assess  technology  and 
market  trends  and  identify  mechanisms  to  stimulate  innovations  on  the  user  side. 
Consensus  building  across  fields  and  projects  will  concern  standards  and  common 
telematics  infrastructures  which  could  help  to  accelerate  the  deployment  of  new 
telematics  services.  Horizontal  concertation  activities  will  intensify  the  exchange  of 
experience across the areas of the programme. 

Collaboration  with  COST  and  EUREKA  activities  in  the  whole  of  the  telematics 
domain  will  also  be  undertaken  where  appropriate  as  will  coordination  with  actions 
funded  under the ESF, ERDF, EIB, EIF and Cohesion Funds. 

34 

Dissemination  of results and promotion  of  telematics 

results 

The  activities  on  dissemination  and  exploitation  of  research 
take  on 
considerable  importance  for  this programme,  which  is geared  towards  users and  which 
aims,  through  pilot  projects  and  validation  trials,  to  develop  innovative,  job-creating 
telematics  applications  for  users,  particularly  in  areas  highlighted  by  the  White  Paper 
(teleworking  and  teleservices  for  education  and  training,  health  care or  transport).  The 
co-operation  which  will  evolve  through  the  work  of  the  programme  is  principally 
aimed  at  encouraging  the  investment  necessary  for  the  dissemination  and  large-scale 
take-up  of  the  new  applications.  With  this  in  mind,  demonstration  projects  will  be 
supported,  especially  when  they  involve  several  telematics  applications,  and  the 
exchange  of  experience  between  different  demonstration  sites  will  be  encouraged. 
the  Member  States  of  workshops,  seminars, 
Furthermore, 
conferences  and  exhibitions  will  be  supported  with  the aid  of  the  Community  network 
of  relay  centres  for  the  exploitation  and  dissemination  of  research  results.  The 
research  teams  working  on  the  various  projects  will  be  asked  to  specify,  right  at  the 
outset  of  their  work,  how  they  plan  to  take  part  in  activities  for  the dissemination  and 
utilisation  of  the  results  of  their  research 
throughout  the  European  Union.  A 
significant  amount  of  the  budget  allocated  to  the  programme  (19  MECUs)  will  be 
devoted  to these  types of  activities. 

the  organisation 

in 

International  co-operation 

International  activities  (conferences,  study  visits,  demonstration  of  exploitable  results) 
will  be  undertaken  in  most  of  the  research  areas  whenever  mutual  and  equitable 
interest  for  the  European  Union  has  been  clearly  identified,  in  particular  in  the  areas 
covered  by  the  White  Paper.  Great  importance  will  be  attached  to  co-operation  with 
the  countries  of  central  and  eastern  Europe  and  the  new  independent  states  of  the 
former  Soviet  Union:  exchanges  of  research  workers could  be envisaged  in  connection 
with  certain  projects  and  links  will  be  established  with  telematics  activities  under  the 
PHARE  and  TAC IS  programmes  or  with  initiatives  funded  by  the  EBRD.  Finally, 
there  will  be  close  co-ordination  and  where  appropriate  collaboration  between  this 
Community  research  programme  and  similar  national  or  European  RTD  programmes 
(notably  COST,  EUREKA,  ESA,  CERN,  and  EUROCONTROL). 

Training 

Exchanges  of  researchers  working  on  telematics  applications  and  the  networking  of 
existing  research  centres  will  be encouraged.  Moreover,  Community  support  may  also 
be granted  for  the training of  users as well  as  for  the exchange of  experience. 

35 

ANNEX  II:  INDICATIVE  BREAKDOWN  OF  THE  AMOUNT 
ESTIMATED  AS  NECESSARY 

Area 

Telematics  for  Services of  Public  Interest 

ECU  millions 

395 

Administrations 

Health  care 

Transport 

Telematics  for  Knowledge 

Telematics  for  research 

Education  and  training 

Libraries 

Telematics  for  Improving  Employment 
and  the Quality  of  Life 

Urban  and  rural  areas 

Elderly  and disabled  people 

Exploratory  action  (environment) 

Other exploratory  actions 

Horizontal  RTD  Activities 

Telematics  engineering 

Language  engineering 

Information  engineering 

Horizontal  actions 

TOTAL 

50 

135 

210 

50 

66 

30 

40 

65 

20 

pm 

15 

81 

40 

146 

125 

136 

416 

8437 

This breakdown  does not exclude projects  which  might relate to several areas. 

6 
7 

Of which  19 MECUs  for  the dissemination and  exploitation  of  results. 
Of which  53  MECUs for  staff  expenditures and  34 MECUs  for  administrative  expenditure. 

36 

ANNEX  III 

IMPLEMENTATION  PROCEDURES 

1.  The  detailed  rules  for  the  Community's  financial  contribution  are  laid  down  in 

Annex  IV to the Decision on the fourth  framework  programme. 

The  detailed  rules  for  the  participation  of  undertakings,  research  centres  and 
universities,  and  for  the dissemination  of  results  will  be laid down  in  the  measures 
provided  for by Article  130 j of  the Treaty. 

However, 
exceptions shall apply: 

for  the  purpose  of 

implementing  this  programme,  the  following 

1.1. 

Participation  in  this  programme  is  open,  with  financial  support  from  the 

Community: 

(a) 

to all legal entities established and regularly carrying out RTD activities 

in the Community, or 

t 

in a third country associated,  wholly or in part, with the  implementation 
of the relevant programme through an agreement concluded between the 
Community and the said third country; 

(b) 

to the Joint Research Centre. 

1.2.  Participation  in  this  programme  is  open,  without  financial  support  from  the 
Community,  and  on  condition  that  their  participation  is  in  the  interests  of 
Community policies: 

(a) 

to  legal  entities established  in a country  which  has concluded  a scientific  and 
technical  co-operation  agreement  with  the  Community  relating  to  activities 
covered by the programme, provided the participation accords with the terms 
of the agreement; 

(b) 

to legal entities established in a European country; 

(c) 

to international research organisations. 

1.3.  The  participation  of  European  international  organisations  may be  financed  on  the 

same basis as that for Community organisations in duly specified cases. 

37 

2.  The  present  programme shall  be executed  through: 

2.1. 

Financial  participation  of  the  Community  in  RTD  actions  carried  out  by  third 

parties,  or  by the JRC  institutes  in association  with  third  parties: 

(a)  Cost-shared  actions of  the  following  types: 

RTD  projects  carried  out  by  enterprises,  research  centres  and  universities, 
including  "Integrated  action"  consortia  bringing  them  together  within  a 
common  theme;  the participation  of  potential  users  in all  phases of  projects 
shall be required; 

-  Technological  use  stimulation  aiming 

the 
participation  of  SMEs  through  grants  covering  the  exploratory  phase  of 
RTD  actions  -  including  a  search  for  partners  -  and  through  co-operative 
research.  Such  grants  will  be  made  following  the  selection  of  outline 
proposals  which  can  be  submitted  at any  time; 

to  encourage  and  enable 

-  Financial  support  for  infrastructures  and  installations  necessary  for  trials 

and co-ordinated  actions  (re-inforced  co-ordination  actions). 

(b)  Concerted  actions  which  consist  of  the  co-ordination,  notably 

through 
financed  by  public 
"concertation  networks"  of  RTD  projects  already 
authorities  or  private  organisations.  Concerted  actions  may  also  serve  as  the 
necessary  co-ordination  for  the  operation  of  common  interest  groups  which, 
through  cost-shared  RTD  projects  (cf.  2.1(a)  1st  indent)  bring  together  around 
industrial  objective,  manufacturers,  users, 
the  same 
universities and  research  centres. 

technological  or 

(c)  Specific  measures  such  as  those  in  support  of  standardisation,  and  measures 
aimed  at  the  implementation  of  facilities  of  general  value  to  research 
organisations,  universities  and  enterprises.  The  Community  participation  may 
cover  100% of the costs of  these  measures. 

2.2. 

Preparatory,  accompanying  and  supporting  measures  covering,  inter  alia, 

the  following: 

-  Studies  and  analyses 

in  support  of 

the  present  programme,  or 

the 

preparation  of possible  future  actions; 

- 

seminars,  workshops,  or  other  scientific  or 

technical 
conferences, 
meetings,  including  conferences  held  at  the  European  or  the  national  level 
on  dissemination  and  exploitation  of  the  results  of  the  research,  as  well  as 
"concertation"  meetings  between  projects  within 
the  same  application 
domain  (vertical  concertation)  or  between  projects  using  the  same  technical 
systems (horizontal  concertation); 

38 

use of  external  expertise,  including  access  to  scientific  databases  and other 
telematics services,  to improve the communication  between  the participants 
in  the  programme  as  well  as  between  these  participants  and  outside 
organisations  interested  in the results of  the programme; 

scientific  publications, 
the  dissemination  and 
exploitation  of  research  results  (in  co-ordination  with  the activities  carried 
out within the 3rd action); 

including 

those 

for 

studies  about  the  assessment  of  the  socio-economic  impact,  as  well  as  of 
any  possible  technological  risks,  related  to  the  set  of  projects  within  the 
present  programme.  A  close  collaboration  must  be  established  with  the 
specific  programme  on  "Targeted  socio-economic  research"  in  order  to 
ensure  optimal  exploitation  and  further  utilisation  of  the  results  of  these 
studies; 

training  actions  linked  to  the  research  covered  by  the  programme,  to  the 
benefit  of  researchers as well  as of  the users of  the results of this research; 

independent  evaluation 
the  management  and 
(including  studies)  of 
execution  of  the actions  in  the programme,  including  project proposals and 
projects themselves; 

measures  aimed  at  facilitating  the  participation  of  companies  and  research 
organisations  in the programme as well  as their access to the results; 

measures  to  support  the  operation  of  networks  for  growing  public 
awareness  and  decentralised  assistance  in  favour  of  SMEs,  in  connection 
with  the action on  "Euromanagement - RTD audits". 

The actions  for diffusion  and exploitation  of  results carried  out in this programme will 
be complementary  to those carried  out  in  Action  3,  and  will  be  implemented  in  close 
co-ordination  with  them.  Partners  in  RTD  projects  will  constitute  a  key  network  for 
diffusion  and exploitation  of  results.  As indicated  above,  the actions will be  reinforced 
by  a  programme  of  publications,  conferences,  results  promotion,  studies  of  potential 
techno-economic  opportunities,  etc.  In  order  to  ensure  optimum  exploitation  of 
results,  the  factors  liable  to  encourage  use  of  results  will  be  taken  into  account  from 
the outset and throughout the duration of  RTD projects. 

39 

FINANCIAL  STATEMENT 

I.  TITLE OF THE  ACTION 

Specific  programme  of  Research,  Technological  Development  and  Demonstration  in 
the  field  of telematics applications  of  common  interest. 

2.  BUDGET  HEADING 

B6-7111 

3.  LEGAL  BASIS 

Article  130i (4) of the Treaty  on  European  Union 

Decision  94/../EC  of  the  Council  and  European  Parliament  concerning  the  fourth 
framework  programme  in  the  field  of  research  and  technological  development. 

4.  DESCRIPTION  OF THE  ACTION 

4.1  General  objective 

The  general  objective  is  to  develop  applications  for  information  and  communication 
technologies  with  emphasis  on  interoperability  throughout  the  European  Union  and 
which  will contribute to: 

satisfying  the basic  needs  of  modern  society  in  areas  of  common  interest  (health, 
education  and  training,  transport,  access  to information,  etc.); 

meeting the requirements  of  Community  policies; 

preparing  European  industry  for  the  new  markets  which  this  research  will  open 
up; 

fuelling  growth  and  employment  by  developing  new  systems  and  services  for 
which  there is demand; 

providing a return  on  the  financial  investments  already  made in programmes  such 
as ESPRIT,  RACE or  their  national  equivalents. 

40 

The  term  "telematics  applications"  covers all  the systems  (hardware  and  software)  and 
services  (distance  learning,  remote  medicine,  remote  management  of  road  or  air 
traffic,  multilingual  transactional  processing,  etc.)  developed  by  this  programme. 

4.2  Areas covered  by  the  programme 

The  RTD activities  will  cover  the  following  areas of  telematics  applications: 

Field  I:  Telematics for services of public interest 

Administrations 

The  work  will  concentrate  on  the  development  of  telematics  applications  facilitating 
the  exchange  of  information  between  administrations,  such  as  image  transfer  or  the 
use of  multimedia  and  videoconferencing  systems  in  particular. 

Health  care 

Several  fields  will  be covered,  in  particular  computerized  multimedia  medical  records 
of  patients,  health-service  management  with  the  aid  of  telematics  systems,  assistance 
for  the  medical  profession,  telemedicine  with  a  view  to  providing  isolated  patients 
with  an  adequate  level  of  care  and  to  permit  teleconsultation  between  doctors  at 
different  locations,  and  the prevention  and  identification  of  major  serious diseases. 

Transport 

The  work  will  cover  the  entire  telematics  set-up  in  the  transport  sector,  from  the 
collection  and  processing  of  data  to  broadcast,  transmission  and  reception  of  the  data 
on  traffic  management  and  on  telematics  services  available  to  users.  Particular 
emphasis  will  be  placed  on  research  on  telematics  tools  common  to  various  modes of 
transport  - road,  air,  sea,  inland  waterway  and  rail. 

Field 2:  Telematics for knowledge 

Research 

Three  aspects  will  be covered:  the  use of  large computer  networks  which  have  to use 
high-throughput  communication  services;  distributed  multimedia  services  that  support 
cooperative  research;  methods  for  selecting,  searching  for  and  presenting  scientific 
and  technical  information. 

41 

Education  and training 

the  development  of  telematics  services  using  the 
Three  directions  will  be  followed: 
most  appropriate  combination  of  existing  communication  networks; 
the  development 
of  a  new  generation  of  telematics  applications  permitting  distance  teaching  and  group 
training;  the personalization  of  training and  new types of  learning. 

Libraries 

The  work  will  focus  on  facilitating  access  to  library  resources  and  promoting  the 
interconnection  of  libraries,  both  with  other 
the  European 
infrastructure.  In  particular,  users  will  have  access  to  a  group  of  networked  library 
services and  other  sources of  information. 

libraries  and  with 

Field 3:T Telematics for employment and impro ving the quality of life 

Elderly  and disabled people 

The  work  will  concentrate  on  two  main  topics:  access  to  telematics  services  to  make 
it  possible  for  disabled  and  elderly  people  to  play  a  full  part  in  economic  and  social 
life; 
in  particular  development  of 
equipment  and  interfaces  which  will  permit  these  categories  of  people  to  use 
telematics  systems and  services  to their  advantage. 

functional  deficiencies, 

compensation 

for 

Urban and  rural areas 

The  work  will  focus  on  the  development  and  adaptation  of  telematics  applications  for 
two  major  purposes: 
teleworking,  both  for  individuals  and  groups,  and  collective 
teleservices. 

Environment 

The  work  will concentrate  primarily  on  the development  of  telematics  solutions  which 
could  help  to  resolve  environmental  problems.  Particular  attention  will  be  paid  to 
telematics  systems  for  monitoring  levels  of  pollution  in  the  atmosphere,  rivers  or  the 
sea,  and  to automatic  alert  systems. 

Field 4:  Horizontal RTD activities 

Horizontal  work  will  be carried  out  on  telematics  engineering  (both  reconfiguration  of 
organisations  using  telematics  systems  and  the  development  of  generic  tools  and 
methods  for  the  development  of  telematics  applications),  language  engineering  (pilot 

42 

applications,  language  resources  and  general  linguistic  research)  and  information 
engineering  (easier access and use of electronic  information). 

Horizontal  actions  across  areas  of  the  programme  and  accompanying  measures  will 
also be conducted. 

"Telematics observatory " and consensus development 

A  specific  action  will  be  launched  to  evaluate  user  needs,  assess  technology  and 
market  trends  and  identify  mechanisms  to  stimulate  innovations  on  the  user  side. 
Consensus  building  across  fields  and  projects  will  concern  standards  and  common 
telematics  infrastructures  which  could  help  to  accelerate  the  deployment  of  new 
telematics  services.  Horizontal  concertation  activities  will  intensify  the  exchange  of 
experience across the areas of the programme. 

Collaboration  with  COST  and  EUREKA  activities  in  the  whole  of  the  telematics 
domain  will  also  be  undertaken  where  appropriate  as  will  coordination  with  actions 
funded  under the ESF,  ERDF,  EIB,  EIF and Cohesion Funds. 

Dissemination of results and promotion  of telematics 

The  activities  on  dissemination  and  exploitation  of  research  results  take  on 
considerable importance for this programme,  which is geared towards users and  which 
aims,  through  pilot  projects  and  validation  trials,  to  develop  innovative,  job-creating 
telematics  applications  for  users,  particularly  in  areas  highlighted  by  the White  Paper 
(teleworking and teleservices  for education and training,  health care or transport).  The 
co-operation  which  will  evolve  through  the  work  of  the  programme  is  principally 
aimed  at  encouraging  the  investment  necessary  for  the  dissemination  and  large-scale 
take-up  of  the  new  applications.  With  this  in  mind,  demonstration  projects  will  be 
supported,  especially  when  they  involve  several  telematics  applications,  and  the 
exchange  of  experience  between  different  demonstration  sites  will  be  encouraged. 
Furthermore,  the  organisation  in  the  Member  States  of  workshops,  seminars, 
conferences  and exhibitions  will be supported  with  the aid of  the Community  network 
of  relay  centres  for  the  exploitation  and  dissemination  of  research  results.  The 
research  teams  working  on  the  various  projects  will  be  asked  to  specify,  right  at  the 
outset of  their work,  how they plan to take part in activities  for  the dissemination  and 
utilisation  of  the  results  of  their  research  throughout  the  European  Union.  A 
significant  amount  of  the  budget  allocated  to  the  programme  (19  MECUs)  will  be 
devoted to these types of activities. 

International co-operation 

International  activities (conferences,  study  visits,  demonstration  of  exploitable  results) 
will  be  undertaken  in  most  of  the  research  areas  whenever  mutual  and  equitable 
interest  for  the European  Union  has  been  clearly  identified,  in  particular  in  the areas 
covered  by  the White  Paper.  Great  importance  will  be  attached  to  co-operation  with 

43 

the  countries  of  central  and  eastern  Europe  and  the  new  independent  states  of  the 
former Soviet Union: exchanges of research workers could be envisaged  in connection 
with certain  projects  and  links  will  be established  with  telematics activities  under  the 
PHARE  and  TACIS  programmes  or  with  initiatives  funded  by  the  EBRD.  Finally, 
there  will  be  close  co-ordination  and  where  appropriate  collaboration  between  this 
Community  research  programme and  similar  national  or  European  RTD  programmes 
(notably COST, EUREKA, ESA, CERN, and EUROCONTROL). 

Training 

Exchanges  of  researchers  working  on  telematics  applications  and  the  networking  of 
existing research centres will be encouraged.  Moreover,  Community  support may also 
be granted for the training of users as well as for the exchange of experience. 

Accompanying measures 

Preparatory, accompanying and supporting measures will include: 

-  Studies and analyses in  support of  the present programme,  or  the preparation  of 

possible future actions; 

-  conferences,  seminars,  workshops,  or  other  scientific  or  technical  meetings, 
including conferences held at the European or the national level on dissemination 
and exploitation of the results of the research,  as well as "concertation" meetings 
between  projects  within  the  same  application  domain  (vertical  concertation)  or 
between projects using the same technical systems (horizontal concertation); 

-  use  of  external  expertise,  including  access  to  scientific  databases  and  other 
telematics  services,  to  improve  the  communication  between  the  participants  in 
the programme  as  well  as  between  these  participants  and  outside  organisations 
interested in the results of the programme; 

- 

- 

scientific  publications,  including  those for  the dissemination  and  exploitation  of 
research  results  (in  co-ordination  with  the  activities  carried  out  within  the  3rd 
action); 

studies  about  the  assessment  of  the  socio-economic  impact,  as  well  as  of  any 
possible  technological  risks,  related  to  the  set  of  projects  within  the  present 
programme.  A  close  collaboration  must  be  established  with  the  specific 
programme  on  "Targeted  socio-economic  research"  in  order  to  ensure  optimal 
exploitation and further  utilisation of the results of these studies; 

- 

training actions linked  to the research  covered  by the programme,  to the  benefit 
of researchers as well as of the users of the results of this research; 

44 

independent  evaluation  (including  studies)  of  the  management  and  execution  of 
including  project  proposals  and  projects 
the  actions 
themselves; 

in  the  programme, 

measures  aimed  at  facilitating  the  participation  of  companies  and  research 
organisations  in the programme as well  as their access to the results; 

measures to support  the operation  of  networks  for growing  public awareness and 
decentralised  assistance  in  favour  of  SMEs,  in  connection  with  the  action  on 
"Euromanaçement - RTD audits". 

4.3  Duration 

1994 -  1998. 

5.  CLASSIFICATION  OF  EXPENDITURE OR  REVENUE 

Non-compulsory  expenditure/differentiated  appropriations. 

6  TYPE OF  EXPENDITURE 

Studies/grants 

In principle,  the direct activities  will  be  100% funded. 

The  concerted  activities  may  qualify  for  a  contribution  of  up  to  100%  of  the 
coordination costs. 

Contributions for  co-financing  with other  sources: 

The cost-shared  actions  relating to  RTD projects will qualify  for a contribution  of 
not more than 50%. 

Universities,  research  centers  and  other  organisations  participating 
in  RTD 
projects  and  unable  to  substantiate  their  total  costs  in  sufficient  detail  for  the 
Commission,  based  on  an  analytical  accounting  system,  will  qualify  for  100% 
funding of  the additional costs. 

Other  activities 
feasibility  awards  or 
accompanying  measures)  will  qualify  for  up to  100% of  the additional  costs or of 
the costs of  the measure. 

(for  example,  networks, 

training, 

45 

Staff and administrative expenditure 

These  cover  the costs  of  personnel  covered  by  the  Staff  Regulations  and  other  staff, 
information  and  publications,  administrative,  technical  and  operating  costs,  and 
certain other  internal  infrastructure and operating  costs  for attainment  of  the objective 
of  the activity of which  they are an integral  part. 

7.  FINANCIAL  IMPACT 

7.1  Method of calculating  total cost of operation  (definition  of  unit costs) 

* Staff costs:  ECU 53  million  (6.3% of  the  ECU  843  million  deemed  necessary). 

The  1994  staff  levels  will  be  maintained,  i.e.  128 posts of  which  118 come  under the 
specific  programme  in  the  field  of  telematics  under  the  third  framework  programme 
and  10 under the TIDE  initiative.  These  posts break  down  as  follows:  68A  +  2IB  + 
39C. 

New  posts  will  be  added  progressively  in  1995,  1996  and  1997,  depending  on  the 
budget available each  year.  These new  posts are warranted by the configuration  of  the 
programme  which  includes  new  areas of  activity  not  covered  by  the  third  framework 
telematics  for  air  transport,  for  research,  for  urban  areas  and  for  the 
programme: 
environment,  telematics engineering and information  engineering. 

It is  important  to note  that the  staff  working  on  this  specific  programme  will  also  be 
responsible  for  the  scientific  monitoring  and  for  monitoring  the  contracts  for  the 
activities carried  out  under the STIG  programme  for  the  third  framework  programme 
and TIDE. 

*  Administrative  expenditure:  ECU  34  million  (4%  of  the  ECU  843  million 

deemed necessary). 

* 

Intervention  expenditure:  ECU  756  million  (89.7%  of  the  ECU  843  million 
deemed  necessary), 
including  the  cost  of  preparatory,  accompanying  and 
supporting  measures, evaluations and concertation  activities. 

46 

7-2  Itemized breakdown of cost (in  million ECU) 

Field  1: 

Telematics for services of public interest 

395 

Administrations 
Health care 
Transport 

Field 2:  Telematics for knowledge 

Research 
Education and training 
Libraries 

Field 3:  Telematics for employment 

and improving the quality of  life 

Elderly and disabled people 
Urban and rural areas 
Environment 
Other exploratory action 

Field 4:  Horizontal RTD activities 

Telematics engineering 
Language engineering 
Information  engineering 

Horizontal activities 

TOTAL 

50 
135 
210 

50 
66 
30 

65 
40 
20 
pm 

15 
81 
40 

146 

125 

136 

41 

843W 

The  breakdown  between  the  different  headings  does  not  exclude  the  possibility  that 
projects could come under several  headings. 

(i) 

Including  ECU  53  million  (6.3%)  for  staff  expenditures,  ECU  34  million 
(4%)  for  administrative  expenditure  and  ECU  19  million  for  dissemination 
and exploitation of results. 

47 

7-3 

Indicative schedule of appropriations (in million ECU) 

The  schedule  will  be  established  on  the  basis  of  the  overall  amounts  for  the  fourth 
framework  programme  adopted  indicatively  for  the  periods  1995-96  and  1997-98  at 
the  conciliation  meeting  on  21  March  1994.  The  RTD  appropriations  for  each 
financial  year  will  be  proposed  and  adopted  each  year  on  the  basis  of  the  resources 
available in the context of the financial  perspective. 

Commitment 
appropriations 

Payment appropriations 

1995 
1996 
1997 
1988 

277 
123 
245 
198 

TOTAL 

843 

1995 

1996 

1997 

1998 
et seq. 

TOTAL 

106 
0 
0 
0 

106 

105 
55 
0 
0 

160 

40 
42 
99 
0 

181 

26 
26 
146 
198 

396 

277 
123 
245 
198 

843 

8. 

WHAT  ANTI-FRAUD  MEASURES  ARE  PLANNED? 
RESULTS  OF MEASURES  TAKEN) 

(AND 

Numerous administrative and financial controls have been introduced at every  stage of 
the procedure for awarding and implementing  research contracts. These include: 

Prior to conclusion of the contract: 

shortlisting  of  the proposals on the basis of  their  scientific  merit and of  how 
the  nature,  duration  and 
realistic  the  research  costs  are,  considering 
potential impact of the project; 
analysis by the negotiators of the financial  data submitted by the proposers in 
the negotiation form. 

After signature of the contract: 

on-the-spot  inspections  of  the  supporting  documents  to  detect  any  errors  or 
other irregularities.  To tighten  up these controls,  the Commission  has set up 
a  central  audit  unit  which  is  responsible  for  all  the  inspections.  The 
inspections  are  carried  out  either  by  members  of  the  audit  unit  or,  under 
their  supervision,  by  firms  of  auditors  with  which  the  Commission  has 
concluded framework contracts. 

48 

9.  ELEMENTS OF COST-EFFECTIVENESS  ANALYSIS 

9.1  Specific and quantifiable objectives,  target population 

The  objective  common  to  the  various  areas  covered  is  to  develop  and  technically 
validate  telematics  systems  and  services  that  are  interoperable  throughout  the 
European  Union,  satisfy  user  requirements  and  maximize  the  use  of  generic 
infrastructures  and  equipment  to  make  them  as  economic  as  possible.  The  specific 
objectives by field are as follows: 

Field  1:  Telematics for services of public interest 

Administrations: The aim is to develop multimedia  telematics applications  integrating 
distributed  information  exchange and  video  conference  services,  while  also  covering 
the  conditions  for  implementing  telematics  applications  for  administrations  (data 
security, electronic signature, language barriers, etc.). 

Health  care:  The  aim  is  to  develop  applications  for 
the  following  areas: 
administration  of  the  whole  health  care 
computerized  multimedia  medical  files; 
system by telematics networks;  telematics systems and services to support the medical 
professions;  telemedicine;  telematics services aimed at prevention. 

Transport:  The  aim  is  to  develop  applications  to  improve  management  of  all  the 
different  transport  modes  (in  particular  road,  air  and  multimodal  transport)  while 
facilitating  the task of transport users (drivers, passengers, etc.). 

Field 2:  Telematics for  knowledge 

Researchers: The aim is to enable European  researchers  to benefit  from  an  improved 
trans-European  telematics network  (from  2 Mbits/s  to  155 Mbits/s  before  the end  of 
1998), to provide easier access to the results of  the research  with the aid  of  telematics 
networks,  to  develop  distributed  services  for  information  exchange  and  remote 
cooperative work. 

Education and training:  RTD on multimedia distance education  and distance training 
services  adapted  to  the  requirements  of  different  user  categories  (in  industry,  in 
particular SMEs, universities or in the home). 

Libraries:  The aim is to improve access to library  resources and interconnect them by 
telematics network. 

49 

Field 3:  Telematics for employment and improving the quality of life 

Disabled and elderly people:  The aim is to provide these people with easier access to 
telematics  services  (teleworking,  distance  training,  etc.)  and  to  develop  information 
and communication  technology  applications designed  to  restore,  in  whole or  in  part, 
the functional  capacities of disabled and elderly people. 

Urban and  rural areas:  The  aim  is  to  develop  and  validate  applications  such  as 
teleworking  or  collective  teleservices  which  would  take  account  of  the  needs  of 
regions with a shortage of socio-economic  infrastructures. 

Environment: The aim is to develop telematic alert and monitoring systems to protect 
the environment and population. 

Field 4:  Horizontal RTD activities 

Telematics engineering:  The  aim  is,  firstly,  to  develop  tools  and  methods  for 
optimum  integration  of  informatics  and  telecommunications  equipment  and  services 
(applications  engineering)  and,  secondly,  to  identify  the  organizational  changes  that 
need  to  be  made  to  administrations  or  undertakings  that  use  telematics  applications 
(re-engineering of processes and procedures). 

Language engineering:  The  aim  is  to  promote  the  use of  telematics  applications in 
Europe with possibilities for communication  in different  languages by integrating new 
language-processing methods. 

Information  engineering: The aim  is  to permit  easier  and  more  selective  access and 
greater user-friendliness  of electronic information  in all its forms. 

Horizontal actions and accompanying measures 

Horizontal actions: 

"Telematics observatory " and consensus development 

A  specific  action  will  be  launched  to  evaluate  user  needs,  assess  technology  and 
market  trends  and  identify  mechanisms  to  stimulate  innovations  on  the  user  side. 
Consensus  building  across  fields  and  projects  will  concern  standards  and  common 
telematics  infrastructures  which  could  help  to  accelerate  the  deployment  of  new 
telematics  services.  Horizontal  concertation  activities  will  intensify  the  exchange of 
experience across the areas of the programme. 

Collaboration  with  COST  and  EUREKA  activities  in  the  whole  of  the  telematics 
domain  will  also be  undertaken  where  appropriate  as  will  coordination  with  actions 
funded  under the ESF, ERDF, EIB, EIF and Cohesion Funds. 

50 

Dissemination  of  results and promotion  of  telematics 

results 

The  activities  on  dissemination  and  exploitation  of  research 
take  on 
considerable  importance  for  this  programme,  which  is geared  towards  users and  which 
aims,  through  pilot  projects  and  validation  trials,  to  develop  innovative,  job-creating 
telematics  applications  for  users,  particularly  in  areas  highlighted  by  the  White  Paper 
(teleworking  and  teleservices  lor education  and  training,  health  care or  transport).  The 
co-operation  which  will  evolve  through  the  work  of  the  programme  is  principally 
aimed  at  encouraging  the  investment  necessary  for  the  dissemination  and  large-scale 
take-up  of  the  new  applications.  With  this  in  mind,  demonstration  projects  will  be 
supported,  especially  when  they  involve  several  telematics  applications,  and  the 
exchange  of  experience  between  different  demonstration  sites  will  be  encouraged. 
Furthermore, 
the  Member  States  of  workshops,  seminars, 
conferences  and  exhibitions  will  be supported  with  the aid  of  the  Community  network 
of  relay  centres  for  the  exploitation  and  dissemination  of  research  results.  The 
research  teams  working  on  the  various  projects  will  be  asked  to  specify,  right  at  the 
outset  of  their  work,  how  they  plan  to  take  part  in  activities  for  the dissemination  and 
utilisation  of  the  results  of  their  research 
throughout  the  European  Union.  A 
significant  amount  of  the  budget  allocated  to  the  programme  (19  MECUs)  will  be 
devoted  to  these types of  activities. 

the  organisation 

in 

International co-operation 

International  activities  (conferences,  study  visits,  demonstration  of  exploitable  results) 
will  be  undertaken  in  most  of  the  research  areas  whenever  mutual  and  equitable 
interest  for  the  European  Union  has  been  clearly  identified,  in  particular  in  the  areas 
covered  by  the  White  Paper.  Great  importance  will  be  attached  to  co-operation  with 
the  countries  of  central  and  eastern  Europe  and  the  new  independent  states  of  the 
former  Soviet  Union:  exchanges  of  research  workers could  be envisaged  in  connection 
with  certain  projects  and  links  will  be  established  with  telematics  activities  under  the 
PHARE  and  TACIS  programmes  or  with  initiatives  funded  by  the  EBRD.  Finally, 
there  will  be  close  co-ordination  and  where  appropriate  collaboration  between  this 
Community  research  programme  and  similar  national  or  European  RTD  programmes 
(notably  COST,  EUREKA,  ESA,  CERN,  and  EUROCONTROL). 

Training 

Exchanges  of  researchers  working  on  telematics  applications  and  the  networking  of 
existing  research  centres  will  be encouraged.  Moreover,  Community  support  may  also 
be granted  for  the training  of  users as  well  as  for  the exchange of  experience. 

Accompanying  measures  will  include: 

studies  in  support  of  this  programme  and  in  preparation  for  possible  future 
activities; 

51 

conferences,  seminars,  workshops  or  other  scientific  or  technical  meetings, 
including  conferences  at  European  and  national  level  on  the  dissemination  and 
utilization  of  research  results,  and concertation  meetings  for  projects  in  the same 
area  (vertical  concertation)  and  for  projects  using  the  same  technical  systems 
(horizontal  concertation); 

consultation  of  external  expertise,  including  access  to  scientific  data  bases  and 
other  telematics  services  to  improve  communication  between  participants  in  the 
programme  and  between  these  participants  and  external  organizations  interested 
in the results of the programme; 

scientific  publications,  including  dissemination,  promotion  and  utilization  of 
results  (in  close  coordination  with  the  activities  carried  out  under  the  third 
activity); 

assessments  of  the  socio-economic  consequences  and  any  technological  risks 
linked to the projects under this programme; 

training activities linked to the  research covered  by the programme,  to the benefit 
of both researchers and users of  the results of  this research; 

independent evaluation of  the  management and execution of  the actions  (including 
studies)  in  the  programme,  including  the  proposals  for  projects  and  the  projects 
themselves; 

measures to facilitate  the participation  of  undertakings and  research  organizations 
in the programme and their access to the results. 

9.2  Grounds for the operation 

9.2.1  Grounds or need for aid 

The European  Union's support for research and technological development in this area 
began  in  1989  with  the  launch  of  three  exploratory  activities  under  the  second 
framework  programme.  It  was  reinforced  by  the  third  framework  programme.  The 
area of  telematics  has substantially  changed  over the last few  years,  mainly as a result 
of  the convergence  of  information,  telecommunication  and  audiovisual  technologies, 
the  completion  of  the  internal  market  which  necessitates  the  development  of 
trans-European  telematic  links,  and  the development  of  user  needs  and  requirements. 
This process of change is continuing  with the emergence of  multimedia and interactive 
applications.  Consequently,  the emphasis will  be shifted  from  RTD on data telematics 
to  RTD  on  multimedia  telematics.  However,  the  actual  principle  of  Community 
support is now  more essential  than ever: 

52 

to  meet the  fundamental  requirements of  society  relating  to health care,  education 
and training, 

to  speed  up  the  emergence  of  new  growth  markets  by  means  of  cooperation 
between  all  the  players  and  the  interworking  capability  of  the  newly  developed 
applications, 

to  contribute  to  the  definition  and  implementation  of  Community  policies 
(transport,  health care, etc.). 

Main  factors of  uncertainty  which could affect  the specific  results of the operation 

The  success of  these activities  will  depend  in part on  the successful  implementation  of 
the  Community  activities  upstream  of  this  programme  (RTD  on  information  and 
advanced  communication  technologies)  and  downstream  (associated  Community 
policies:  transport,  health care,  regional  policy,  the disabled,  etc.). 

is  also 

It 
competitiveness and employment  at European  Union level  (e.g.  White Paper). 

linked  to  the  successful 

implementation  of 

initiatives  on  growth, 

Success  will depend  first  of all on the quality  of  cooperation  between  the partners in a 
given  project.  It  will  then  depend  on  the quality  of  concertation  between  projects  in 
the  same  area  (vertical  concertation)  and  between  projects  using  the  same 
technological  systems  (horizontal  concertation).  Finally,  the  interaction  between 
researchers and users will  have a decisive  influence. 

9.2.2 

Choice of  ways and means 

The  project  selection  criteria  are  clearly  defined  in  the  information  packs  sent  to 
potential  participants.  They  include in particular: 

industrial impact and strategic importance; 
economic,  social  and environmental  impacts; 
account taken of  users' needs; 
technical quality; 
the quality of  the consortium  and the management approach proposed; 
the quality of the plan  for dissemination  and utilization  of  the results; 
the degree to which  the project complements other research. 

The  research  projects  will  preferably  take  the  form  of  shared-cost  activities.  It would 
be  unrealistic  to think  that  industrialists  in  Europe  would  agree  to  work  together and 
protect  their  confidential  results  without  a  financial  quid  pro  quo  from  the 
Community,  as in the case of concerted action.  Concerted action is certainly  adequate 
for  university  research  but it is ineffective  for  industrial  research. 

53 

The  public  funding  will  cover  a  maximum  of  50%  of  the  total  research  costs  and 
possibly  less  for  research  close  to the  market. 

9.2.3 

Reasons  for  the choice of  target  population 

There  are  four  main  target  populations: 

users of  information  and  communication  technologies  (ICT); 
hardware and  software  suppliers; 
providers of  information  technology  and  telematics services; 
universities and  research  centers and  institutes. 

those  needs 

Identification  of  users'  needs  and  conversion  of 
into  operating 
specifications  are the starting  point  for  the telematics  programme.  Consequently,  users 
are  particularly  important  players  for  the  management  and  success of  the  programme. 
In  addition  to  the  traditional  users  of  ICT  technologies  (big  businesses  or  small  and 
medium-sized  firms),  the  programme  also  aims  at  meeting  the  needs  of  "vertical" 
categories  of  user: 
transport  undertakings,  members  of  the  health  professions  and 
departments  of  social  security,  teachers,  local  and  regional  authorities,  national 
administrations,  elderly  or disabled  persons,  etc. 

All  these  players  will  be  invited  to  play  an  active  part  in  implementation  of  the 
projects  and  validation  of  the  results.  The  effectiveness  of  their  cooperation  with 
industrialists  and  the  research  community  will  decide  the  success  of  the  projects  and 
the  measures  to  disseminate  and  use  the  research  results  and,  ultimately, 
the 
emergence  of  new  growth  markets  helping  to  make  businesses  more  competitive  and 
to satisfy  the requirements of  society. 

9.3  Monitoring  and  evaluation  of  the  operation 

9.3.1 

Detailed  procedures 

Monitoring  will  be  carried  out  by  the  departments  of  the  Directorate-General 
responsible  for  implementation  of  the  specific  programme,  and  will  contribute  to 
systematic  assessment  of  the research  projects. 

The  following  performance  indicators  used  to  monitor  the  proper  implementation  of 
the project  are worth  noting: 

1. 

the  supply,  within  the  specified  period  and  in  the  required  form,  of  the 
deliverables specified  in the technical annexes to the  projects 

2. 

the contribution  to the definition  of  European  standards 

3.  pilot  demonstration  experiments 

54 

4. 

5. 

the development  of  implementation  strategies (dissemination  and utilization  of  the 
results) 

effective  cooperation  between  partners,  with  special  emphasis  on  users  whose 
role extends beyond  the validation of  the research (participation  in drawing  up the 
work  programme,  involvement  at all  stages of  the  project,  active  participation  in 
concertation  meetings, etc.). 

Studies  will  be carried  out  by  experts  at  the  beginning  of  the  programme  in  order  to 
measure its impact and the level  of activities deployed  in the various areas covered. 

Progress  with  this  programme  will  be  continuously  and  systematically  monitored  in 
relation  to  its  objectives  in  order  to  assess  whether  the  priorities  and  financial 
resources  are  still  appropriate.  In  order  to  contribute  to  the  overall  evaluation  of 
Community  activities,  the Commission  shall,  in due course,  have an assessment  made 
by independent experts of  the activities carried out in the fields directly  covered  by the 
programme,  and of their management during the five  years preceding  the assessment. 

Each RTD project  will  be subjected  to an annual  independent  review. 

At  the  end  of  this  programme,  the  Commission  shall  instruct  independent  experts  to 
conduct  a final  evaluation  of  the  results achieved  compared  with  the objectives  of  the 
programme  and  of  the  framework  programme.  The  final  evaluation  report  shall  be 
forwarded  to  the  Council,  the  European  Parliament  and  the  Economic  and  Social 
Committee. 

9.3.2 

Assessment  of  the results obtained  from  the activities  in progress 

The  results  of  the  mid-term  assessment  of  the  specific  programme  in  the  field  of 
telematics  (1991-94)  were  forwarded  to  the  Council  and  European  Parliament  in 
February  1994 (COM(94)...). 

55 

Proposal  for a 

COUNCIL DECISION 

94/0080(CNS) 
' 

^^ 

on a Specific  Programme of  research, 

technological  development  and demonstration 

in the area 

of  advanced communications  technologies  and services 

(1994-1998) 

ÏÙ 

Specific  Programme on "Communication Technotegiee" 

TABLE OF CONTENTS 

Proposal  for  a Council  Decision 

Annex I 
Scientific  and technical  objectives and content 

Annex II 
Indicative  breakdown  of  the amount deemed  necessary 

Annex III 
Implementation  procedures 

Financial  Statement 

ElEft 

19 

20 

23 

^1 

Specific Programme on "Communication Technologies" 

PROPOSAL FOR A COUNCIL DECISION 

of 

on a Specific  Programme of  research, technological  development  and demonstration  in 
the  area of  advanced communications  technologies  and services  (1994-1998) 

THE COUNCIL OF THE EUROPEAN UNION 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130 i  paragraph 4, 

Having  regard to the Proposal from  the Commission1, 

Having  regard  to the opinion  of  the European  Parliament2, 

Having  regard to the Opinion of  the Economic  and Social Committee3, 

Whereas,  by  Decision  94/../EC4,  the  Council  and  European  Parliament  have  adopted  a 
fourth  Framework  Programme  for  Community  actions  of  research,  technology 
development  and  demonstration  (Referred  to  hereafter  as  RTD)  for  the  period  1994-
1998  specifying  inter-alia  the  activities  to  be  pursued  in  the  area  of  advanced 
communications  technologies  and services,  and that  the  present  Decision  is  taken  in  the 
light of  the grounds set out in the preamble  to that Decision; 

Whereas  Article  130  i,  (3)  stipulates  that  the  Framework  programme  shall  be 
implemented  through  Specific  programmes  developed  within  each  activity  of  the 
Framework  Programme; that  each Specific  Programme  shaH specify  the  implementation 
procedures, fix  its duration  and foresee  the amounts deemed  necessary; 

Whereas  the  present  programme  is  implemented  principally  through  the  means of  cost-
shared actions, concerted actions, and accompanying  measures; 

Whereas,  in  accordance  with  Article  130  i,  (3),  an  estimate  should  be  made  of  the 
financial  resources  needed  to  carry  out  this  specific  programme;  whereas  the  final 
amounts  will  be  decided  upon  by  the  budgetary  authority  in  accordance  with  the 
relative  priority  assigned  to  the  areas  covered  by  this  programme  within  activity  I 
under the fourth  Framework Programme; 

Whereas  the  Decision  94/../EC  (4th  framework  programme)  foresees  that  the  overall 
maximum  amount  for  the  4th  framework  programme  will  be  re-examined  at  the  latest 
by  30th  June  1996  in  the  perspective  of  re-inforcement;  that  as  a consequence  of  this 
re-examination,  the amount deemed  necessary  for  carrying  out  the  programme  could  be 
increased; 

1 O.J. No. 
of  p 
2O.J.  No.  of  p 
3  O.J. No.  of  p 
4O.J.  No.  of  p 

47 

Specific  Programme on "Communication Technologies" 

Whereas  the  harmonised  development  and 
introduction  of  new  generations  of 
communication  systems  and services  is vital  to the  consolidation  of  the  internal  market 
Research  and  technology  development  is  an  essential  underpinning  to  the  development 
of  transeuropean  networks and services; new  integrated  communications  services are the 
key  to  increased  productivity,  industrial  competitiveness,  economic  growth  and  the 
creation  of  new employment;  innovative  use of  new  communications  services  underpins 
the  development  of  more  flexible  working  patterns  and  the  convergence  of  the  media, 
television  and  telecommunications  sectors  in  provision  of  interactive  video  services; 
decisions  on  liberalisation  of  telecommunications  services  by  1998  will  pose  new 
challenges  in  technology  development  for  both network  and service  inter-operation  and 
service  management  in  a  competitive  environment,  and  continued  support  for  RTD  at 
Community  level  is  therefore  an  essential  part  of  Community  policies  for  the  internal 
market,  industrial  development,  new  employment  creation,  and  telecommunications 
itself; 

Whereas  the  present  programme  can  contribute  significantly  to  the  re-launching  of 
growth,  to  the  re-inforcement  of  competitiveness  and  to  the  development  of 
employment 
in  the  White  Paper  on  "growth, 
competitiveness  and employment";5 

in  the  Community,  as  indicated 

Whereas  the  content  of  the  fourth  Framework  Programme  of  Community  RTD  actions 
has  been  defined  in  conformity  with  the  principle  of  subsidiarity;  that  the  present 
Specific  Programme  defines  the  content  of  the  actions  to  be  undertaken  in  conformity 
with  this principle  in the area of  advanced communications  technologies  and services; 

is  justified 

Whereas  the  Decision  94/../EC  (4th  framework  programme)  foresees  that  community 
action 
if,  amongst  other  things,  the  research  contributes  to  the 
reinforcement  of  economic  and  social  cohesion  of  the  Community  and  to  its 
harmonious  overall  development  while  at  the  same  time  respecting  the  objective  of 
scientific  and technical  excellence; that the present  programme  is designed  to contribute 
to the realisation of  these objectives; 

Whereas  the  present  Programme  and  its  implementation  will  contribute  to  the 
reinforcement  of  synergies  between  the  RTD  actions  in  the  area  of  advanced 
communications  technologies  and  services  carried  out  by  research  centres,  universities 
and  enterprises,  in  particular  small  and  medium-sized  enterprises,  established  in  the 
Member States and between  these and corresponding  Community actions; 

Whereas  the  rules  on  participation  for  undertakings,  research  centres  (including  the 
JRC) and  universities,  and  the  rules  applicable  to  the  dissemination  of  research  results 
which are set out in the measures foreseen  by Article  130 j, apply; 

Whereas,  in  the  implementation  of  the  present  Programme,  and  in  addition  to  the 
association  with  Countries  covered  by  the  European  Economic  Area  agreement, 
international  co-operation  actions,  consistent  with  Article  130  m,  are  also  appropriate 
with other  third countries and international  organisations; 

5 

COM(93)700 final, of 5.12.93. 

r?  „ 

Specific Programme on "Communication Technologies" 

Whereas  the  implementation  of  the  present  Programme  will  involve  actions  for  the 
dissemination  and  exploitation  of  RTD  results,  in  particular  towards  small  and 
medium-sized  enterprises  notably  in  the  Member  States  and  regions  which  participate 
least  in  the  programme,  as  well  as  actions  to  stimulate  the  mobility  and  training  of 
researchers,  developed  within  the  present  Programme  and  in  line  with  its  effective 
implementation; 

Whereas  in  the  implementation  of  the  present  programme,  it  is  necessary  to  foresee 
measures  to  encourage  the  participation  of  SMEs,  notably  by  technology  stimulation 
measures; 

Whereas  fundamental  research  must  be  encouraged,  because  of  the  rapid  pace  of 
technological  innovation,  particularly  in the area of  photonic  communications; 

Whereas  it  is  necessary  to  carry  out  an  evaluation  of  the  economic  and  social  impact, 
and of  the technological  risks, of  the actions carried out  in the present programme; 

Whereas  it  is  necessary,  on  the  one  hand,  to  examine  in  a  systematic  and  continuous 
way  the  state  of  implementation  of  the  present  Programme  in  order  to  adapt  it,  as 
necessary,  to  scientific  and  technological  changes  in  this  area; and  that  it  is  necessary, 
on  the  other  hand,  to  have  carried  out  at  appropriate  times  an  independent  evaluation 
of  the  state  of  implementation  of  the  Programme  in  order  to  provide  all  the  elements 
necessary  for  determination  of  the  objectives  of  the  fifth  Framework  Programme  of 
RTD; that  it  is  necessary  at  the  end  of  this  programme  to  carry  out  a final  evaluation 
of  results with respect  to the objectives  defined  in  this Decision; 

Whereas the JRC may participate  in indirect actions covered  by the present programme; 

Whereas the Scientific  and Technical  Research Committee  (CREST) has been consulted, 

£o 

Specific Programme on "Communication Technologies" 

HAS ADOPTED THIS DECISION 

Article I 

A  Specific  programme  of  research,  technology  development  and  demonstration  in  the 
area  of  advanced  communications  technologies  and  services,  as  defined  in  Annex  I,  is 
hereby  adopted  for  a period  beginning  on (date  of  adoption of  the present programme) 
1994, and ending  on 31st  December  1998. 

Article 2 

1.  The  amount  deemed  necessary  for  carrying  out  the  programme  is  ECU  630 

million,  including  10.3% for  staff  and administrative  expenditure. 

2.  An indicative  breakdown of  funds  is set out in  Annex II. 

3.  The  amount  deemed  necessary  for  carrying  out  the  programme,  indicated  above, 
could  be  increased  as  a  result  of  and  in  accordance  with  the  Decision  mentioned 
in the Article  1, (3) of  the Decision 94/../EC  (4th framework  programme). 

4.  The  budgetary  authority  will  determine  the  funds  available  for  each  year  in  the 
respect  of  the  scientific  and  technological  priorities  fixed  by  the  fourth 
Framework Programme. 

Rules  for  the  implementation  of  the  programme,  other  than  those  set  out  in  Article  5, 
are set out in Annex III. 

Article 3 

Article  4 

1.  The  Commission  shall  continually  and  systematically  monitor,  with  appropriate 
assistance  from  independent,  external  experts,  the  progress  within  this  programme 
in  relation  to  the  objectives  set  out  in  Annex  I.  In  particular,  it  shall  establish 
whether the objectives,  priorities and financial  resources remain appropriate  to the 
evolving  situation.  It  shall,  as  necessary,  submit  proposals  for  the  modification  or 
reinforcement  of  this Programme as a result of  these examinations. 

2. 

In order to contribute  to an overall evaluation  of  Community activities  foreseen  in 
Article  4.2 of  the  Decision  on the  fourth  Framework  Programme,  the  Commission 
shall  have  an  evaluation  carried  out,  by  independent  experts,  and  at  an 
appropriate  time,  of  the  actions  in  the  area  directly  covered  by  the  present 
programme,  and  of  their  management  during  the  five  years  preceding  the 
evaluation. 

Gt 

Specific Programme on "&>mmunication Technologies" 

3.  At  the  end  of  the  present  programme,  the  Commission  shall  have  a  final 
evaluation  carried  out,  by  independent  experts,  of  the  results  of  this  programme 
with  respect  to  the  objectives  defined  in  Annex  III  of  the  fourth  Framework 
Programme  and  in  Annex  I  of  the  present  Decision.  The  Commission  shall 
communicate  the  report  of  this  evaluation,  together  with  its  observations  to  the 
Council,  to the European  Parliament and to the Economic  and Social Committee. 

Article 5 

1.  A work programme shall  be drawn up by  the Commission,  in  conformity  with the 
objectives  set out  in Annex  I,  and shall  be  updated  as necessary.  It will  define  the 
detailed  scientific  and technological  objectives  and the stages  in implementation  of 
the  programme  as  well  as 
for  each 
implementation method. 

financial  provisions  planned 

the 

The  work  programme  may  also  provide  for  participation  in  certain  activities 
within  the  EUREKA  framework. 

2.  The Commission  shall  establish  Calls for  proposals  for  projects  on  the  basis  of  the 

Work programme. 

Article  6 

1.  The Commission  shall  be responsible  for  the implementation  of  the programme. 

2.  For  the  cases  specified  in  Article  7,  (1),  the  Commission  shall  be  assisted  by  a 
Committee  composed  of  representatives  of  the  Member  States  and  chaired  by  the 
representative  of  the Commission. 

The  Commission  representative  shall  submit  to  the  Committee  a  draft  of  the 
measures  to  be  taken.  The  Committee  shall  deliver  its  opinion  on  the  draft 
within  a time  limit  which  the  chairman  may lay down  according  to  the  urgency 
of  the  matter.  The  opinion  shall  be  delivered  by  the  majority  provided  for  in 
Article  148(2)  on  the  Treaty  in  the  case  of  decisions  which  the  Council  is 
required  to adopt on a proposal  from  the Commission. The votes  of  the Member 
States* representatives  within the Committee  shall  be weighted  in  the  manner set 
out  in that Article.  The Chairman shall  not vote. 

The  Commission  shall  adopt  the  measures  envisaged  where  they  are  in 
accordance  with  the opinion  of  the Committee. 

If  the  measures  envisaged  are  not  in  accordance  with  the  Committee's  opinion, 
or  if  no opinion  is  delivered,  the  Commission  shall  without  delay  submit  to  the 
Council  a  proposal  relating  to  the  measures  to  be  taken.  The  Council  shall  act 
by qualified  majority. 

If  on  expiry  of  a  period  of  one  month  from  referral  of  the  matter  to  the 
Council,  the  latter  has  not  acted,  the  proposed  measure  shall  be  adopted  by  the 
Commission. 

6\-

Specific Programme on "Communication Technologies" 

1.  The procedure  laid  down  in  Article  6 shall  apply  to: 

Article  7 

- 

- 

- 

- 

the  preparation  and  updating  of  the  work  programme  referred  to  in  Article 
5, (1); 

the  evaluation  of  RTD  projects  proposed  for  Community  funding,  as  well  as 
the  estimated  amount  of  the  Community's  contribution  to  them  where  that 
amount  exceeds ECU  2 million; 

the  measures  to  be  undertaken  to evaluate  the  Programme; 

any  adaptation  of  the  indicative  breakdown  of  the  amount  set  out  in  Annex 
II which  has not  been  the  subject  of  a  budgetary  decision. 

2.  The  Commission  shall  inform  the  Committee,  at  each  of  its  meetings,  of  progress 

with  the  implementation  of  the  programme  as a whole. 

Article 8 

The  Commission  is  authorised  to  negotiate,  in  accordance  with  Article  228,  (1), 
international  agreements  with  European  third  countries  with  a  view  to  involving  them 
in  all or  part  of  the  programme. 

Article 9 

This  Decision  is addressed  to  the  Member  States. 

Done  at  Brussels, 

For  the  Council 

The  President 

^ 

Specific Programme on "Communication Technologies" 

Annex I 

Scientific  and technological  objectives  and content 

The  present  specific  programme  fully  reflects  the  orientations  of  the  fourth  framework 
programme,  in  applying  the  selection  criteria  and  in  specifying  its  scientific  and 
technological  objectives. 

Section  l.B  of  Annex  III,  on  the  first  Action  of  this  framework  programme,  is  an 
integral  part of  the  present programme. 

Introduction 

The  new  focus  of  RTD  in  the  specific  programme  on  communications  technologies  is 
the  emerging  information  and  communications  infrastructure,  which  will  provide  the 
basis  of  the  information  society  of  the  future.  The  RTD areas  proposed  are  those  most 
vital  ta  the  development  of  the  infrastructure,  taking  into  account  the  need  for 
selectivity  and  concentration  of  effort,  and  with  the  objective  of  improving  the 
competitiveness  of  all  industry  and  the  employment  situation  in  the  European  Union, 
and of  enhancing  the quality of  life. 

EC support  for  research and technology  development  in  this  area started  in  1988  under 
the  2nd  Framework  Programme  and  was  reinforced  in  1991  and  1993  under  the  3rd 
Framework  Programme. This industrial  sector  has considerably  changed  in  recent years, 
and  the  focus  of  Community  RTD  support  in  the  4th  Framework  Programme  will  be 
different,  but  it  is  vital  that  the  Community  continues  to  support  RTD  activities  in 
advanced communications  technologies  and services  for  three reasons. 

the  harmonised  development  and 

Firstly, 
introduction  of  new  generations  of 
communication  systems  and services  is  vital  to the  consolidation  of  the  internal  market 
Research  and  technology  development  is  an  essential  underpinning  to  the  development 
of  transeuropean  networks and services. 

Secondly,  the  telecommunications  sector  is  of  major  economic  importance  in  its  own 
right  and  as  a  support  for  all  other  sectors  of  the  economy:  New  integrated 
communications 
industrial 
competitiveness,  economic  growth  and  the  creation  of  new  employment;  innovative  use 
of  new  communications  services  underpins  the  development  of  more  flexible  working 
patterns and the convergence  of  the  media, television  and telecommunications  sectors  in 
provision of  interactive  video services. 

increased  productivity, 

services  are 

the  key 

to 

Thirdly,  decisions  on  liberalisation  of  telecommunications  services  by  1998  will  pose 
new challenges  in technology  development  for  both network  and service  inter-operation 
and  service  management  in  a competitive  environment.  Continued  support  for  RTD  at 
Community  level  is  therefore  an  essential  part  of  Community  policies  for  the  internal 
market,  industrial  development,  new  employment  creation,  and  telecommunications 
itself. 

Qh 

Specific Programme on "Communication Technologies" 

The context 

Advanced communications  technologies and services  are crucial  for  consolidation  of  the 
internal  market,  for  Europe's  industrial  competitiveness  and  for  balanced  economic 
development.  The services  are a vital  link  between  industry,  services  sector  and  market 
as well  as between  peripheral  areas and economic  centres. They are also a  pre-requisite 
for  social  cohesion and cultural  development. 

Advanced  communication  services  will  multiply  the  benefits  of  more  traditional 
services. Some major  corporations  have  already  realised  the  advantages  that  can accrue: 
lower  costs,  improved  productivity,  competitive  advantages  and  reduced  environmental 
impact.  However,  in  Europe,  there  is  still  a  gap  between  the  potential  of  technology 
and the reality of  applications. 

The  activities  to  be  pursued  will  not  only  be  a  basis  for  innovation  and  a  key  to 
competitiveness,  but  will  also  make  a  contribution  to  answering  European  society's 
needs.  The  research  will  concentrate  on  the  interworking,  integration  and  verification 
through  trials  of  high-speed,  photonic  and  mobile  communication  systems,  and  the 
distribution of  network  and service  intelligence.  However,  the  actions  will  also  include 
a  number  of  "high-risk",  "high potential" concepts  from  which  the  economic  and  social 
benefits  could emerge  in the longer term. 

The  two  phases  of  the  RACE  programme  focused  on  integrated  broadband  networks 
and  demonstrations  of  how  services  could  exploit  such  networks.  Work  in  this 
programme  will  build  on  the  achievements,  and  contribute  further  to  the  success  of 
European  actions  in  this  area.  However,  in  the  period  to  1998,  a  paradigm  shift  is 
needed  towards  a  stronger  focus  on  stimulating  innovative  use.  This  will  require  a 
multi-disciplinary  approach,  and  strengthened  collaboration  between  users  of  advanced 
communications  in the public  and private sectors. 

Community  support  for  technology  development  is  still  needed  in  selected  areas where 
no one  player  can act  alone,  and where  common  European  specifications  and standards 
are necessary. These are the areas covered  in this programme. 

The  work  will  capitalise  on  the  results  achieved,  and  the  collaboration  frameworks 
established  within  the  RACE  programme.  The  emphasis  on  common  functional 
specifications  and  standards  is  still  vital.  The  actions  will  give  greater  emphasis  to  the 
interaction  between  technology  development  and  regulations,  in  collaboration  with 
National  regulatory  bodies,  to  support  the  continuing  harmonisation  of  regulatory 
regimes in Europe, and to allow  National authorities  to manage the  industrial  and social 
impacts of  new technologies and services. 

Objectives  of  the programme 

The  objective  will  be  to  develop  advanced  communication  systems  and  services  for 
economic development  and  social  cohesion in  Europe, taking  account of  the  rapid 
evolution  in  technologies,  the  changing  regulatory  situation  and  opportunities  for 
development  of  advanced  transeuropean  networks  and  services. 

10 

Specific Programme on "Communication Technologies" 

The  aims  will  be  to  support  European  policies  for  early  deployment  and  effective  use 
of  advanced  communications  in  consolidation  of  the  internal  market,  and  to  enable 
European  industry  to  compete  effectively  in  global  markets.  The  work  will  enable  the 
re-balancing  of  public  and  private  investments  in  communications,  transport,  energy 
use  and  environment  protection,  as  well  as  experimentation  in  advanced  service 
provision.  In  conjunction  with  the  work  in  the  Specific  programme  on  information 
technologies,  it will  provide  a common technological  basis  for  applications  research and 
development  in  the  Specific  Programme  on  Telematic  Systems  and  will  prepare  the 
ground for  the development  of  a European market for  information  services. 

Measures  for  technology  use  stimulation,  based  on  feasibility  grants,  will  be 
implemented  to encourage and facilitate  the participation  of SMEs. 

The  areas of work 

The  work  will  consolidate  European  technological  leadership  in  digital  broadband 
communications  and enable effective  network  management  and service  deployment  in a 
diverse  and  competitive  communication  environment.  In  particular,  the  work  will 
stimulate  and  co-ordinate  the  emergence  of  digital  multimedia  services  and  integrated 
photonic  systems  with  a  view  to  their  wide-spread  introduction  in  Europe  from  2000, 
including  development  of  the  technological  basis  for  deployment  of  "Transparent 
Highways":  (all-optical  networks).  It  will  ensure  mobility  on  fixed  networks  and 
through  advanced  wireless,  radio  and  satellite  systems  across  Europe,  with  particular 
emphasis  on  user  access  in  both  public  and  private  networks,  and  develop  and 
integrity,  confidentiality  and  availability  of 
demonstrate 
information  in integrated systems. 

technologies 

the 

for 

In all  areas,  technology  and service  demonstrators  will  allow  users  of  generic  advanced 
communications  services  to  evaluate  the  applicability  of  new  technologies  and  to  focus 
technology  developments  on  their  needs  and  on  key  areas  for  Europe's  economic  and 
social  development.  The  lead  given  by  users  will  also  ensure  that  the  technology 
development  activities  respond  quickly  to  changes  in  economic  and  social  conditions 
and to new scientific  discoveries  and breakthroughs. 

A  key  role  will  be  given  to  system  integration,  usage  trials  and  demonstration  of 
advanced  services,  and  a  close  link  will  be  maintained  with  transeuropean  Network 
developments.  Application  trials  will  serve  to  demonstrate  the  capabilities  of  advanced 
communications  in  a  variety  of  business  and  public  service  sectors,  and  will  allow  the 
advantages in terms of  efficiency,  reliability,  and environmental  impact  reduction  to be 
evaluated.  They  will  enable  common  interest  groups  to  experiment  with  emerging 
technologies,  to  address  structural  and  regulatory  constraints  to  better  use  of  advanced 
communications,  to  identify  "best  practise"  and  to  evaluate  the  impacts  of  societal 
evolution  to  an  "information  economy",  with  de-centralised  collaborative  working  and 
small business networking. 

It is expected  that  the  main technology  development  activities  will  fall  in  the  following 
six areas: 

« 

fç 

Specific Programme on "Communication Technologies" 

1.  Interactive  digital  multimedia services 

Multimedia  services,  including  television,  have  a  strong  impact  on  the  socio-cultural 
life  of  society.  European  standards  and  multi-lingual  services  are  essential  for  social 
cohesion  in  Europe,  and  a  strong  multimedia  sector  will  create  new  employment 
opportunities.  Digital  systems  will  allow  better  use  to  be  made  of  existing 
infrastructures  for  TV  distribution,  and  will  enable  the  provision  of  increased  image 
quality  and  definition  (to  HDTV  and  beyond).  They  will  make  it  possible  to  increase 
the number of  programmes, to increase the number of  sound channels  for  multi-lingual 
programmes, and to create advanced  interactive  audio-visual  services. 

The  objectives  of  the  work  will  be  to  stimulate  and  co-ordinate  the  emergence  of 
European  interactive  digital  multimedia  communication  services  with  a  view  to  their 
wide-spread  introduction  from 2000. 

The  aims  will  be  to  enable  the  integration  of  existing  broadband  services,  including 
terrestrial,  cable  and satellite  TV  distribution,  with  the  public  switched  digital  services 
(ISDN  and  GSM)  for 
interactive  multimedia  services,  and  to  enable  network 
development  towards  fully  symmetrical  interactive  multimedia  services.  The  work  will 
aim  to  increase  the  efficiency  of  frequency  spectrum  use,  increase  the  number  of 
channels  and quality  of  service  available  on  all  TV  distribution  networks,  and  develop 
technologies  for  flexible  use  of  digital  video  communications,  including  ultra-high 
definition  video, for  a range of  different  purposes. 

The  work  will  make  it  possible  to  introduce  new  services:  from  specialist  arid 
professional  telework  support to public entertainment  services. Enhanced interactivity  is 
a  prerequisite  for  "pay-per-view" TV,  more selective  public  information  dissemination, 
on-demand  training  support,  electronic  information  services  for  the  general  public,  on 
line  feature-film  access,  "video  dial"  (to  view  a  recent  TV  programme)  and  viewer-
profiled  advertising  and  direct  marketing.  Switched  video  services  will  allow  high-
quality  video  telephony  and  videoconferencing  to  be  provided  to  a  wide  range  of 
organisations,  including  small  businesses  and  private  individuals.  By  enabling  the 
linking  of  multimedia  workstations  through  high-speed  digital  networks,  it  will  allow 
full  motion video  to be received and transmitted. 

The  work  will 
involve  development  of  digital  technologies  for  cost-effective 
transmission  and reception  of  different  image  resolutions  for  large  screens  and  portable 
receivers,  in  a coherent  digital  image  hierarchy.  The  provision  of  a  powerful,  flexible 
multiplex  scheme  will  enable  the  different  configurations  of  image  and  sound  streams 
within  one  channel; it  will  provide  means  for  access  control  at  programme  and  channel 
level,  and  it  will  enable  more  efficient  use  of  the  frequency  spectrum.  Technology 
developments  will  include  work  on  image  and  channel  coding,  service  multiplexing, 
network  management  and  access  control.  It  will  include  development  of  systems  for 
efficient 
communication  architectures;  an 
interoperable  set  of  source-coding  systems  for  storage,  transmission  and  display; 
common  channel-coding  and  modulation  techniques  for  digital  transmission,  and 
advanced  operating  systems  for  management  of  multimedia  communication  services. 
The  source-  and  channel-coding  systems  will  be  based  on  a digital  hierarchy  offering 
flexibility in service  provision  to match the viewing situation. 

frequency  allocation;  multi-media 

« 

// 

Specific Programme on "Communication Technologies" 

The  work  will  also  involve  the  development  of  advanced  image  compression  systems 
for  communication  on bandwidth-limited  media, and image  analysis,  understanding  and 
generation  for  advanced  services  such  as  3D-video  communication  and  "Virtual 
Presence". It will  involve  development  of  stereoscopic  and  3D presentation  technologies; 
advanced  image  capture,  editing,  storage  and  retrieval;  and  advanced  interaction 
techniques  for  digital  video services. 

functional 
The  work  will  make  a  major  contribution 
specifications  and  standards,  particularly  in  the  area  of  multimedia  communication 
protocols, and image coding,  and will  permit the economies of  scale  that are needed  for 
European industry to stay competitive  in world markets. 

to  European  common 

2.  Photonic  technologies 

The  objective  will  be  to  stimulate  and  co-ordinate  the  introduction  of  integrated 
photonic  systems,  including  development  of  the  technological  basis  for  deployment  of 
fully  optical  networks  ("Transparent  Highways") in Europe by year 2000. 

The  work  will  exploit  and  build  on  the  outstanding  progress  that  has  been  made  in 
optical  communications  in  the  last  decade.  Technology  will  be  developed  to  use  optics 
throughout  the  network,  for  both  switching  and  transmission,  avoiding  unnecessary 
conversion  between  photonics  and electronics. 

The  work  will  include  development  of  techniques  for  multigigabit  bandwidth  provision 
(at  minimal  cost,  bit-rate  and  distance  independent),  optical  switching  technology, 
optical  signal  processing  and control.  Migration  paths and timescales  will  be  established 
for  the  evolution  from  present-day  networks,  based  on  electronic  switches,  to  the 
future  hybrid  and  all-optical  networks.  Radically  new  concepts  in  design,  network 
management  and  control  of  photonic  networks  will  be  developed.  The  fundamental 
advantages  in  physical  properties  that  photons  possess  compared  to  electrons  will  be 
demonstrated  in realistic applications. 

New  concepts  in  quantum  optics,  non-linear  dynamics,  femtosecond  technologies  and 
optical  processing  will  be  used  to  achieve  the  next  generation  of  technological  break 
throughs  and  to  provide  terabit  bandwidth  capability  beyond  2000.  The  necessary  cost 
reductions  for  broadband  access  will  be  made,  to  take  full  advantage  of  the 
"Transparent  Highway",  particularly  for  customer  network  interfaces  and  interfaces 
between  the  fixed  network  and  mobile  services.  The  design  and  development  of  the 
new  network  infrastructure  and  interfaces  will  be  closely  linked  with  the  broadband 
services  they  will support. 

3.  High-speed  Networking 

The  objective  is  to  provide  integrated  high-speed  multi-gigabit  networks  by  2000  to 
leading-edge  users in  European  industry,  research organisations  and universities,  and to 
prepare for  the  Europe-wide  mass deployment  of  these networks. 

The  technology  and  system  development  will  support  broadband  services,  including 
videophones,  teleworking,  multimedia  and  social  care.  It  will  cover  customer  premises 
networks, public  networks,  and corporate  networks; from  basic  technology  development 
through to pilot  implementation  of  advanced services. 

13 

6  ? 

Specific Programme on "Communication Technologies" 

It  will  involve  a  phase  of  user-led  definition activities  to  outline  the  network  services 
and the network  infrastructure  essential  to support  advanced  applications.  The  activities 
will  include  a  thorough  analysis  of  usage  planning,  system  design,  implementation, 
management and supervision  issues. The different  technology  and economic  options  will 
be  mapped  with  network  topologies  and  architectures.  This  will  be  followed  by  a 
second  phase,  developing the  missing  elements  and integrating  them  with  the  results  of 
R&D in  the other areas. It will  cover all  the  networking  issues  required  for  high-speed 
(protocols,  routing  and  congestion  management).  The  ATM 
communications 
(Asynchronous  Iransfer  Mode)  technologies  developed  in  RACE  will  be  a  starting 
point,  but they  will  be extended to higher speeds and capacities. 

In a third  phase,  interconnection  trials and demonstrations  will  be  supported.  They  will 
promote  the  use  of  reliable,  high  quality  and  secure  broadband  network  services  and 
stimulate  timely  and  co-ordinated  infrastructure  deployment.  These  activities  will  also 
nurture progress towards the resolution of  trans-border  regulatory  issues. The trials will 
be  used  to  evaluate  network  management  and  operation,  reliability  and  flexibility 
parameters.  They  will  form  a  comprehensive  test 
infrastructure  based  on  the 
interconnection  of  islands  and  support  a  wide  range  of  advanced  applications  and 
services,  Throughout,  the  various  technologies  will  be  aligned  with  evolving  user 
requirements  to raise  user-acceptability. 

4.  Mobility  and personal  communications  networks 

The  objective  will  be  to  accommodate  the  foreseeable  demand  for  personal 
communications  beyond the year 2000 and to permit  the European  industry  to retain its 
leadership position in this area. 

The  dominant  aspect  of  future  telecommunication  networks  will  be  their  capability  to 
provide  a  wide  range  of  telecommunication  services  to  an  ever  increasing  number  of 
mobile  users.  It  is  expected  that  future  requirements  for  personal  communications  will 
reach unprecedented  levels, and the demand for a "Personal Communications  space" will 
require  radically  new,  expanded  and  spectrum-efficient  networks,  infrastructures  and 
equipment. 

The  work  will  focus  on operational  trials and on  the  technological  aspects  of  integrated 
fixed  and  mobile  broadband  networks  that  have  a  direct  bearing  on  the  provision  of 
enhanced  personal communication services. 

The trials will  validate  the  wireless  sub-system  and network  components  in a variety  of 
environments  (office,  residential, 
and  factory).  It  will  demonstrate  cost/effective 
applications  and  services  in  such  environments,  validate  the  integration  of  different 
networks  and  services,  and  prove  interface  effectiveness.  It  will  also  involve  the 
development  and proving  of  maintenance  procedures,  reliability  testing  and  end-to-end 
quality-of-service  management.  The  work  contribute  to  development  of  common 
identification  of  new  market 
specifications  and  standards,  as  well  as  to  the 
opportunities  and  needs  for  changes 
in  regulatory  procedures  and  equipment 
specifications. 

The  work  will specifically  address the following  two main areas: 

14 

n 

Specific Programme on "Communication Technologies" 

transmission/reception  of 

integration  and  packaging  techniques  for 

information.  Broadband  radio  technologies  will  be  developed 

For  mobile  broadband systems  and  services, technological  developments  will  concern 
miniaturisation,  component 
low-power 
portable  transceivers,  for  transmission,  reception,  display  and  local  processing  of 
for 
multimedia 
cost/effective 
interactive  and  distributive  multimedia 
information  over  wireless  networks,  including  satellite  and  local  area  networks,  with 
optimum  use  of  the  frequency  spectrum.  Advanced  electrical/optical  technologies  will 
be  used  to  permit  "radio-over-fibre"  and  the  development  of  novel  mobile  network 
architectures  using  low  power  distribution  points  and  base  stations.  Novel  multiple-
access  techniques  will  be  developed,  together  with  associated  coding  and  compression 
technologies,  to meet the requirements for  the  reliable  and secure  transfer  of  very large 
volumes  of  information  at  speeds  commensurate  with  those  of  fixed  broadband 
networks.  Critical  technologies  will  be  developed  for  integrated  satellite  and  terrestrial 
networks; signalling  and  transmission  protocols  will  be  developed,  and  assessments  will 
be made of  their capacity  and coverage  requirements. Standardisation  will  be  supported 
through 
the 
integration/interworking  of  mobile  broadband  networks  (land  and  satellite  based)  with 
fixed  networks. 

specifications 

development 

functional 

common 

for 

of 

To  develop  the  concept of  a  "Personal  Communications  Space"\ advanced  technologies 
will  be investigated  for  personal authentication,  security  and privacy  through  the  use of 
voice  recognition  schemes and/or  personal  smart  cards.  Advanced  broadband  integrated 
location/registration 
network  management 
management  and  subscriber  database  management.  Man/machine 
interfaces  and 
common  operational  procedures  will  be  developed  for  personalised  service  profiles, 
service  and network  access, call connection,  service  control  and billing. 

techniques  will  be  developed 

for 

5.  Intelligence  in  networks and service  engineering 

The  objective  is  to  develop  technology  for  flexible  and  real-time  management  of 
communication  assets,  reflecting  the  requirements  of  users,  service  providers  and 
network  operators  for  solutions  which  can  evolve  organically  with  user  needs,  market 
evolution  and technology changes. 

The  specific  aim  of 
communications  networks  with 
communications  management,  including  networks, services and user access. 

intelligence  in  networks  is  to  equip  the 
for  real-time 

features  required 

the  work  on 

the  build-in 

The  R&D on  service  engineering  will  advance  the  concepts  of  modular  standardisation 
of  service  components  and  building  blocks,  as  a  basis  for  cheaper,  quicker  and  more 
responsive development  of  services. Modular standardisation  is the basis for  re-usability 
and sharing  of  assets. It  is  also  the  pre-requisite  for  future-proof  investments  as  it  de 
couples  the  technology  from  the  functions  and  its  integration  in  the  realisation  of  a 
given service or application. 

This  work  will  therefore  contribute  to  the  fast  and  flexible  introduction  of  new 
services  in  advanced  broadband  networks,  and  effective  network  management  and 
service  deployment  in  a  diverse  and  competitive  communication  environment.  The 
expected  impact  will  be  to  speed  up  new  service  provision  by  at  least  one  order  of 
magnitude,  thereby  creating  early  market  opportunities  for  new  services.  For  the  user, 
the  impact  of  service  engineering  will  be  the  ability  to  have  more  control  over  the 
services  and communication  media  used: to combine  voice,  data  and  video  in  the  form 
needed at a given time. 

15 

£  f 

Specific Programme on "Communication Technologies" 

The  software  and system  development  will  be  carried  out  in  the  context  of  application 
trials,  involving  end  users, service  providers  and  network  operators.  It  will  involve  the 
development,  assessment  and  validation  of  architectures,  methods  and  tools,  the 
integration  of  service  components,  and  network  and  service  management  techniques. 
Self-learning  and  self-healing  management  systems  for  "adaptable  networks"  will  be 
developed  and tested. 

Work  on  the  reduction of  the  service  development  cycle  will  focus  on  the  whole 
provisioning  cycle,  from  the  identification  of  needs  to  the  creation  and  deployment  of 
services  in  the  network.  Particular  attention  will  be  given  to  transparent  and  reliable 
service  introduction  in  real  operational  environments.  The  work  will  involve  the 
development  and  testing  of  new  service  concepts  which  take  advantage  of  increased 
bandwidth  and  intelligence  in  networks  and  increased  mobility  of  users.  Application 
programming  interfaces  will  be developed  and  their  validity  tested.  The  work  will  take 
account  of  the  heterogeneity  of  networks,  migration  to  integrated  networks,  user 
mobility,  the  evolution  to  re-usable  service  components,  and  resource-hungry  services, 
such  as  Virtual  Presence.  Techniques  will  be  developed  for  rapid  service  conformance 
testing. 

Work on  service engineering  will  address new  needs  in  an environment  characterised  by 
a  rapidly  growing  diversity.  The  work  will  involve  development  of  common  functional 
specifications  and codes  of  practise  for  integrated  service  engineering.  Work on  service 
creation  environments  will  involve  development  of  organisational  frameworks  and 
technologies  for  re-use  of  service  components.  Work  on  user  issues  will  involve 
development  of  technologies  and  systems  to  increase  user  control  of  services,  their 
integration, and use of  resources; ergonomie research on  use of  services,  and  techniques 
for  adaptive  user-service  interaction 

The  work  will  be  carried  out  in  conjunction  with  that  in  area  6  on  communications 
system  safety,  and security  aspects  of  access  to  resources.  Functional  specifications  and 
codes of  practice arising  from  this work  will  support the standardisation process. 

6.  Quality,  security  and safety  of  communication  services  and systems 

The  objective  is  to  investigate  and  develop  technologies  for  economically  viable  and 
operationally  satisfactory  solutions  to  requirements  for  services  and  systems  that  are  of 
high quality,  secure and safe. 

Quality  of  Service,  security  and  safety  are  closely  related.  Easy  to  use,  reliable  and 
maintainable  solutions  must  be  developed,  within  which  security  is  one  essential 
component.  Information  services  require  positive  attention  to  the  protection  of 
information  assets,  both  directly  through  the  technology  employed  (functionality)  and 
indirectly  through  the  quality  of  the  system  design,  development  and  operation 
(assurance). 

16 

?" 

Specific Programme on "Communication Technologies" 

The  work  will  concern  the  public  unclassified  domain.  It  will  therefore  be  relevant  to 
most  business  sectors,  public  administrations  and  the  public  at  large.  It  will  be 
concerned  with  traditional  requirements  for  integrity  and  reliability  of  communications 
(relating  to  the  certainty  that  the  information  is  as  intended)  and  confidentiality  (or 
privacy),  as  well  as  other  features,  such  as  non-repudiation  (whether  or  not  the 
originator  is  whom  he  claims,  or  that  the  addressee  cannot  subsequently  deny  receipt) 
and  electronic  signatures.  This  set  of  features,  once  publicly  available,  will  allow  the 
business  community  to  perform  most  of  their  transactions  electronically.  In  the  area  of 
confidentiality,  it  is  recognised  that  solutions  are  required  that  are  compatible  with 
national security  and the maintenance of  public order. 

The  strong  common  links  between  Quality-of-Service,  security  and  safety  implies  the 
development  of  a  consistent  technical  approach.  Trustworthiness  implies  both  secure 
and safe  networks  and services.  The  work  will  concentrate  on technology  developments 
to  improve  quality  of  service,  security  and  safety  throughout  distributed  information 
systems,  paying  particular  attention  to  cost-performance.  It  will  explore  built-in  early 
warning  and  fault/risk  reporting  techniques,  as  well  as  flexible  response  mechanisms. 
These  will  be  developed,  where  appropriate,  as  a  means  of  protecting  public  network-
based services and applications  against  interference  and loss of  availability. 

For  better  Quality-of-Service,  technology  development  is  a  prerequisite  for  improved 
usability  and reliability  in  multi-media  and distributive  services.  The  R&D will  address 
new  architectures  for  delivery  of  safe  and  secure  broadband  services.  For  secure 
communications,  R&D  will  address  the  flexible  management  of  security  in  an  open, 
technology 
world-wide  network  and  service  environment.  For  enhanced  safety, 
development  will  be  related  to  fail-safe  mechanisms,  self-healing  and  self-repairing 
networks and services. 

The  work  will  complement  that  in  other  areas  of  this  Programme  and  in  other  specific 
programmes  and  will  include  investigations,  demonstrations,  experiments  and  trials  of 
integrated  systems.  The  results  will  include  Common  Functional  Specifications,  Codes 
of  Practice and contributions  to standardisation. 

Horizontal  actions: 

Consensus  development  and  concertation  of  National  and  regional  activities  for 
stimulation  and promotion  of  broadband  infrastructure  and service  development. 

These  actions,  which  will  bring  together  work  in  each  on  the  six  areas,  will  include 
concertation  between  RTD  projects,  concertation  with  European  standardisation  and 
strategic  planning  bodies6,  co-ordination  with,  as  well  as  collaboration  in  appropriate 
cases,  with  COST  and  EUREKA  activities,  and  co-ordination  with  actions  funded 
under the ERDF,  EIB, EIF and Cohesion  funds. 

6 

ETSI, CEN/CENELEC, EURESCOM and ETNO. 

17 

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Specific  Programme on "Communication Technologies" 

Concerted  actions  and  accompanying  measures  will  focus  on  social  and  economic 
impacts of  advanced  communications.  These  actions  will  highlight  opportunities  for  re 
balancing  of 
the  public  and  private  sectors  between 
telecommunications  and transport for energy saving and environmental  protection. They 
will  involve  the  identification  and  definition  of  advanced  services  for  Europe-wide 
deployment,  as well as their  impact assessment.  Special  actions  will  be  taken  to  increase 
the awareness of  the advantages derived  from  the availability  of  new services. 

investments 

in  both 

Special actions in International  co-operation. 

that  are  going  on 

Most business activities  are world-wide,  and telecommunications  must  therefore  operate 
globally.  The  mergers 
including 
telecommunications,  emphasise  this  global  dimension.  Special  actions  to  support 
international  co-operation  will  focus  on  applications  development  and  network 
management,  and  will  be  limited  to  areas  of  clear  mutual  and  balanced  interest. 
Particular  attention  will  be  given  to  synergies  with  the  National  Information 
Infrastructure  initiative  in the USA  and with similar activities  in Japan. 

in  major 

industries, 

These  actions  will  also  provide  a  framework  for  stronger  co-operation  with  initiatives 
in  eastern  and  central  Europe,  as  well  as  with  the  new  Independent  States  of  the  ex-
Soviet  Union,  including  those  funded  under  the  PHARE  and  TACIS programmes,  and 
initiatives  financed  by  the  EBRD.  At  a time  when  eastern  and  central  Europe  is  going 
through  a  very  critical  reconstruction,  support 
for  advanced  communication 
experiments  based  on  'appropriate'  technology,  linking  organisations  in  eastern  and 
western  Europe,  will  help  speed  up  transfer  of  know-how,  stimulate  indigenous 
economic  development  and open  up new  opportunities  for  European  businesses. Special 
measures  will  also  be  taken  to  facilitate  the  exchange  of  scientists  and  researchers 
between  eastern  and  western  Europe  in  the  framework  of  some  R&D  projects  and 
trials. 

Special  actions  for  dissemination  and  exploitation  of  results  and  for  professional 
training in advanced  communications  technologies  and service  management. 

These actions will  include  the organisation of  summer  schools, seminars,  workshops and 
support  for  selected  international  conferences.  Provision  will  also  be  made  for 
professional  exchanges  of  scientists  between  the  Member  States  of  the  Community,  for 
limited  periods of  research in the projects. 

An  increased  effort  will  be  made  to  stimulate  the  effective  exploitation  of  emerging 
technologies  and  services  through  a  programme  of  public  demonstrations  and 
exhibitions. 

18 

12 

Specific Programme on "Communication Technologies" 

ANNEX  II 

INDICATIVE  BREAKDOWN  OF THE  AMOUNT  DEEMED NECESSARY 

AREA 

ECU  millions 

1. Interactive  digital  multimedia  services 

2. Photonic  technologies 

3.  High-speed  Networking 

4.  Mobility  and  personal  communications  networks 

5. Intelligence  in  networks  and  service  engineering 

6. Quality,  security  and  safety  of  communication 

services  and  systems 

Horizontal  actions 

TOTAL 

150 

1127 

75 

119 

100 

43 

318 

6309 

This  breakdown  does  not  exclude  that  a project  could  relate  to several  areas. 

7 
8 
9 
expenditure. 

Of which 63 MECUs for fundamental research. 
Of which 6 MECUs for the dissemination and exploitation of results. 
Of which 40 MECUs (6.3%) for staff expenditures and 25 MECUs (4.0%) for administrative 

19 

H 

Specific Programme on "Communication Technologies" 

ANNEX III 

IMPLEMENTATION  PROCEDURES 

1.  The  detailed  rules  for  the  Community's  financial  contribution  are  laid  down  in 

Annex IV to the Decision on the fourth  framework  programme. 

The  detailed  rules  for  the  participation  of  undertakings,  research  centres  and 
universities, and for  the dissemination of  results will  be laid down in the measures 
provided  for  by Article  130 j  of  the Treaty. 

However,  for  the  purpose  of 
precisions shall apply: 

implementing  this  programme,  the  following 

1.1  Participation  in  this  programme  is  open,  with  financial  support  from  the 

Community: 

(a) 

to all legal entities, established and regularly carrying out RTD activities 

in the Community, or 

third  country  associated,  . wholly  or 

in  a 
the 
implementation  of  the  relevant  programme  through  an  agreement 
concluded between the Community  and the said third country; 

in  part,  with 

(b) 

to the Joint Research Centre. 

1.2  Participation  in  this  programme  is  open,  without  financial  support  from  the 
Community,  and  on  condition  that  their  participation  is  in  the  interests  of 
Community policies: 

(a) 

to  legal  entities  established  in  a  country  which  has  concluded  a  scientific 
and  technical  co-operation  agreement  with  the  Community  relating  to 
activities  covered  by  the  programme,  provided  the  participation  accords 
with the  terms of  the agreement, 

(b) 

to legal entities established  in a European country, 

(c) 

to international  research organisations. 

1.3  The  participation  of  European  international  organisations  may  be  financed 
on  the  same  basis  as  that  for  Community  organisations  in  duly  specified 
cases. 

2.  The  programme  will  be  implemented  following  definition  of  trials  of  advanced 
communications  applications  which  will  best  contribute  to  a  European  growth, 
competitiveness  and employment  initiative.  The  work  programme  for  research and 
technology  development  will  be  adopted  in  the  light  of  the  specific  requirements 
of  the trials. 

The programme shall be executed through: 

» 

74 

Specific Programme on "Communication Technologies" 

2.1.  financial  participation  of  the  Community  in  RTD  actions  carried  out  by  third 

parties, or by the JRC institutes  in association  with  third parties: 

(a)  Cost-shared  actions of  the following  types: 

-  RTD  projects  carried  out  by  enterprises,  research  centres  and  universities, 
including  "Integrated action" consortia  bringing  them  together  within  a common 
theme. 

-  Technological  use  stimulation  aiming 
the 
participation  of  SMEs  through  grants  covering  the  exploratory  phase  of  RTD 
actions  -  including  a search  for  partners  -  and  for  co-operative  research.  Such 
grants  will  be  made  following  the  selection  of  outline  proposals  which  can  be 
submitted  at any time; 

to  encourage  and  enable 

-  Financial  support  for  infrastructures  and  installations  necessary  for  trials  and 
co-ordinated  actions (re-inforced  co-ordination actions). 

(b)  Concerted  actions  which  consist  of 

the  co-ordination,  notably 

through 
"concertation networks" of  RTD projects  already  financed  by  public  authorities or 
private  organisations.  Concerted  actions  may  also  serve  as  the  necessary  co 
ordination  for  the  operation  of  common  interest  groups  which,  through  cost-
shared  RTD  projects  (cf.  2.1(a)  1st  indent)  bring  together  around  the  same 
technological  or  industrial  objective,  manufacturers,  users,  universities  and 
research centres. 

(c)  Specific  measures  such  as those  in support of  standardisation,  and  measures  aimed 
at  the  implementation  of  facilities  of  general  value  to  research  organisations, 
universities  and enterprises.  The  Community  participation  may cover  100% of  the 
costs of  these measures. 

2.2.  Preparatory,  accompanying  and supporting  measures such as: 

-  Studies  and  analyses  in  support  of  the  present  programme,  or  the  preparation 
of  possible  future  actions; 

-  conferences,  seminars,  workshops,  or other  scientific  meetings  or mechanisms, 
including  inter-sectoral  and multi-disciplinary  co-ordination meetings; 

-  use of  external  expertise,  including  access  to scientific  databases; 

-  scientific  publications,  including  those  for  the  dissemination,  promotion  and 
exploitation  of  results  (in  co-ordination  with  the  activities  carried  out  within 
the  3rd action); 

-  evaluations  of  the  socio-economic  impacts,  as  well  as  technological  risks, 
related  to  the  set  of  projects  within  the  present  programme.  Close  collaboration 
will  be  ensured  with  the  programme  "targeted  socio-economic  research"  in 
order  to  ensure  an  optimal  exploitation  and  eventual  use  of  the  results  of  this 
work; 

-  training  actions  linked  to the  research covered  by the programme; 

21 

7f 

Specific Programme on "Communication Technologies" 

-  independent  evaluation  of  the  management  and  execution  of  the  actions 
(including  studies) in the programme 

-  measures  to  support  the  operation  of  networks  for  increasing  awareness  and 
the 
favour  of  SMEs, 
decentralised  assistance 
EUROMANAGEMENT  action  -  RTD audits. 

in  connection  with 

in 

The  actions  for  diffusion  and exploitation  of  results  carried  out  in  this  programme  will 
be  complementary  to  those  carried  out  in  Action  3,  and  will  be  implemented  in  close 
co-ordination  with  them.  Partners  in  RTD  projects  will  constitute  a  key  network  for 
diffusion  and exploitation  of  results.  As  indicated  above,  the  actions  will  be  reinforced 
by  a  programme  of  publications,  conferences,  results  promotion,  studies  of  potential 
techno-economic  opportunities,  etc.  In order  to ensure  optimum  exploitation  of  results, 
the  factors  liable  to encourage  use of  results will  be  taken  into  account  from  the  outset 
and throughout  the duration of  RTD projects. 

22 

^ 

FINANCIAL STATEMENT 

1.  ACTION TITLE 

Specific  Programme of  Research, Technology  Development  and demonstration  in 
the Area of Advanced Communication Technologies and Services 

2.  BUDGET UNE CONCERNED 

B6-7112 

3.  LEGAL BASE 

Article 130 i,(4) of the Treaty on the European Union. 

Decision  94/. ./EC  of  the  Council  and  European  Parliament  concerning  the *4th 
framework programme of research, technology development and demonstration. 

4.  DESCRIPTION OF ACTION 

4.1 General  objectives 

The  objectives will  be to  develop  advanced  communication  systems  and  services 
for  economic  development  and  social  cohesion  in  Europe, taking  account  of  the 
rapid evolution in technologies, the changing regulatory  situation and opportunities 
for development of advanced TransEuropean networks and services. 

The work will  consolidate  European technological  leadership  in  digital  broadband 
communications  and  enable  effective  network  management  and  service 
deployment in a diverse and competitive communication environment.  In particular, 
the work will stimulate and co-ordinate the emergence of digital multimedia services 
and  integrated  photonic  systems  with  a  view  to  their  wide-spread  introduction  in 
Europe  from the  year  2000, including  development  of  the  technological  basis  for 
deployment of optical fibre  networks.  It will ensure  mobility  on fixed  networks  and 
through  advanced  wireless,  radio  and  satellite  systems  across  Europe,  with 
particular  emphasis  on  user  access  in  both  public  and  private  networks,  and 
develop  and  demonstrate  technologies  for  the  integrity,  confidentiality  and 
availability of information in integrated systems. 

7> 

4.2  Areas covered bv the programme 

The  technology  development  and  demonstration  activities  will  be  in  the  following  six 
areas, 

•  Area  1 : Interactive digital multimedia services 

Work in this area will allow new services to be introduced, from specialised telework 
and professional tools to entertainment services for the general public. 

Area 2 : Photonic technologies 

This work will exploit and build on the outstanding  progress that has  been  made in 
optical  communications  in the  last  decade.  Technology  will  be  developed  to  use 
optics  throughout  the  network,  for  both  switching  and  transmission,  avoiding 
unnecessary conversions between photonics and electronics. 

Area 3. High-speed Networking 

The technology and system development will support broadband services, including 
videophones,  teleworking,  multimedia  and  social  care. 
It  will  cover  custpmer 
premises networks, public networks, and corporate networks; from basic technology 
development through to pilot implementation of advanced services. 

Area 4. Mobility and personal communications networks 

Two  orientations  of work will be followed: mobile  broadband  systems  and  services 
and the development of the concept of a "personal communications space". 

•  Area 5. Intelligence in networks and service engineering 

The  R&D  in  this  area  will  provide  the  basis  for  cheaper,  quicker  and  more 
responsive development of services. 

•  Area 6. Quality, security and safety of communication services and systems 

The  activities will be focused  on new architectures  for delivery  of  safe  and  secure 
broadband  services.  This  work  will  complement  that  in  other  areas  of  the 
programme and in other specific programmes. 

4.3.  Period covered by the action 

1994-1998 

24 

"?/ 

5. CLASSIFICATION OF  EXPENDITURE 

NOE, CD, 

6. TYPE OF  EXPENDITURE/RECEIPT 

Studies /subsidies 

•  Direct actions will, in principle, be financed at  100% 

•  Concerted  actions  may  involve  participation  of  up  to  100%  of  the  costs  of 

concertation 

Subsidies for co-financing with other sources from the private or public sector 

•  Cost shared actions associated with RTD  projects will involve  a  participation  of not 

more than 50% 

•  Universities and other research centres which participate in RTD projects and which, 
in the view of the Commission, cannot justify their total cost with sufficient precision, 
on  the  basis  of  an  analytical  accounting  system,  will  be  funded  at  100%  of 
additional cost. 

•  Other  cost  shared  actions  (for  example  networking,  training,  feasibility  studies, 
accompanying measures) will be funded at up to  100% of additional costs, or of the 
cost of the measures. 

Staff and administrative expenditures 

•  Costs for statutory or other staff, of studies, of expert meetings, of conferences and 
seminars  of  informations,  of  publications,  of  operational  and  technical  support,  as 
well  as  other  internal  infrastructure  costs  and  operational  costs  related  to  the 
realisation  of  the  objectives  of  actions,  where  these  form  an  integral  part  of  the 
programme. 

25 

-?? 

7. FINANCIAL IMPACT 

7.1 Calculation method for the total cost of the action (definition of unit costs) 

Staff expenditures: 40 Mecu (6,3% of the amount deemed necessary: 630 Mecu) 

The  staff  situation  of  1994  will  be  maintained,  that  is  :  116  posts  of  which  114  are 
associated with the  specific programme  on the  communication  technologies  of the 3rd 
framework programme and 2 with the INFOSEC  action.  The  breakdown of these posts 
is as follows: 63A + 14 B + 39 C. 

It is important to note that the staff for this specific programme will also be  responsible 
for  the  scientific  and  contractual  management  of  actions  in  the  framework  of  the 
communication technology programme of the 3rd F.P. and of INFOSEC. 

Administrative  expenditures:  25  Mecu  (4%  of  the  amount  deemed  necessary:  630 
Mecu) 

Intervention  expenditure:  565  Mecu  (89.7%  of  the  amount  deemed  necessary:  630 
including  expenditure  associated  with  accompanying  measures,  with 
Mecu), 
evaluations, and with concertation activities. 

7.2  Breakdown of the action (in Mecu) 

Area  1 : Interactive digital multimedia services 
Area 2. .Photonic technologies 
Area 3. High-speed Networking 
Area 4. Mobility and personal communications networks 
Area 5. Intelligence in networks and service engineering 
Area 6. Quality, security and safety of communication services 
and systems 

Horizontal actions 

Total 

150 
1121 
75 
119 
100 

43 

312 

6303 

The  breakdown between different areas does not exclude that a  project could relate to 
several areas. 

1 of which 63 Mecu is for fundamental research activities 
2including expenditures for evaluation and concertation, and about 6 Mecu (1%) for dissemination and 
exploitation of results. 
3including 40 Mecu (6.3%) for staff expenditures, 25 Mecu (4%) for administrative expenditures. 

26 

7.3. 

Indicative time-table for credits (in Mecu) 

The  schedule  will  be  established  on  the  basis  of  the  overall  amounts  for  the  fourth 
framework programme adopted indicatively for the periods  1995-96 and  1997-98 at the 
conciliation meeting on 21  March 1994.  The RTD appropriations for each financial year 
will be proposed and adopted each year on the basis of the resources available  in the 
context of the financial perspective. 

Engagement 
credits 

1995 
1996 
1997 
1998 
TOTAL 

198.5 
101.5 
175 
155 
630 

Payment credits 

1995 

1996 

1997 

77 

74 
45 

28 
35 
71 

77 

119 

134 

1998  and 
following 
19.5 
21.5 
104 
155 
300 

TOTAL 

198.5 
101.5 
175 
155 
630 

8.  ANTI-FRAUD  DISPOSITIONS 

FORESEEN 

(AND  RESULTS  OF 

THEIR 

IMPLEMENTATION) 

Numerous  administrative  and  financial  controls  exist  at  all  stages  of  selection  and 
execution of contracts for research. Among these are: 

Before conclusion of the contracts: 

• 

Initial selection of  proposals on the basis of their scientific value and of the  realism 
of the cost estimates for the research and /or technology development in the light of 
its nature, its duration and its potential impact. 

•  Analysis, by negotiators, of financial information transmitted  by the proposers in the 

negotiation forms. 

After signature of the contracts: 

•  Controls at the  place  of work,  by examination  of  supporting  documents,  to  detect 
errors  or other  irregularities. 
In order  to  reinforce  the  efficiency  of  these  controls, 
the  Commission's  services  have  set  up  audit  teams  which  centralise  all  of  the 
required  controls.  These  controls  are  either  carried  out  by  members  of  the  audit 
team  or by audit companies with which the  Commission  has  concluded  framework 
contracts, under the supervision of the staff of the audit team. 

9. COST-EFFICIENCY  ANALYSIS  ELEMENTS 

9.1.  Specific and Quantified objectives, targeted population. 

In all areas, a leading role will be taken by user groups with common requirements, both 
to  ensure  that  the  R&TD  activities  are  relevant  to  their  needs,  and  to  focus  the 
technology developments  in key areas for Europe's economic and social development. 
The  lead  given  by  users  will  also  ensure  that  the  technology  development  activities 

27 

?' 

respond  quickly  to  changes  in  economic  and  social  conditions  and  to  new  scientific 
discoveries and breakthroughs. 

A  key  role  will  be  given  to  system  integration,  usage  trials  and  demonstration  of 
advanced  services,  and  a  close  link  will  be  maintained  with  TransEuropean  Network 
developments. These will enable common interest groups to experiment with emerging 
technologies, to address structural and regulatory constraints to better use of advanced 
communications,  to  identify  "best  practice"  and  to  evaluate  the  impacts  of  societal 
evolution  to  an  "information  economy",  with  de-centralised  collaborative  working  and 
small business networking. 

Specific objectives of each of the areas are as follows: 

•  Area 1 : Interactive digital multimedia services:  encouragement and coordination of 
European multimedia communications services, including interactive digital services, 
with the objective of ensuring their wide spread-use by the year 2000.  In particular, 
•the work will allow interoperation of broadband services with existing digital switched 
public services (ISDN). 

•  Area  2.  Photonic  technologies: 

introduction  of  integrated  photonic  systems  in 
particular the development of the technological basis necessary for the introduction 
of fully optical networks in Europe by the year 2000. 

•  Area 3. High-speed  Networking:  the objective  is to provide  integrated, high-speed 
multi-gigabit  networks  to  leading-edge  users  in  European  industry,  research 
organisations  and  universities,  and  to  prepare  for  the  Europe-wide  mass 
deployment of these networks. 

•  Area 4. Mobility and personal communications networks:  the work will focus on the 
satisfaction  of  foreseeable  demand for  personal  communications  beyond the year 
2000 and will permit European industry to retain its leadership in this area. 

•  Area  5.  Intelligence  in  networks  and  service  engineering:  the  specific  aim  of  the 
work on intelligence in networks is to equip communication networks with the built-in 
features  required  for-real  time  communications,  including  networks,  services,  and 
user access. 

•  Area 6  Quality, security and safety of communication services and systems: 

The objective is to investigate and develop technologies for economically viable and 
operationally  satisfactory  solutions  to  requirements  for  services  and  systems  that 
are of high quality, secure and safe. 

•  Horizontal actions 

The  horizontal  actions  will  concern  consensus  development  and  concertation  of 
national  and  regional  activities;  international  co-operation;  dissemination  and 
exploitation  of  results,  and  professional  training  in  advanced  communications 
technologies and service management. 

28 

n 

Accompanying measures 
The preparatory accompanying and supporting measures will  consist of the following: 

studies  and  analyses  in  support  of  the  present  programme,  or the  preparation  of 
possible future actions; 

conference,  seminars,  workshops,  or  other  scientific  meetings  or  mechanisms, 
including inter-sectorial and multi-disciplinary co-ordination meetings; 

use of external expertise, including access to scientific databases; 

publications, including those for the dissemination and exploitation of results; 

evaluations of the socio-economic impacts, as well as technological risks, related to 
the set of projects within the present programme; 

training actions linked to the research covered by the programme; 

independent evaluation of the management  and execution of the actions  (including 
studies) in the programme. 

measures to support the operation of networks to increse awareness and to provide 
decentralised support to SMEs. 

9.2 

Justification of the action 

9.2.1  Justification or necessity for intervention 

EU support for research and technology development in this area started in 1998 under 
the  2nd  Framework  Programme  and was  reinforced  in  1991  and  1993  under  the  3rd 
Framework  Programme.  This  industrial  sector  has  considerably  changed  in  recent 
years, and the focus of Community  RTD support in the 4th  Framework  Programme will 
be  different,  but  it  is  vital  that  the  Community  continues  to  support  RTD  activities  in 
advanced communications technologies and services for three reasons. 

integrated  communications  services  are  the  key  to 

introduction  of  new  generations  of 
Firstly,  the  harmonised  development  and 
communication systems and services is vital to the consolidation of the internal market: 
Research and technology development is an essential underpinning to the development 
of transEuropean networks and services. Secondly, the telecommunications sector is of 
major  economic  importance  in  its  own  right  and  as  a  support  for  all  sectors  of  the 
economy:  New 
increases 
productivity,  industrial  competitiveness,  economic  growth  and  the  creation  of  new 
the 
employment; 
development of more flexible patterns and the convergence of the media, television and 
telecommunications sectors in provision of interactive video services. Thirdly,  decisions 
on  liberalisation  of  telecommunications  services  by  1998  will  pose  new  challenges  in 
technology development for both network and inter-operation and service  management 
in a  competitive  environment  Continued  support  RTD  at Community  level  is therefore 
an essential part of Community policies for the internal  market,  industrial development, 
new employment creation, and telecommunications  itself. 

innovative  use  of  new  communications  services  underpins 

29 

Main uncertainties which could affect the specific results of the action 

The  success  of  the  actions  will  depend,  in  part,  on  the  successful  implementation  of 
European Union policies for telecommunications, notably in the liberalisation of services 
equipment provision and infrastructures. 

The  success of the actions will also  be  linked to the  successful  implementation  of the 
new E.U. initiatives on growth, competitiveness and employment 

9.2.2. Choice of intervention modes 

The  selection  criteria  are  clearly  defined  in the  information  documents  transmitted  to 
potential participants, they concern principally: 

Industrial impacts and strategic importance 
economic, social and environmental impacts 
the needs of users 
technical quality 
quality of the consortium and the management approach proposed 
quality of the proposal for dissemination and exploitation of results 
the degree of complementarity with other research 

The  cost  shared  actions will  be  the  preferred  mode  for  research  projects. 
In  fact  for 
European industry to work together  and to  protect their results, a  financial contribution 
by the Community is necessary, as in the case of concerted actions. This latter mode of 
action while appropriate for university research is not appropriate for industrial research. 

Public funding will be up to a maximum of 50% of total cost of the research, and may be 
less when the research is near to the market 

9.2.3. Justification of the targeted population 

Five types of organisations are targeted 

Users of telecommunication services 
operators of telecommunications networks 
providers of equipment and software 
providers of telecommunications services 
universities, and research centres and institutes 

30 

9.3. 

Follow UP and evaluation of action 

9.3.1  Methods 

The  follow  up  of  the  action  will  be  assured  by  the  services  of  the  General  Direction 
responsible  for  execution  of  the  specific  programme,  which will  also  contribute  to  the 
systematic evaluation of research projects. 

The  status  of  implementation  of  the  programme will be  examined  in a  continuing  and 
systematic  way  with  respect  to  its  objectives,  in  order  to  establish  whether  the 
objectives,  priorities  and  financial  resources  remain  appropriate  to  the  evolving 
situation. 

In order to contribute to an overall evaluation  of Community  activities, the  Commission 
will have  an  evaluation  carried  out by independent  experts,  at  an  appropriate  time,  of 
the  actions  in the  area  directly  covered  by the  programme,  and  of  their  management 
during-the five years preceding the evaluation. 

Each RTD project will be subjected to an independent technical Audit each year. 

At  the  end  of  the  present  programme,  the  Commission  shall  have  a  final  evaluation 
carried out, by independent experts, of the results of this programme with respect tq the 
objectives  of  the  programme  and  the  framework  programme.  The  Commission  shall 
communicate  the  report  of  this  evaluation,  together  with  its  observations,  to  the 
European Parliament, to the Council and to the Economic and Social Committee. 

9.3.2  Appreciation of results obtained for on going  actions 

The  results  of the  1st phase  of  the  RACE  programme  have  been  reported  to  Council 
and  European  Parliament  in  a  Communication  of  the  Commission  (COM  (93)118  in 
March 1993). 

The  mid-term report on the second phase on the RACE  programme will be available  in 
May  1994. 

31 

)< 

Proposal  for  a 

COUNCIL  DECISION 

^ « C N S» 

adopting  a specific  research 

and  technological  development  programme 

in  the field  of information  technologies 

(1994-98) 

\7> 
% 

PROPOSAL FOR A COUNCIL  DECISION 

adopting a specific research and technological 
development  programme (1994-98) 
in the field of information technologies 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  13 0i(4) 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,  by  Decision  ../../EC, 
the  Council  and  the  European  Parliament  adopted  a 
fourth  framework  programme  for  Community  activities  in  the  field  of  research, 
technological  development  and  demonstration  (RTD)  for  the  period  1994-98  specifying 
inter alia the activities to be carried out  in the field of information  technologies; whereas 
this Decision takes account of the grounds set out in the preamble to that Decision; 

Whereas  Article  130i(3)  of  the  Treaty  specifies  that  the framework programme  shall  be 
implemented  through  specific  programmes  developed  within  each  activity  under  the 
framework  programme and that each specific programme shall define the detailed rules for 
implementing it, fix its duration and provide for the resources deemed necessary; 

Whereas  this  programme  will  be  carried  out  mainly  through  shared-cost  activities, 
concerted activities and preparatory, accompanying and support measures; 

Whereas, in accordance with Article  130i(3),  an estimate  should be made of the  financial 
resources needed to carry out this specific  programme; whereas the final amounts will be 
decided upon by the budgetary authority  in accordance  with the relative priority  assigned 
to  the  area  covered  by  this  programme  within  activity  I  under  the  fourth  framework 
programme; 

Whereas  Decision  ../../EC  (fourth  framework  programme)  lays  down  that  the  overall 
maximum  amount  of  the  fourth  framework  programme  will  be  reexamined  by 
30 June  1996 at the latest with a view to its being increased; whereas, as a consequence  of 
this  reexamination,  the  amount  deemed  necessary  to  carry  out  this  programme  could 
increase; 

1 

OJNo..., ...,p. 

OJ No ...,.... p. 

OJNo..., ...,p. 

OJ No ........ p. 

n 

Whereas  information  technologies  increasingly  underpin  industry,  services  and  other 
economic  and  social  activities;  whereas  they  are  essential  for  the  emerging  information 
infrastructure  and  vital  for  the  competitiveness  of  all  industry  and  services;  whereas 
information  technologies  help  to  enhance  the  quality  of  life  and  improve  working 
conditions;  whereas  they  require  major  research  and  development  efforts  calling  for 
transnational  cooperation,  measures  to  disseminate  and  apply  the  results  and  training; 
whereas software,  component and subsystem technologies,  multimedia technologies,  open 
microprocessor  systems,  high  performance  computing  and  networking,  technologies  for 
business  processes,  integration  in  manufacturing  and  the  corresponding  long-term 
research were considered priorities in Decision .../.../EC (fourth framework programme); 

Whereas this programme may contribute appreciably to increased growth,  competitiveness 
and  employment  in  the  Community,  as  indicated  in  the  White  Paper  on  growth, 
competitiveness and employment ^  ; 

Whereas the content  of the fourth framework programme for Community  RTD activities 
was  established  in  accordance  with  the  subsidiarity  principle;  whereas  this  specific 
programme sets out the content of the activities to be carried out in accordance with this 
principle in the field of information technologies; 

Whereas  Decision  ../../EC  (fourth framework programme)  lays  down  that  Community 
action  is justified  if,  inter alia,  the  research  helps  to  reinforce  the  economic  and  social 
cohesion  of  the  Community  and to  encourage  its  harmonious  development  while  at  the 
same  time  meeting  the  objective  of  scientific  and  technical  quality;  whereas  this 
programme is intended to help meet these objectives; 

Whereas  this  programme  will  help  to  strengthen  synergy  between  the  RTD  activities 
carried  out  in the field of  information  technologies  by  research  centres,  universities  and 
enterprises,  in particular  small  and medium-sized  enterprises,  in the  Member  States  and 
between the latter and the corresponding Community RTD activities; 

Whereas  the  rules  for  the  participation  of  undertakings,  research  centres  (including  the 
JRC)  and  universities  and  the  rules  governing  the  dissemination  of  research  results 
specified  in the measures provided  for in Article 130j of the Treaty apply to this  specific 
programme; 

Whereas, in accordance with Article  130m of the Treaty,  it may be appropriate to  engage 
in international  cooperation  activities with international  organizations  and third  countries 
other than the countries covered by the EEA Agreement for the purpose of implementing 
this programme; 

Whereas this programme also comprises activities for the dissemination  and utilization  of 
RTD results,  in particular targeting small and medium-sized  enterprises,  and in particular 
those in Member States or regions which participate least in the programme, and schemes 
for promoting the mobility and training of researchers within this programme to the extent 
necessary for proper implementation of the programme; 

5  COM(93)700 final, of  5.12.93 

2 

Î8 

Whereas  provision  should  be  made for  measures  to  encourage  the  involvement  of  SMEs 
in this programme, in particular through technology promotion  measures; 

Whereas an assessment  should be made of the economic, social and  environmental  impact 
and  any  technological  risks  associated  with  the  activities  carried  out  under  this 
programme; 

Whereas  progress  with  this  programme  should  be  continuously  and  systematically 
monitored  with  a view  to  adapting  it,  where  appropriate,  to  scientific  and  technological 
developments  in  this  area;  whereas  in  due  course  there  should  be  an  independent 
evaluation  of  progress  with  the  programme  so  as  to  provide  all  the  background 
information  needed  in  order  to  determine  the  objectives  of  the  fifth  RTD  framework 
programme; whereas  at  the  end  of  this  programme  there  should  be  a  final  evaluation  of 
the results obtained compared with the objectives  set out in this Decision; 

Whereas the JRC may participate in the indirect activities covered by this programme; 

Whereas the JRC will also contribute,  through  its own  programme  of  direct  activities,  to 
the attainment of the Community RTD objectives in the area covered by this programme; 

Whereas the Scientific and Technical Research Committee (Crest) has been consulted. 

HAS ADOPTED THIS DECISION: 

Article 1 

A specific  research  and  technological  development  programme  in the field of  information 
technologies,  as  set  out  in  Annex I,  is  hereby  adopted  for  the  period  from  (date  of 
adoption of this programme) to 31 December  1998. 

Article 2 

1.  The amount deemed  necessary  for  carrying  out  the  programme  is ECU  1911  million, 

including 7.2% for staff and administrative expenditure. 

2.  An indicative breakdown of this amount  is given in Annex II. 

3.  The  amount  deemed  necessary  for  carrying  out  the  programme,  as  indicated  above, 
could  increase  as  a  result  of  and  in  accordance  with  the  Decision  referred  to  in 
Article  1(3) of Decision  ../../EC (fourth  framework  programme). 

4.  The budgetary authority  shall determine the appropriations  available for  each  financial 

year in accordance with the priorities set in the fourth  framework  programme. 

99 

Detailed  rules  for  implementing  this  programme,  in  addition  to  those  referred  to  in 
Article 5, are set out  in Annex III. 

Article 3 

Article 4 

1.  The  Commission  shall  continuously  and  systematically  monitor,  with  appropriate 
assistance  from  independent,  external  experts,  progress  within  this  programme  in 
relation to  the objectives  set  out  in Annex I.  It  shall  in particular  assess whether  the 
objectives,  priorities and financial resources  are  still appropriate.  Where  appropriate, 
it  shall  submit  proposals  to  adapt  or  supplement  this  programme  depending  on  the 
results of this monitoring process. 

2.  In order  to  contribute to  the overall  assessment  of Community  activities  provided  for 
in  Article  4(2)  of  the  Decision  adopting  the  fourth  framework  programme,  the 
Commission  shall, in due course, have an assessment  made by independent  experts  of 
the  activities  carried  out  in the field directly  covered  by this  programme,  and  of their 
management during the five years preceding the assessment. 

3  At  the  end  of  this  programme,  the  Commission  shall  instruct  independent  experts  to 
conduct  a final evaluation of the results achieved compared  with the objectives  set  out 
in Annex III to  the  fourth  framework  programme  and  Annex I to  this Decision.  The 
final evaluation  report shall be forwarded  to the Council, the European Parliament  and 
the Economic and Social Committee. 

Article 5 

1.  A  work  programme  shall  be  drawn  up  by  the  Commission  in  accordance  with  the 
objectives  set out  in Annex I and  shall be updated  where appropriate.  It  shall  set  out 
the detailed  objectives  and  specify  the stages in the implementation  of the  programme 
and the corresponding financial  arrangements. 

The work programme may also provide for  participation  in certain activities within the 
Eureka  framework. 

2.  The  Commission  shall  issue  calls  for  proposals  for  projects  on  the  basis  of the  work 

programme. 

Article 6 

1.  The Commission  shall be responsible for the implementation  of the programme. 

2.  In  the  cases  provided  for  in  Article 7(1)  the  Commission  shall  be  assisted  by  a 
committee  consisting  of  representatives  of  the  Member  States  and  chaired  by  the 
representative of the Commission. 

The  representative  of  the  Commission  shall  submit  to  the  committee  a  draft  of  the 
measures  to  be taken.  The  committee  shall  deliver  its  opinion  on  the  draft  within  a 
time limit  which  the Chairman  may lay down  according  to  the  urgency  of  the  matter. 
The  opinion  shall  be  delivered  by  the  majority  laid  down  in  Article  148(2)  of  the 
Treaty  in the case  of decisions  which  the  Council  is required  to  adopt  on  a  proposal 
from  the Commission.  The votes  of  the  representatives  of  the  Member  States  within 
the  committee  shall  be  weighted  in the  manner  set  out  in that  Article.  The  chairman 
shall not vote. 

°^G 

The Commission shall adopt the measures envisaged if they are in accordance with the 
opinion of the committee. 

If the measures envisaged are not in accordance with the opinion of the committee,  or 
if no opinion is delivered, the Commission  shall, without  delay,  submit to the Council 
a proposal  relating to the measures to be taken.  The Council  shall  act  by a  qualified 
majority. 

If,  on the expiry of a period of one month from the date of referral  to the Council, the 
Council has not acted, the proposed measures shall be adopted by the Commission. 

1.  The procedure laid down in Article 6(2) shall apply to: 

Article 7 

the  establishment  and  updating  of  the  work  programme  referred  to  in 
Article 5(1), 

the evaluation of the RTD projects proposed for Community funding  and of the 
.  ; estimated  amount  of  project  funding,  where  this  exceeds  ECU 2 million  per 

year, 

the measures to be undertaken to evaluate the programme, 

any  changes  to  the  indicative  breakdown  of  the  amount  allocated  set  out  in 
Annex II that has not been the subject of a budgetary decision. 

2.  The Commission shall inform the Committee, at each of its meetings, of progress with 

the implementation of the programme as a whole. 

Article 8 

The  Commission 
in  accordance  with  Article 228(1), 
international  agreements with European third countries with  a view  to  involving  them in 
all or part of the programme. 

is  authorized  to  negotiate, 

This Decision is addressed to the Member States. 

Article 9 

Done at Brussels, 

For the Council 
The President 

<H 

OBJECTIVES AND SCIENTIFIC AND TECHNICAL  CONTENT 

ANNEX I 

The  Information  Technologies  specific  programme  fully  reflects  the  orientations  of  the 
Fourth  Framework  Programme,  applying  the  criteria  for  selection  and  specifying  the 
scientific and technological objectives. 

Paragraph 1.1 .C of Annex III to  the framework  programme  forms  an integral  part of the 
specific programme. 

The  new  focus  of  RTD  in  the  Information  Technologies  specific  programme  is  the 
emerging  information  infrastructure,  which  will  provide  the  basis  of  the  information 
society of the future. The RTD areas proposed are those most vital to the development  of 
the infrastructure,  taking into account the need for selectivity  and concentration  of  effort, 
and  with  the  objective  of  improving  the  competitiveness  of  a]l  industry  and  the 
employment situation in the European Union, and of enhancing the quality of life. 

CONTEXT 

Since  the  emergence  of  digital  computing  in  the  late  1940s,  the  use  of  information 
technologies  has been extending  ever further  into  economic  and  social  life.  For the first 
three  decades  this  was  largely  a  matter  of  individual  computers  with  limited  local 
networking,  installed  in companies  and administrations  to  do  specific  tasks.  They  were 
small  islands of information technology,  difficult  to use and expensive  to  run.  In the last 
ten years, with the emergence of the personal computer, digital communications networks, 
international standards, and open systems, all driven by the sometimes astonishing pace of 
technological advance, the islands have grown and are beginning to merge. 

Information technologies now increasingly underpin all production and service industries, 
as  well  as  the  provision  of  societal  services  such  as  health,  education,  transport  and 
entertainment. In addition to professional workstations,  servers, and mainframes, there are 
an estimated  140 million personal  computers  in the world  today.  But  around  three times 
as many embedded  computers bring competitive  advantage  to  conventional  products like 
telephones,  televisions,  toys,  cameras,  cars  and  washing'machines  as  well  as  to  high 
technology equipment and enterprise processes. 

We are at the beginning of the transition to a new information  infrastructure  of society 
and industry,  a point which marks the onset  of a qualitative  transformation  in the impact 
of  information  technologies  after  forty  years  of  quantitative  growth.  The  information 
infrastructure  is  the  set  of  services  and  technologies  providing  easy  access  to  usable 
information to any citizen or enterprise, at any time, in any place.  For the citizen it is the 
long-anticipated  "global  village",  for  the  enterprise  it  is  the  "global  workbench".  The 
infrastructure  brings together  information  processing,  information  storage  and  retrieval, 
information transmission and the information content itself. The most crucial aspect of the 
infrastructure  will be the usability and manageability of information:  IT has enabled us to 
make very large amounts of information available — the next challenge  is to enable us to 
make sense of it. 

^l 

This  new  stage  in the  growth  of  the  information  society  compares  in  some  of  its  aspects 
with  the  transition  in  the  1930s  to  a  new  industrial-economic  system  based  on  cheap  oil 
and mass production,  and before that in the  1880s from craft  production  to cheap iron and 
bulk  production.  As  on  those  two  previous  occasions,  the  transition  is  accompanied  by 
economic downturn,  unemployment,  and drastic restructuring in industry. 

The  information  technology  industries  themselves  find  margins  squeezed  and  profits 
falling  at the same time as the application  of information  technologies  becomes ever  more 
widespread.  Boundaries  are  being  eroded,  between  supplier  and  users,  between  the 
professional  and the consumer  markets, and between the IT industries and other  industrial 
sectors. A new "digital industry" is growing up. 

The  return  to  a  strong  economy  and  fuller  employment,  not  just  in  the  information 
technology sector but in all industries, will be heavily influenced  by the speed  and  success 
with  which  structural  transformation  can  be  completed  and  the  new 
information 
infrastructure  can be put into place. 

Behind  the  growth  of  information  technologies,  and  of  the  information  infrastructure  of 
the future,  lies a massive  research  and  development  effort.  As technological  development 
accelerates and  competitive pressures increase, as the complexity  and  cost  of RTD  grow, 
enterprises  and  institutions  need  to  look  more  widely  to  find  the  expertise  and  critical 
mass they need. The Community programme for RTD in IT, Esprit,  has since  1984 helped 
address these needs at a European level. 

Under  the  Fourth  Framework  Programme  the  IT  programme  proposes  new  approaches 
and orientations in order to meet the new requirements of the  1990s, while building on the 
past achievements of Esprit. 

In  the  1980s  the  programme  followed  a  technology-push  policy  aimed  at  a  growing  IT 
industry.  In  the  1990s,  with  the  new  focus  on  the  development  of  the  information 
infrastructure  and  the  emphasis  on  access  and  usability,  the  programme  is  to  a  greater 
extent  be led by the needs of users and  the market.  The overall  objective  is to  contribute 
the 
to  the  healthy  growth  of  the 
competitiveness of all industry in Europe and to help enhance the quality of life. 

infrastructure  so  as  to 

information 

improve 

The IT programme  needs to be focused  and  selective in order to  ensure the  cost-effective 
use  of  resources  and  to  avoid  dispersal  of  effort.  Focus  comes  not  only  from  a  careful 
selection of technical  content, but also from  the way in which RTD is carried  out.  In terms 
of content  the RTD  areas  chosen  must  be  those  which  give  most  leverage  in building  up 
the  information  infrastructure,  which  emphasise  access,  usability  and  best  practice,  and 
which foster  Europe's command of generic technologies.  At the same time the  programme 
must give the right stimulus to the European IT industries. 

The  new  technologies,  processes  and  techniques  to  be developed  within  the  proposed  IT 
programme are  selected  on the basis of their  potential  for  contributing to  competitiveness 
by helping increase the productivity  of European  industry.  They  have an indirect  effect  on 
productivity  through  their  capacity  for  improving  the  working  environment  and  so 
creating  a  more  effective  work  force.  They  provide  the  basis  for  the  transition  to  new 
business'processes  and  new  modes  of  industrial  operation  —  a  transition  that  European 
enterprises  must  master  to  remain  globally  competitive.  The  technologies  and  processes 
are an essential  element  in the creation  of the high value-added  economy.  In addition,  by 
stimulating  technology  transfer  and  the  training  of  engineers  the  programme  helps 
generate the skills and human  resources needed  for  the emerging  information  society,  and 
prepare Europe's work force  for the jobs of the  future. 

<vs 

Activities concerned  with the analysis of technological  and industrial  evolution  and  of the 
socio-economic  impact  of  IT  RTD  will  be  reinforced.  They  will  provide  a  general 
framework  of  understanding  permitting  a  better  articulation  of  the  relationship  between 
RTD policy and industrial objectives and  strategy. 

The programme will have to be responsive enough to keep pace with rapidly evolving user 
needs and with the accelerating rate of technological  development.  It  is difficult  to  predict 
in detail all RTD needs several years ahead, and consequently there has to be the  flexibility 
to adjust  and adapt. 

The  programme  will  seek  to  be  cohesion-friendly  by  providing  interfaces  for  the  use  of 
structural  funds  in RTD. To add the maximum value to its RTD activities, the  programme 
proposes  where  appropriate  to  pursue  coordination  with  Eureka,  offering  the  scope  to 
bring results closer to market, as well as with relevant initiatives in Member  States. 

RTD  ACTIVITIES 

To  meet  these changing  requirements  the  IT  programme  proposes  new  orientations  both 
in  technical  content  and  in  implementation.  Turning  first  to 
the 
programme  proposes  to  put  a  greater  emphasis  on  networks  of  excellence,  and  to  make 
use  of  supplier-user  collaborations  and  streamlined  management  procedures.  It  will 
introduce  a  number  of  focused  clusters,  a  new  RTD  modality  which  builds  on  the 
experience  of the Open Microprocessor  Systems  Initiative (OMI).  In all RTD  activities  a 
strong  commitment  on the  part  of  industry  to  exploit  the  results  of  collaboration  will  be 
expected. 

implementation, 

A number of  networks  of excellence  have already been launched  as  part  of  Esprit  in  the 
Third  Framework  Programme.  A  network  of  excellence  brings  together  industry,  users, 
universities and research centres with a common  research  objective.  A network  combines 
the  critical  mass  of  centres  of  excellence  with  the  benefits  for  training  and  technology 
transfer  deriving  from  geographical  spread.  Networks  of  excellence  can  be  particularly 
beneficial  for  groups  in  outlying  regions  through  the  channel  they  provide  for  training, 
technology transfer,  and access to expertise and resources. 

Supplier-user collaborations  supplement joint research projects.  Supplier enterprises and 
users between them form  a consortium  to  pursue demonstrably  new  RTD,  with  the  users 
having  a  particular  interest  in  taking  up  and  exploiting  the  results  of  the  collaboration. 
This  can  help  circumvent  the  problems  high  technology  companies  with  innovative 
products face in reaching customers. 

Participation  in  the  programme  will  be  further  facilitated  by  the  introduction  of 
streamlined  procedures  in  accordance  with  proposals  under  discussion  within  the 
Commission.  The aims will be to  simplify  the call  and  evaluation  process,  and  reduce  the 
cost of preparing proposals. 

Focused' clusters  represent  a  major  innovative  modality  in  this  specific  programme.  A 
cluster  is a set of activities covering  a number of technology  areas but  with  a  single  well-
defined  goal.  As well  as collaborative  research  projects,  a  cluster  may  incorporate  other 
kinds of activity,  as its specific  needs dictate.  These  may  include  networks  of  excellence, 
association  of  suppliers  and  users,  cooperation  with  Eureka,  coordination  with  national 
initiatives,  international  cooperation,  dissemination  of  results,  or  training  initiatives. 

3>4 

Individual  activities within  a cluster  may have a duration  shorter  than  the  life  span  of  the 
whole  cluster.  Activities  initiated  at  the  outset  will  terminate  while  the  cluster  is  still 
active,  and  new  activities  will  be  started  up.  Flexibility  will  be  provided,  giving 
participants,  industry,  governments  and  the  Community  the  opportunity  to  refine  or 
redefine options in response to changing needs or a new understanding of needs. 

The  infrastructure  and  best  practice  approach  that  characterises  the  new  programme 
provides  SMEs  with  readier  and  more  open  access  to  RTD  activities.  To  make  effective 
use  of  this  improved  access,  specific  procedures  will  be  put  in  place  to  stimulate  SME 
participation  in  the  programme,  taking  into  account  the  complexity  and  cost  of  forming 
consortia  and  preparing  proposals,  and  drawing  upon  successful  past  initiatives  aimed  at 
SMEs,  including  CRAFT  and  grants  covering  exploratory  phases  of  activities.  Networks 
of  excellence,  supplier-user  collaborations  and  focused  clusters  provide  further  stimulus 
for  SME  participation. 

The  technical  content  of the  programme  focuses  on  the  areas  which  are  most  important 
for  the  development  of  the  information  infrastructure,  and  where,  taking  account  of  the 
principle  of  subsidiarity,  Community  action  will  make  the  best  use  of  the  resources 
available'. The work of the programme  is directed  both  at  the  more  basic or  underpinning 
technologies, and at selected topics which integrate technologies into  systems. In  addition 
long term  research  is proposed  where effort  at  a European  level has the  potential  to  lead 
to future  breakthroughs. 

Software  is a major element in the information  infrastructure,  and  already  represents  over 
half  the  value  of  computers  and  embedded  systems.  The  programme  concentrates  on 
techniques  and  best  practice  in  a  limited  number  of  software  technologies  enabling  the 
production of reliable, correct,  efficient  and usable software.  Electronic components  and 
subsystems  are the physical  building blocks  of  the  information  infrastructure  needed  for 
systems  and  applications  across  all  industrial  sectors.  The  programme  concentrates  on 
RTD  into  semiconductors  in areas where European  industry  needs the  capability  and  can 
be  competitive,  with  a  particular  emphasis  on  advanced  integrated  circuits  for  specific 
applications;  peripherals,  and  in  particular  the  flat  panel  displays  and  compact  memory 
systems;  and  the  emerging field of  microsystems.  Multimedia  technologies  will  provide 
the  human  interface  of  the  future  to  the  information  infrastructure.  The  programme 
concentrates  on  the  technologies  needed  for  the  creation,  manipulation,  display,  and 
storage  of multimedia  information.  Multimedia  data  transmission  and  applications  will  be 
covered  in the telecommunications and telematics programmes. 

The  focused  cluster  technologies  for  business  processes  addresses  the  integration  of 
enterprises into the information  infrastructure,  and the effective  use of IT in business. This 
is an area where major  gains in competitiveness are just  beginning to be seen. RTD in ICT 
for  integration  in  manufacturing  and microsystems has as its objective the  development 
of  new  ICT  solutions  for  the  support  of  advanced  and  innovative  manufacturing  and 
engineering  processes.  It  draws  upon  and  integrates  basic  IT  technologies  in  software 
engineering,  open  systems,  computer-aided  design,  data  modelling,  database  design,  and 
microelectronics.  RTD in the Industrial Technologies programme draws upon  information 
technologies as well as other generic technologies in an effort  directed  towards  innovation 
and  concrete  application  in specific  manufacturing  domains,  and,  in turn,  provides  inputs, 
the 
knowledge  and  expertise  for  future  RTD 
complementarity  between  the  two  programmes  to  be  operationally  assured,  coordination 
and an active interface will be maintained throughout their execution. 

technologies.  For 

in  information 

^ S~ 

The  open  microprocessor  systems  initiative  continues  the  work  begun  under  the  Third 
Framework  Programme  on  the  development  of  standards  and  technologies  for  open 
microprocessor  systems, an area also of major  importance  for  embedded  systems. The high 
performance  computing  and  networking  focused  cluster  aims  at  the  enhancement  of 
Europe's  capability  to  exploit  computing  technologies  offering  the  highest  performance,  a 
capability which is indispensable both  for  embedded  systems  in the infrastructure  as well as 
for maintaining competitiveness in a growing range of industries. 

The rationale and content for each domain is described  in what  follows. 

SOFTWARE  TECHNOLOGIES 

The  objective  of  work  in  this  domain  is  to  enhance  Europe's  software  production 
capability,  by  stimulating  the  spread  of  software  best  practice  with  a  view  to  improving 
productivity,  quality  and  reliability,  and  by  fostering  European  capabilities  in  emerging 
software technologies and in distributed information  processing. 

Software  is  increasingly  becoming  the  major  cost  component  in  IT  systems,  a  trend 
further  emphasised  by  IT  users,  who  produce  70%  of  all  software  and  exert  a  growing 
influence  in  this  area.  The  demand  for  the  development  and  monitoring  of  software 
intensive  systems  is  growing  much  faster  than  the  supply.  In  consequence  all  industrial 
countries  are facing  the  need  for  improved  productivity  and  higher  quality.  Methods  and 
tools  for  the  production  of  adaptable  and  evolving  software  intensive  systems  at  an 
affordable  price  are  now  an  essential  requirement  for  all  enterprises.  Furthermore,  all 
industrial  countries  are  suffering  a  shortage  of  skills  and  a  lack  of  well  established 
industrial  approaches.  New  applications  introduce  a  continuing  stream  of  new  technical 
challenges for the professional  software  producer. 

Modern  information  processing  systems  exhibit  an  increasing  tendency  towards  the 
distribution  of  function  and  information,  so  as  better  to  match  the  nature  of  the 
organisations  that  the  systems  serve.  This  evolution  is  evident  not  only  in business  data 
processing  but  also  in  industrial  control  and  embedded  systems.  However 
the 
development  of  dependable,  extensible  and  usable  systems  with  these  characteristics 
presents  a  special  challenge.  Such  systems  are  already  radically  reducing  the  cost  of 
computing  for  users.  For  hardware  and  software  vendors  and  service  suppliers,  this 
segment of the IT market is now forecast  to become a key battleground  by the mid  1990s. 
It  is  an  arena  in  which,  at  this  stage,  no  company  dominates  and  in  which  Europe  has 
strongly developed capabilities. Action in this area will help  position  European  industry in 
this highly competitive and strategic market,  as well as providing essential  elements of the 
European  information  infrastructure.  It will contribute to bringing the benefits  that  can be 
offered  by  the  progressive  "digitalisation"  of  the  social  infrastructure  to  the  individual 
citizen and to the less favoured  regions of the Community. 

To  address these  issues work  will concentrate  on  a  number  of areas:  technology  transfer 
and dissemination of software  best practice, methods and tools for best  practice; emerging 
software  technologies; open distributed  computing  platforms;  technologies  for  distributed 
database systems; and advanced techniques for  human-computer  interaction.  There will be 
close  coordination  with  related  work  in  other  specific  programmes.  According  to  needs 
work  will  be  reinforced  by  accompanying  measures  to  accelerate  the  take  up  of  new 
technologies, to maintain awareness of new potentialities, to  develop  synergies with  other 

10 

<& 

European and national initiatives,  to promote  participation in the standardisation  process, 
and to establish international collaboration. 

Technology  transfer  initiatives will be deployed to promote the take up of new  software 
production  technologies  and  to  increase  skill  levels  on  a  broad  scale.  Industrial 
experiments  will  be targeted  at  improving  and upgrading  software  development  practice 
through  incorporation  of  new  processes,  methods  and  support  tooling.  Dissemination 
actions  aimed  at  raising  awareness  of  best  practice  by  establishing  communities  of 
common interest across industrial sectors and national boundaries will also be put in place 
as  will  training  for  the  introduction  of  new  practice  aimed,  in  particular,  at  the 
management  level. The activities will be closely coordinated  with, and complementary to, 
existing dissemination mechanisms, wherever possible. 

In  the  area  of  methods  and  tools  RTD  will  be  undertaken  to  improve  integration 
techniques  for  open  and  distributed  systems,  paying  particular  attention  to  quality, 
reliability and safety of software intensive systems. Techniques and tools will be addressed 
to support process modelling and rapid evolution of requirements and technologies. Work 
on  emerging  development  paradigms  such  as  concurrent  engineering  and  cooperative 
development  will  be  carried  out  to  provide  packaged  methods  and  tools  for  enterprise 
wide  software  support.  In  addition  work  will  be  carried  out  on  the  organisation  of  the 
software development process. 

A  third  area will  aim to  develop  and  experiment  with  emerging  software  technologies 
providing  reasoning  capabilities,  allowing  intelligence,  flexibility  and  adaptation,  and 
supporting modelling, reuse, and sharing of various levels of knowledge. Frameworks and 
integration techniques to build cooperating or distributed intelligent  systems and to model 
enterprise wide or application sector knowledge assets will be addressed.  This RTD mid 
term work will be driven by generic needs such as the development  and demonstration  of 
complex,  distributed  decision  intensive  applications which are present  in every  sector  of 
human activities  and which will  have  a positive  impact  on European  competitiveness  as 
well as on integration and cohesion. 

Work  on  open  distributed  computing  platforms  will  address  the  architecture  of  open 
distributed  systems  with  particular  reference  to  issues  of  portability,  dependability, 
interoperability  and  standards;  the  development  of  key  components,  in  particular, 
middleware  components  for  the  management  of  information,  access,  and  distribution  of 
function.  Special  attention  will  be  paid  to  the  development  and  promotion  of  packaged 
software.  To  complement  the  RTD  activities,  actions  will  be  initiated  to  establish 
dialogues  with  key  user  and  standards  groups  concerned  with  open  systems,  including 
X/Open  and  EWOS.  Major  applications  demonstrators  will  be  developed  and 
improvements  in the  practice  of  building  open,  distributed  systems  will  be  achieved  via 
specific  themes  in the  Software  Best  Practice  activity.  The  Open  Systems  movement  is 
global  and will be based on the establishment  of internationally  accepted  standards. Links 
will  be  made  with  the  key  activities  in  both  the  USA  and  Japan.  Cooperation  with 
developing countries and those of Eastern Europe will be promoted. 

A  further  area  is  concerned  with  advanced  technologies  for  distributed  database 
systems.  Activities  will  cover  technologies  for  large  scale  object  based  repositories; 
techniques  for  knowledge  embedding 
in  and  extraction  from  such  repositories; 
interoperability,  resilience and recovery of distributed systems; and methods and tools for 
supporting  and  applying  these  advances.  Work  will  be  carried  out  on  tools  for  the 

11 

^f 

management of distributed statistical data and on the way in which advanced  technologies 
could benefit the collection, analysis, diffusion and representation of data. 

The  final  area  addresses  technologies  that  will  offer  increased  human  comfort  and 
security 
in  dealing  with  information  technology  systems.  In  achieving  this  new 
opportunities are opened up with the promise of increased and wider markets for IT based 
products. RTD work will be carried out to better understand the user-system interaction, 
such as  cognitive  modelling,  interaction  models,  media  and  metaphors,  and  cooperative 
work.  The  development  and  consolidation  of  emerging  technologies  will  be  pursued. 
These  activities  will  be  closely  related  to  upstream  research,  and  will  build  on  and 
contribute  to  standards  and  help  maintain  awareness  of  the  potentialities  of  the  new 
technologies. 

TECHNOLOGIES  FOR IT COMPONENTS AND  SUBSYSTEMS 

The objective  of this domain  is to  provide European  industry  with  the  technologies  and 
capabilities  to  design  and  produce  components  and  subsystems  in  three  key  areas: 
semiconductors, microsystems, and peripherals. 

The  on-time  availability  of  low  cost,  high  performance  and  high  reliability  integrated 
semiconductor  components  and  subsystems  represents  an  essential  requirement  for 
system  houses  to  develop  competitive  electronic  systems  in  markets  such  as  consumer 
electronics,  data  processing,  and  the  automotive  and  telecommunications  industries.  In 
addition  to  providing  the  technology  foundation  for  traditional  electronic  and  electrical 
sectors,  microelectronics  is  increasingly  extending  its  impact  to  a  wider  range  of 
processes,  products  and  services  in virtually  all  other  industrial  sectors,  with  important 
consequences for industrial innovation and competitiveness overall in the Community. The 
maintenance  of  European  expertise  is  particularly  important  in  the  field  of  advanced 
integrated  circuits  for  specific  applications,  where  local  sources  of  supply  are  vital  for 
ensuring  short  design  and  production  time  scales  and  for  protection  of  the  applications 
know-how which gives competitive advantage. 

The  potential  economic  impact  of  integrated  microsystems  technologies  rests both  on 
the  direct  market  segment  it  addresses  and  on  the  leveraging  effect  it  creates  on  other 
industrial  sectors.  Products  incorporating  microsystems  will  range  from  hearing  aids, 
analytical  and  medical  instruments  to  CD  players  and  automotive  subsystems,  and  will 
cover both mass produced goods and a wide variety of specialised  microsystems for high 
added  value  applications  where  the  combination  of  performance,  size,  flexibility  and 
robustness  are  critical  factors  of  success.  Medical  diagnostic  and  delivery  systems, 
artificial  organs,  environmental  monitoring  and  control,  safety  and  security  issues,  and 
reduced  energy  consumption  requirements  are the main  systems  application fields where 
the impact will translate into improved quality of life. 

Flat  panel  displays  have  wide  application  in  portable  and  high  definition  projection 
television  sets,  in  graphic  and  multimedia  systems,  and  in  interactive  CD.  In the  semi-
professional  field,  flat  panel  displays  will  be  found  in  video  phones,  automotive 
applications and electronic workstations.  They will become a fully integrated part of new 
products,  requiring  a close  cooperation  between  components  and  device  manufacturers. 
Memory  subsystems  represent  a second field of peripherals technology  which is crucial 
for  the  whole  of  the  electronics  industry.  They  are  associated  with  all  the  applications 

12 

38 

mentioned  above.  High  resolution  displays,  graphics  systems  and  multimedia  systems  in 
particular  demand  very  high  capacity  high  speed  memories.  Digital  memory  subsystems 
are  currently  used  for  audio,  image  and  video  information 
including  in  portable 
applications.  In  addition  there  will  be  selected  activities  in  the  field  of  home  system 
peripherals,  addressing the integration of home automation  devices and  appliances into a 
unified  system, so for example helping to rationalise energy  consumption. 

technologies  and 

Work on semiconductors  will concentrate on those technologies  likely to be in major  use 
towards the end of the decade and to  have a major  impact  on  applications.  These  include 
silicon-based 
semiconductor 
technologies,  in  particular  gallium  arsenide.  All  aspects  of  the  process,  including  design, 
packaging,  testing,  manufacturing  and  equipment,  will be  supported.  Some work  may  be 
undertaken  in conjunction  with the Eureka initiative. Integration  of advanced  components 
into advanced integrated circuits for  specific applications will be emphasised. 

the  most  promising  compound 

integration 

RTD  tasks  will  focus  on  the  following  areas:  generic  technologies  aimed  at  lower  size, 
lower  cost,  higher  functionality  and  complexity,  as  well  as  higher  speed,  lower  power 
millimetric  and  microwave  integrated  circuits  for  high  frequency  applications;  generic 
system 
technologies  with  an  emphasis  on  electrical  and  optical 
interconnectivity  and packaging, for  systems consisting of active and  passive components; 
advanced  system  design  methodologies  and  tools,  for  digital,  analogue  and  mixed 
applications;  electronic  device  technologies  and  system  integration,  in  particular  for 
advanced  peripheral  and  storage  systems,  communication  networks,  optical  computers, 
and  microsystems;  effective  manufacturability  of  next  generation  ICs  for  small  and  large 
volume production; concepts and technologies for flexible fast  turn around  manufacturing 
facilities  for  advanced  integrated  circuits  for  specific  applications,  in  particular  providing 
easy and cheap access for  SMEs; integration  of design and technology  capabilities  in pilot 
demonstrations aimed at specific  applications of significant  economic and social impact,  or 
at  extending  the  impact  of  microelectronics  to  more  traditional  industrial  sectors; 
system 
microelectronics  aspects  of  sensors  and  microsystems;  and  multifunction 
applications. 

Technology  transfer  and  dissemination  activities  will  be  directed  at  the  reinforcement  of 
links  between  equipment/materials  and  IC  manufacturers,  through  working  groups, 
industrial  associations  or  networks;  and  at  the  establishment  of  closer  relationships 
between  IC  manufacturers  and  users,  through  a  network  of  centres  of  competence  in 
circuit/system  design,  manufacture  and  testing.  In  support  of  training,  networks  of 
enterprises,  research  institutes  and  universities  will  be  established,  providing  qualified 
personnel  to  industry,  for  the  fabrication  and  use  of  innovative  manufacturing  tools  and 
methods,  and  in  circuit  and  system  design  and  testing.  Training  initiatives  will  also  be 
established  to increase the awareness of potential  users of advanced  integrated  circuits  for 
specific  applications,  notably  SMEs,  and  to  provide  them  with  expertise  in  particular  in 
the  translation  of  their  system  requirements  into  hardware  specifications.  International 
collaboration  will  be  established  in  specific  fields,  and  there  will  be  appropriate 
coordination with national initiatives in Member States. 

integrated  microsystems  will  focus  on 

Work  on 
the  multidisciplinary  design, 
manufacture  and  test  of  microsystems,  and  integration  and  packaging  methods,  in 
coordination  with the programme  on  industrial  and  materials technologies  and  with  other 
specific programmes concerned.  RTD will be directed  primarily towards the  technological 
needs  of three  major  application fields: automotive,  where  microsystems  will  have  a  key 

13 

role  in  the  realisation  of  the  clean  safe  car  of  the  future;  medical  engineering,  where 
microsystems are needed for portable intelligent  medical diagnostic and delivery systems; 
and the monitoring and control of processes influencing the cleanness of the environment. 

Work  will  address  all  phases  of  the  realisation  of  microsystems,  from  conceptual  and 
detailed microsystems design, through the integration of existing basic technologies, to the 
demonstration  of industrial  prototypes.  Small  and large scale  manufacturing  aspects  will 
also  be addressed.  Activities  of  special  importance will  include: design  of  microsystems; 
integration  of  components  such  as  optical,  biochemical,  sensors,  and  actuators,  with 
microelectronics  subsystems  and  components;  packaging  and 
interconnection  of 
integrated microsystems; interfacing to other micro-and macrosystems and to the physical 
world;  software  integration  (system  and  application);  specific  equipment  requirements; 
manufacturing requirements and routes; and testing and quality assurance. Know-how and 
experience obtained in the course of the focused RTD will be used as the basis for other 
application spin-offs. 

To support work directed towards the three application fields, additional activities will be 
carried  out  on  the  integration  of  a wide  range  of  technologies  which  form  the  basis  of 
microsystem production, among them microelectronics,  microoptics,  micromechanics and 
microchemistry, drawing on results developed elsewhere in the Framework Programme. 

The  potentially  wide  applicability  of  microsystems  and  the  inherent  difficulties  in 
mastering microsystems technologies necessitate the creation of efficient  Community-wide 
mechanisms  for  dissemination  and  technology  transfer.  Of  particular  importance  is  the 
stimulation of conditions for SMEs to develop innovative microsystems at low cost and to 
incorporate them into their products. These needs will be addressed by the dissemination 
and transfer of technology through technical interest groups and networks of excellence. 
Access  to  low  cost  manufacturing  and  other  assistance,  particularly  for  SMEs,  will  be 
provided  through  the  creation  or  enhancement  of  specialised  mini-fabrication  facilities 
combined with appropriate service mechanisms. 

Interdisciplinary  training  for  the  development  and  utilisation  of  microsystems  is  of  key 
importance.  Use  will  be  made both  of  existing  mechanisms  in  some  of  the  contributing 
basic technologies (for example the VLSI design training action) and of new mechanisms. 
Industrial  training  schemes  will  be  organised  through  the  existing  industrial  and  trade 
associations with the help of centres of excellence. 

Work  in  the  area  of  flat  panel  displays  will  build  on  results  achieved  in  the  Third 
Framework  Programme,  in particular in the field of  Active Matrix  LCD  for  applications 
needing  large full-colour  displays.  Activities will  be directed  towards the development  of 
low-cost  high-resolution  thin-screen  display  components,  emphasising  improvement  in 
visual quality of displays, especially for portable equipment, and increased screen size and 
flatness. Active  matrix  LCD  technology  is of  particular importance,  exhibiting  the  most 
attractive  features  in term  of  colour  and  resolution,  but  other  display  technologies  will 
also be addressed, such as Field Effect  Displays and Ferro Electric Displays for very  low 
cost  and  low  power  applications.  Requirements  will  be  defined  through  co-operation 
between 'the user  and  supplier  industry.  In the field of  memory  subsystems  work  will 
cover increased capacity, compactness and read/write performance to support  multimedia 
systems  and  real-time  high  definition  video.  Technologies  to  be  addressed  include 
magneto-optic and magnetic disks. Work on home systems  peripherals  will  concentrate 

14 

on  technologies  for  the  devices  required  to  link  home  appliances  into  a  domestic  system 
and for the peripherals needed to support user  interactivity. 

Supporting  activities  will  include  an  industrial  training  programme  in  the  field  of  display 
and  memory  subsystem  design,  a  Special  Interest  Groups  involving  industrial  and 
consumer  representatives,  and  a  special  action  to  encourage  European  production  of 
strategic materials and components for the peripheral  industry. Coordination  with  national 
initiatives will be established  to increase the overall value to the Community.  International 
cooperation  will be particularly  important  in the field of display  technologies,  where joint 
ventures  bringing  together  the  interests  of  several  industrial  partners  are  essential  for 
success. 

MULTIMEDIA  TECHNOLOGIES 

information 
The  objective  of  this  domain  is  to  support  strategic  RTD  in  generic 
technologies  which underpin  multimedia end-user  systems and applications.  Specific  work 
will bé undertaken  on  technologies  for  integrated  personal  systems,  which  represent  one 
of the main market opportunities in the area of multimedia systems. 

The emergence  of  a  market  for  multimedia  systems,  allowing  the  seamless  integration  of 
voice,  video,  text,  sound,  animation  and  graphics,  has been  predicted  for  a  decade.  Only 
now  have  advances  in microelectronics  performance,  software  techniques,  standards  and 
digital  communications  allowed  multimedia  systems  to  become  a  reality.  It  is  expected 
that  multimedia  systems will be taken  up  first  in customised  applications  in business  and 
the  home,  in education,  manufacturing,  financial  services,  medicine,  transport,  insurance, 
retail,  tourism  and  entertainment,  including  games,  films  and  television.  New  levels  of 
productivity  are  expected  to  be  achieved  in  business  and  education  as  a  result  of 
multimedia techniques. 

The market for  personal systems is just beginning to emerge and offers  considerable  scope 
for  expansion.  There  are  as yet  no  clear  market  winners.  Europe  is already  strong  in  the 
technologies  needed,  such as smart  card  technology,  secure protocols, embedded  systems 
and  application-specific  software,  and  has  the  lead  in  low  power  components  and  in 
secure,  smart  encryption  devices.  This  new  market  offers  an  opportunity  for  Europe  to 
cover  most  of  the  production  cycle,  from  micro-components  through  systems  to 
applications  development,  providing  a  basis  for  boosting  competitiveness  in  other 
application fields. 

Activities  in  the  domain  will  be  coordinated  with  work  in  other  specific  programmes. 
Whereas  the  IT  programme  is  concerned  with  work  on  tools  and  standards  for  basic 
multimedia processing,  the advanced  communications  programme covers technologies  for 
multimedia  transmission  and  service  management,  and  those  relating  to  digital  video 
services,  and  the  telematics  programme  addresses  the  issue  of  integrating  such  research 
results into  multimedia  systems and  services for  selected  applications areas.  It is expected 
that  over the  period  of  the  programme  there  will  be  considerable  convergence  of  the  IT, 
communications,  consumer  electronics, 
information  publishing  and  entertainment 
industries, a trend  which will be fully taken into account. 

The  domain  will  provide  generic  and  enabling  technologies  to  allow  the  creation, 
the 
manipulation,  display,  and  storage  of  multimedia 

information.  RTD 

includes 

15 

specification  of  appropriate  components,  for  example  video  compression/decompression 
chips,  high capacity optical  memory  and processors, and liquid crystal  displays, and then-
integration  into  advanced  multimedia  systems;  standards  for  multimedia  storage, 
representation,  and  compression/decompression;  and  generic  multimedia  software.  The 
area  of  software  includes  multimedia  extensions  to  existing  system  software  and  tools; 
creative tools providing software  objects in the various media — video, audio, animation, 
painting  and  drawing;  and authoring  tools  which  allow  multimedia  user-friendly  custom 
applications to be built from the individual media objects. The integration of hardware and 
software elements will be demonstrated in systems for a variety of end-user applications. 

Work  in the  domain  will  build  on  strong  European  results  already  developed  under  the 
previous  Framework  Programmes, 
including  CD-I,  MPEG  video  standards,  and 
multimedia  systems  and  tools.  Challenges  are  presented  by  intellectual  property  issues, 
including copyright of the media objects, ease of use, current network limitations, and the 
integration  of  technologies  for  multimedia  applications,  particularly  with  existing 
hardware and software. 

Work  on  personal  systems  will  concentrate  on  two  topics:  the  development  of 
technologies  for  multi-function,  integrated  user  access  devices  capable  of  handling 
multimedia  data,  including the  electronic  wallet  and personal  and group  communicators; 
and  the  application  of  technological  advances  in  the  information  provider  industry  to 
enable them to  satisfy  the ever increasing  user  demand  for  efficient  services.  These  two 
aspects  cover  the  application  sides  of  the  complete  system  solution  that,  for  its  full 
deployment, will rely on existing wireless network and telecommunication  infrastructures, 
and will take into account new development activities in these areas which are covered in 
the telecommunications and telematics programmes. 

Supporting  activities  include  the  training  of  designers  and  authors  of  multimedia 
applications.  A  Special  Interest  Group  involving  both  technology  suppliers  and  the 
authoring  industry  will  provide  information  dissemination  in both  directions  to  support 
industrial  co-operation,  and  to  achieve  consensus  on  standards.  Close  links  will  be 
established  with  other  generic  technology  initiatives,  particularly  those  on  peripherals, 
microelectronics, software engineering and microprocessors. 

LONG TERM  RESEARCH 

The  intensive  RTD  effort  needed  to  increase  the  turnover  from  the  laboratory  to  the 
market,  in a rapidly changing technological  scene,  engenders the risk  of "short-termism". 
A long term industrial  vision  providing  a frame of  reference  for  shorter term research is 
essential  but difficult  to  achieve  when the pressure  is great to bring the next  product  to 
market  immediately.  At  the  same  time,  concentration  on  shorter  term  research  risks 
depriving industry of those human resources which are needed to make the next wave  of 
innovation possible  and to  respond to  specific  industrial  needs for  advanced  research.  A 
Community  investment  in  advanced  and  long  term  research  will  promote  strong  and 
targeted " industry/academia  cooperation  and  will  ensure  that  by 
improving  our 
competitiveness  in  the  short  term  we  do  not  mortgage  our  medium  and  long  term 
technological future.  Activities will thus be aimed at ensuring that at any one time: 

-  the  potential  for  "the  next  wave  of  innovation"  is  maintained,  compatibly  with  the 

shorter term views dictated by rapid technological change; 

16 

Ao<L 

-  scarce expertise underpinning European information  technology  RTD  is replenished in 

those areas where it is most needed. 

These goals will be achieved through networks of excellence and upstream RTD  projects. 

Thematic  networks  of  excellence  will  ensure  that,  in  any  one  theme,  a framework for 
coordinating  RTD,  technology  transfer,  training,  as  well  as  a  common  infrastructure  is 
dynamically  maintained  by  the  technological  community  itself  (suppliers,  users  and 
researchers). These coordination frameworks, in which the vision of industry would be the 
key  determinant,  are expected  to  play  a central  role  in  focusing  RTD  activities  of  both 
long and short term nature. 

Upstream RTD projects will fall into two categories: 

-  Advanced  projects  involving  a high  but  assessable  technological  risk  whose  success 
would  have  a  direct  impact  on  industrial  competitiveness.  Projects  in  this  category 
would often contribute to the solution of specific  problems identified  in a framework of 
coordination with other parts of the programme —  a short term action can provide an 
important  contribution to  a long term goal.  A project does not  in itself need to  result 
directly  in a product or service if it can contribute to  such products  or  services  being 
generated in several projects downstream. 

-  Projects characterised by their potential  to  produce breakthroughs with long  term but 
clear  industrial  implications  and,  therefore,  by  definition  unconstrained  by  the 
downstream work carried out at any one time. 

Projects in both categories will also be selected on their ability to induce the generation  of 
human resources in fields with identifiable shortages, as well as on the complementarity  of 
the skills brought together, especially in interdisciplinary  fields. 

The technological  areas to be addressed will  not be circumscribed  because proposals will 
be  expected  to  respond  to  opportunities  and to  needs as they  arise in other  parts of the 
programme.  It is expected  that  many  activities  would  be  related  to  upstream  aspects  of 
RTD  activities  undertaken  in  other  parts  of  the  programme,  ensuring  their  maintenance 
and expansion in time. 

FOCUSED  CLUSTER 
OPEN MICROPROCESSOR  SYSTEMS  INITIATIVE 

The objective of the Open Microprocessor  Systems Initiative (OMI) is to provide Europe 
with  a  recognised  capability  in  microprocessor  systems,  and  to  promote  their  broad 
acceptance in applications systems, both within Europe and world-wide. 

Microprocessors  with  their  associated  software  form  the  intelligence  of  electronic 
systems. ^ Their  application  ranges  from  sophisticated  control  systems  for  aerospace, 
robotics,  industrial  control  and  telecommunications,  to  mobile  telephones,  consumer 
electronics,  automobiles,  and general-purpose  computer systems from supercomputers  to 
notebook  PCs.  The microprocessor  market  is currently  dominated  by US  suppliers,  who 
provide  microprocessors  based  on.  CISC 
Instruction-Set 
Computing)  used  in  more  than  80%  of  current  systems  and  in  almost  all  computers. 
However  new  markets  are  emerging  in  embedded  systems,  that  is,  systems  not 
17 

technology 

(Complex 

Ao*> 

programmable  by  the  end-user.  Strength  in  advanced  RISC  (Reduced  Instruction-Set 
Computing)  microprocessing,  the  leading  edge  technology,  represents  a  significant 
opportunity  for  European  industry  to  improve  its  competitive  position  and  provide  new 
employment  by  the  end  of  the  decade,  not  only  in  the  microprocessor  and  systems 
software  business  but  in  a  broad  range  of  user  industries,  and  particularly  in  embedded 
systems. 

OMI  will  build  on  work  started  under  the  Third  Framework  Programme,  which  itself 
draws  on  activities  supported  by  a  number  of  Member  States,  and  on  results  in 
microelectronics,  software,  applications  systems integration,  and  standards  from  all  parts 
of  Esprit  and  elsewhere.  Its  aim 
in 
microprocessor  systems  RTD  throughout  the  Community  in order  to  provide  the  critical 
mass which will enable European  industry to compete effectively  world-wide. 

is  to  concentrate  and  co-ordinate  efforts 

OMI aims to succeed by providing components for  use in embedded  systems applications, 
but  with  the  intention  also  of  eventually  supporting  the  computer  industry.  The  whole 
range  of  microprocessor  systems,  from  very  high  performance  to  very  low  power,  is 
addressed.  OMI  concentrates  on  an  intercept  strategy  with  existing  non-European 
technology,  as well as on the next generation of technology beyond  (to year-2000).  Given 
the  major  use by European  companies  of  microprocessors,  a viable European  alternative 
should  be  provided  as  well  as  a  smooth  migration  path  from  currently  available  to  new 
technology. 

OMI will  make use  of  results  from  all  parts  of the  Community's  Framework  Programme 
and  elsewhere.  Within  OMI  longer  term  generic  RTD  will  address  work  in  advanced 
microprocessor  systems components and tools, both hardware and software.  This includes 
high-performance  microprocessors  of  a  range  of  architectures,  digital  signal  processors, 
fuzzy  logic,  analogue  to  digital  converters  and  other  on-chip  functions;  advanced 
technologies for new kinds of processors; design, debug and test environments for  on-chip 
systems; systems software  including software  portability mechanisms; and standards. 

Additional activities will integrate the results of the previous generation of projects  started 
under the Third  Framework  Programme,  aiming to  speed  uptake  of  OMI  results  through 
applications pilots of on-chip  systems in user industries. The work  will concentrate  on the 
electronic  and  software  subsystems  needed  for  the  application,  and  not  normally  on  the 
entire  application  system.  The  latter  may  be  supported  by  EUREKA,  ESA  and  other 
European  research  frameworks,  Member  State 
initiatives  and  other  Community 
programmes.  Applications  pilots  will  be  selected  based  on  committed  industrial  interest 
and broad  social and economic benefits. 

Potential fields of application  include automotive control  systems for  pollution  and  energy 
control,  for  communications  and  for  geographic  vehicle  positioning;  communications 
systems  ranging  from  advanced  switching  to  portable  telephony;  customised  systems  for 
process  control  and  robotics  in  manufacturing;  advanced  multimedia  systems;  aerospace 
and other high  performance  embedded  applications. User  industry  participation  will be an 
integral  part  of  all  RTD  work,  so  as  to  make  user  requirements  known  to  technology 
suppliers'  and  to  seed  early  uptake  of  the  results  in industry.  The  aim  is to  speed  up  the 
systems  integration  process,  through  "vertical  integration"  (microprocessor  producer, 
software  supplier,  systems  integrator,  all  working  together),  leading  both  to  stronger 
systems supplier and user industries and to more high technology  employment. 

18 

XQtf 

Efficient  mechanisms  will be  provided  to  disseminate  and  transfer  results  throughout  the 
Community  and  world-wide.  This  will  be  achieved  by  conferences,  technical  interest 
groups and  networks of excellence; by regional design and conformance  testing centres  to 
assist particularly  SMEs in the exploitation of OMI technology; and by an OMI  portability 
action,  which  will  promote  on-chip  microprocessor  systems  standards  as  well  as  the 
virtual binary interface  standard, demonstrating value in portability experiments.  Activities 
will be coordinated  as appropriate with initiatives in Member States. 

Both  industrial  training  schemes  and  training  through  the  universities  and  centres  of 
excellence,  for  example  by  enhancing  existing  mechanisms  such  as  the  VLSI  training 
action,  will  be  supported.  International  co-operation  is  envisaged,  both  in  the  USA  and 
Japan,  particularly  in  the  field  of  open  standards  for  supercell  libraries  and  systems 
software. 

FOCUSED  CLUSTER 
HIGH PERFORMANCE COMPUTING AND  NETWORKING 

The  objective  of  this  focused  cluster  is  to  exploit  the  opportunities  provided  by  high 
performance  computing  and  networking,  to  expand  its  application  potential,  and  so  to 
speed the pace of innovation and serve the economy as a whole. 

Recent  technological  developments  in  computing  and  networking  promise  revolutionary 
qualitative  and  quantitative  changes  in  the  use  of  the  new  generation  of  computing  and 
communications  systems.  Shorter  time  to  market  and  better  product  quality  will  be  the 
main  motivation  for  uptake  by  industrial  users.  A  thousand  fold  improvement  in  the 
cost/performance  ratio  for  computing  and  networking  systems  will  make  feasible  an 
increasing  number  of  new  applications,  previously  impossible,  and  will  emerge  as  major 
demand  driver.  Experiments  will  be  substituted  by  computer  simulation  in  an  increasing 
number  of industries,  including traditional  ones. Moreover,  the use of HPCN  systems  for 
commercial  applications  is expected  to  be  taken  up  vigorously  in  the  second  half  of  the 
decade.  High-speed  networking  at  affordable  cost  will  allow  distributed  image-based 
applications  and  bring  multimedia  systems  to  full  fruition.  Existing  scalar/vector  systems 
will be  complemented  with  parallel  systems  in the  shorter  term,  and  parallel  systems  and 
clustered  workstation  technologies  are  expected 
to  converge  to  provide  scalable 
heterogeneous  multi-computer  networks by the year 2000. 

The priorities of the cluster are as follows: 

- 

- 

to  overcome  barriers to  the exploitation  of the underlying  technologies,  notably  in the 
field of  HPCN  applications  and  software,  by  improving  programmability,  ease  of  use, 
and  portability.  Standardisation  will pay a key role for  market  acceptance  of these new 
applications; 

to stimulate the development  of the underlying information  and communication  systems 
technologies towards the provision  of flexible  heterogeneous  multi-computer  networks 
satisfying  a  broad  range  of  user  requirements,  on  the  basis  of  the  principles  of 
scalability and  interoperability; 

- 

to build on existing European  strengths in terms of application  focus,  human  resources, 
and  scientific  and technological  capability; to take advantage of existing  infrastructures 

19 

ACT 

and  programmes,  and,  where appropriate,  to  provide  Community  added  value  through 
catalytic action. 

The  work  of  the  cluster  will  be  organised  around  five  co-ordinated  sets  of  activities, 
where  possible  drawing  together  and  building  upon  other  activities  in  the  Framework 
Programme,  in  the  initiatives  of  Member  States,  and  elsewhere.  The  first  three  sets 
address  applications  of  major  industrial  relevance.  The  underlying  generic  systems  and 
software  technologies  will  be  addressed  in a  fourth  co-ordinated  set.  The  fifth  addresses 
complementary  concerted  actions.  Co-operation  between  users  and  suppliers  of  systems 
and  services will help to  specify  evolving  user  requirements  for  future  generation  HPCN 
systems. The essential RTD on communications and on network  management  is addressed 
in the telecommunications  specific  programme. 

The first set of activities  concerns  simulation  and  design  applications.  The  objective  is to 
demonstrate  new  applications  which  need  HPCN  capabilities  for  cost-effective  solution, 
and  which  have  a  clear  impact  on  industrial  performance,  shorter  time  to  market  and 
better  product  quality.  The  emphasis  will  be  on  computational  fluid  dynamics,  materials 
dynamics,  electromagnetics,  molecular  modelling  and  other  chemical-pharmaceutical 
applications.  The  rapidly  increasing  flow  of  skilled  personnel  able to  use  HPCN  systems 
will  make  possible  distributed  applications  in  accordance  with  user  requirements.  A 
longer-term objective is to address advanced complex, and ultimately complete, simulation 
systems combining several disciplines. 

Activities  in  information  management  applications  aim  to  demonstrate  the  economic 
viability  of  HPCN  techniques  in  the  fields  of  complex  decision  support  and  high 
performance  online  transaction.  The  focus  of  activities  is  determined  by  the  need  for 
complex  multi-functional  adaptable,  highly  reliable  and  safe  solutions.  Activities  include 
the application  of HPCN to  complex data analysis, storage and  retrieval  of information  in 
large and distributed bases and the application of image-based  human-computer  interfaces. 
Sensitivity  to  new  solutions  and  approaches  at  management  level  need  to  be  developed 
through specific actions. 

The  third  set  aims  to  promote  the  use  of  generic  HPCN  technologies  for  embedded 
systems  applications  of  particular  economic  relevance,  such  as  quality  control,  advance 
surveillance,  complex  control  and  intelligent  machinery.  Activities  include complex  signal 
processing, pattern recognition,  image processing and understanding  and applications with 
specific  real-time  requirements.  Emphasis  will  be  placed  on  the  use  of  commodity 
components  and  subsystems  and  on  the  specification  of  architectures  suitable  for 
standardisation. 

A fourth  set on software  and systems technology will support the development of this new 
generation  of  user  oriented  HPCN  systems.  Work  will  draw  upon  activities  in  software, 
semiconductor  and  multimedia  technologies.  It  will  ease  the  use  of  a  wide  range  of 
applications, user environments for  the use of parallel, distributed  and embedded  systems, 
advanced  systems  architectures,  and  subsystems  such  as  computation  and  information 
servers  and  advanced  human-computer  interfaces,  generic  system  aspects  of  distributed 
database'management  and  distributed  processing.  Proof  of  concept  and  of the  economic 
viability of new ways of computing,  including optical computing and neural networks, will 
also  be  addressed.  The  emergence  of  heterogeneous  multi-computer  networks  will  be 
stimulated  by  the  development  of  computer-to-computer  and  computer-to-network 
interfaces,  including  their  operational  protocols,  and  associated  demonstration  and 

20 

AQ(O 

validation  activities.  Standardisation  and common practices amongst  a widespread  group 
of users and vendors will be encouraged. 

Supporting  activities  will  complement  the  work  to  support  the  development  of  a  pan-
European  HPCN  environment  and  infrastructure  by  achieving  appropriate  coordination 
with complementary activities and programmes. In this context, concerted  actions will be 
organised  in  the  form  of  networks  which  aim  at  spurring  training  by  research  and 
technology  transfer  to  industrial  users.  Applications  experiments  normally  building  on 
existing infrastructures  and requiring a Community dimension  will be supported  and will 
help users  to  evaluate  the  opportunities  and  facilitate  the  accelerated  uptake  of HPCN 
technologies. 

RTD  activities  will  be  coordinated  with  relevant  Eureka  projects,  and  national  and 
regional  programmes.  To accelerate  the emergence of widely  accepted  HPCN  products 
and technologies,  links and, where appropriate,  specific  international  cooperation  will be 
established. 

FOCUSED CLUSTER 
TECHNOLOGIES FOR BUSINESS PROCESSES 

To increase productivity and ensure competitiveness many enterprises are re-engineering 
their business processes, resulting in new work arrangements. A major feature of this re-
engineering is the integration  of business processes across the business functions  such as 
sales,  product  development  and finance. Another  feature  is  more group  working,  often 
across departments. A third feature is a move from the high level of division of labour that 
has been common up to  the  1980s, to  an integration  of tasks,  with  several  of the tasks 
being  carried  out  by  the  same  individual.  Information  technology  is  an  essential 
underpinning for most of these new arrangements, which are otherwise either not feasible 
or uneconomic. 

The new  business  processes  often  involve  complex  decisions,  are  knowledge  intensive, 
require rapid response, and are related to work flow. Many of the new processes need to 
be  supported  by new technologies  or  new  combinations  of  technologies;  integration  of 
technologies  is the central  support  required.  Tools  to  support  cooperative  working and 
document  management  are  of  particular  importance.  Considerable  scope  exists  for 
improvement in the efficiency  of document management services in particular. 

The objective  of the focused  cluster  is substantially to increase the contribution  of IT to 
the effectiveness  of organisations  by, first, improving  the  level  of understanding  of best 
practice  in  the  use  of  IT  in  business  processes,  and  second,  developing  the  underlying 
technologies  that  will support  the new organisational  developments.  The cluster  will be 
application-driven,  and will use this focus to integrate technologies from several areas of 
the  Specific  Programme,  as well as developing  complementary  new technologies.  Users 
will have a key role in the cluster, providing the orientation for the effective use of IT. The 
cluster builds on the work done on IT support  for  business processes  in previous Esprit 
phases.  There  will  be  close  coordination  with  work  carried  out  in  the  telematics  and 
telecommunications programmes. 

Research  into  IT  for  business  processes  is  multidisciplinary,  and  includes  modelling  of 
information  and 
business  processes,  organisation  "engineering",  architecture  of 

21 

Ao4 

communication  processes  in the  enterprise,  integrating  software  components  for  business 
requirements,  and  integrating  document  management  into  multilingual  organisations  and 
administrations.  Differences  between  countries  in  business  organisation  and  business 
practices as well as in styles of organising IT will also be incorporated  into the research. 

RTD  on  technologies  supporting  business  processes  will  have  an  application-driven 
approach,  which  will  result  in  the  integration  of  several  technologies.  Methods  of 
integration  with  companies'  existing  applications  and  data  will  also  be  pursued. 
Complementary  research  will  be  done  on  computer-supported  cooperative  work  and 
document  management. 

New  approaches  to  integrating  and  developing  software  are  required  to  support  the  new 
forms  of  business  process  automation,  including  the  integration  of  object-orientation, 
knowledge-based  systems,  graphical  user  interfaces,  and  distributed  computing.  The 
integration  with  other  technologies  of  teleconferencing,  of  spatial  information  systems 
such  as  geographical  information  systems,  and  of  mobile  technologies,  is  also  required. 
This  necessitates  a  strong  relationship  to  the  work  on  methods  and  tools  and  on 
knowledge-based  systems in other parts of the IT  programme.  Work  will also be done  as 
appropriate on standards. 

In the area of computer-supported  cooperative  work  (CSCW),  research  aims to apply  IT 
to  the  enhancement  of  interpersonal  interaction  and  collaboration  in  the  business 
enterprise.  CSCW  applications  support  users working jointly  on  projects  in  a  distributed 
environment,  on  heterogeneous  hardware  and  software  systems,  simultaneously  or 
sequentially.  The RTD covers tools, standards, and object  libraries for the generation and 
tailoring  of  CSCW  applications,  taking  into  account  user  mobility,  flexible  forms  of 
working,  and  the  use  of  existing  information  systems.  Specific  fields  of  research  include 
collaborative  authoring,  group  decision  support,  electronic  meetings,  and  shared 
distributed  work. 

A number  of research  activities  will be undertaken  in the  area  of  document  management. 
Work  on  document  creation  will  address  the  creation  of  multimedia  documents  in  a 
cooperative  and  distributed  manner,  using  disparate  tools  and  systems,  incorporating 
existing documents  including  conversion  of old  paper  documents  to  electronic  form,  and 
building composite  documents.  Aspects  of  software  development  techniques  are  relevant 
for  version  control,  consistency  management  and  concurrent  engineering.  Work  will  also 
address flexible and just-in-time  document  production  and  printing,  and  the  relationship 
between documents and distribution  mechanisms such as electronic  mail and  fax  services. 
In the area of document  storage and retrieval, new more user-friendly  forms of access will 
be developed,  along with  new ways of organising  the  storage,  archiving  and  clustering  of 
documents,  and  techniques  for  the  retrieval  of  parts  of  documents,  such  as  illustrations, 
citations, subparagraphs, and annotations. 

Pilot  experiments  will be undertaken,  together  with  activities in the field of best  practice. 
The  work  will  aim  at  speeding  up  learning  on  the  optimal  forms  of  integration  of  the 
various  technologies  in  business  processes.  Learning  both  by  users  and  by  technology 
providers is envisaged,  with the users playing the leading role. Methods of minimising the 
user's perceived  risk in adopting and deploying the new technologies will be investigated. 

22 

Acg 

FOCUSED  CLUSTER 
INTEGRATION  IN  MANUFACTURING 

For a high-wage  economy,  employment  in the  productive  sector  relies  on the  rapid  shift 
towards  technology-based  products  of  high  engineering  content  or  added-value,  and  on 
the ability of manufacturers to operate in an optimal way in a dynamically changing global 
network  of  business  partners,  suppliers,  customers,  and  researchers.  The  profound 
restructuring  which  is  taking  place throughout  industry  creates both  the  climate  and the 
opportunity  for  change.  New  manufacturing  paradigms  are emerging  to  support  a more 
intelligent  manufacturing, 
lean  and  agile  approach:  collaborative  supply  chains, 
collaborative  working.  All  are  predicated  on  the  availability  of  advanced  IT  and 
Communications. 

Previous  work  was  based  on  the  concept  of  the  integration  of  traditional  engineering 
functions.  These  "computer  integrated"  technologies  of  the  80's  are  now  sufficiently 
mature to be able to be exploited downstream in an industrial environment.  A new culture 
of  work  is emerging  which  pervades  all  business  processes  including  manufacturing  and 
engineering;  this  needs  advanced  ICT  and,  correspondingly,  determines  new  upstream 
ICT developments.  Advanced ICT developments must be influenced  at their inception,  so 
that European  industrial  competitiveness  and the quality  of life  for  the  industrial  worker 
are well-served. 

The  objective  of  activities  in  this  domain  is,  through  the  development  of  advanced 
information  technologies,  to  act  as a catalyst  in these  changes  and,  in  coordination  with 
the  programme  on  industrial  and  materials  technologies,  to  contribute  to  increasing 
competitiveness  in  the  manufacturing,  engineering  and  process  industries  through 
in  product  quality,  cost  and  time-to-market,  while  meeting  the 
improvements 
environmental challenges of the 21st century. 

Basic  generic  technologies  in the field of  ICT are evolving  separately  at  high  speed  and 
their uptake will  be limited  by the speed with which they  can be integrated  in a business 
environment. The architecture of future systems must be continuously redrawn in order to 
enable  users to  reap the benefits  of  advanced  ICT developments  while  at  the  same  time 
migration paths must be defined  in order to protect the investment already made up to the 
present. Work will draw on and integrate basic technologies in software  engineering,  open 
systems,  computer  aided  design,  data  modelling  and  database  design,  microelectronics, 
microsystems and selectively mechatronics. 

individual  companies, 

For 
implementation  of  business  strategies  based  on  new 
manufacturing  paradigms  requires  a  redefinition  of  the  building  blocks  used  to  develop 
ICT  support  systems  for  the  manufacturing  and  process  industries.  Cross-sectorial  and 
multi-disciplinary  initiatives will be supported in order to tackle generic problems, while at 
the  same  time  taking  account  of  specific  industrial  requirements  and  the  quality  of  life. 
These will result in benefits across the full spectrum of industry. 

Work  will  concentrate  on  new  ICT  solutions  in  three  technical  areas  supported  by 
prenormàtive and cooperative activities. 

Work  on  the  enterprise  integration  framework  will  concentrate  on  the  provision  of 
methods  and  tools  to  support  modular  system  design  for  the  ICT  systems  supporting 
manufacturing  and production enterprises.  Users and vendors will  be encouraged  in their 
efforts  to  reach  consensus  on  requirements  and  functional  specifications  for  the 

23 

y l o^ 

components  for  such  systems,  and  support  will  be  given  to  advanced  implementations 
aimed at validating and testing the results. 

Work in the field of integrated  product  data  modelling  will concentrate on  formalising 
and standardising the data structures used to describe products and their components, thus 
extending  the  functionality  of  product  data  modelling  systems  to  a  higher  level  of 
semantics,  including  knowledge  representation  and  sharing.  This  will  enable  the 
engineering  functions  of  the  entire  life-cycle  of  products  and  processes  to  be  supported 
from  a common platform. 

Both the productivity of manufacturing and production systems and their ability to operate 
safely and without hazard to human life or the environment depend on the quality of their 
control  systems.  Work  on  intelligent  control  will  concentrate  on  the  development  and 
integration  of  distributed  hierarchical  control  systems,  beginning  at  the  level  of  sensors 
and actuators,  extending  through the control  of the  production  process,  and at  a higher 
level dealing with the flow of goods  and orders through complete factories  or plants and 
also through the entire logistics supply chain. 

The  raté  of  uptake  of  the  technology  developed  in  the  three  areas  above  is  largely 
dependent on the speed with which agreement can be reached on standards for the use of 
emerging technologies.  Measures will be taken to  enable experimentation  with emerging 
standards, and a close linkage between users and vendors will be established to accelerate 
this  process.  Measures  to  support  the  diffusion  of  best  practice  to  all  regions  of  the 
Community will be undertaken in order to support European enterprises collaborating and 
competing  internationally.  Coordination  and  collaboration  with  Member  State  and 
international initiatives will be established as appropriate. 

24 

-Uo 

ANNEX II 

INDICATIVE BREAKDOWN  OF AMOUNT 

Application 

specific 

ST 

TCS 

MT 

14% 

23% 

8% 

LTR 

OMI 

HPCN 

TBP 

IIM 

Totals 

-

4% 

4% 

2% 

4% 

2% 

4% 

-

7% 

4% 

1% 

1% 

5% 

3% 

-

2% 

3% 

6% 

2% 

19% 

33% 

34% 

1% 

14% 

Totals 

10% 

10% 

13% 

10% 

12% 

100% 

1 911  MECUs1234 

Key: 

.  ; 

SOFTWARE TECHNOLOGIES 
ST 
TECHNOLOGIES FOR COMPONENTS AND SUBSYSTEMS 
TCS 
MULTIMEDIA TECHNOLOGIES 
MT 
LONG TERM RESEARCH 
LTR 
OMI 
OPEN MICROPROCESSOR  SYSTEMS INITIATIVE 
HPCN  HIGH PERFORMANCE COMPUTING AND NETWORKING 
TBP 
IIM 

TECHNOLOGIES FOR BUSINESS PROCESSES 
INTEGRATION IN MANUFACTURING 

The table  shows  the indicative  allocations to  the  underpinning  technology  domains,  long 
term research, and the focused clusters. 

The  left  hand  column  gives  the  indicative  allocations  to  the  underpinning  technology 
domains.  The five central columns show for each focused  cluster the indicative  allocation 
of funds to work with an application focus, and for each cluster and for long term research 
the  indicative  allocation  to  work  related  to  each  of  the  underpinning  technologies.  The 
totals  for each cluster  and for  long term research are in the bottom  row.  The  right  hand 
column  shows  the  overall  totals  for  the  work  with  an  application  focus,  and  for  work 
related to the underpinning technologies. 

The  breakdown  between  the  different  headings  does  not  exclude  the  possibility  that 
projects could come under several headings. 

1 

Including expenditure on staff  totalling 4.2% and administrative expenditure totalling 3%. 

2  At  least  2% of  the  total  appropriations  will  be  spent  on  training  activities  carried  out  as  part  of  the 

programme. 

3  An  amount  of  19  MECUs  from  the  total  appropriations  will  be  spent  on  dissemination  and 
optimisation  activities  carried  out  as  part  of  or  in  conjunction  with  the  other  activities  of  the 
programme. 

4  An  amount  of  21  MECUs.  which  is  the  difference  between  the  amount  deemed  necessary  for  the 
present  programme  and  the amount  foreseen  for  Information  Technologies  in  the  Fourth  Framework 
Programme,  is allocated  to the "specific  RTD programme  implemented  by  means of on  the one  hand 
direct  actions  and  on  the  other  hand  S&T  support  activities  carried  out  in  the  framework  of  a 
competitive  approach." 

25 

AAA 

DETAILED RULES FOR IMPLEMENTING THE  PROGRAMME 

ANNEX EDI 

1. 

The  detailed  rules  for  the  Community's  financial  contribution  are  laid  down  in 
Annex IV to the Decision on the fourth framework programme. 

The  detailed  rules  for  the  participation  of  undertakings,  research  centres  and 
universities, and for the dissemination of results, will be laid down in the measures 
provided for by Article 130j of the Treaty. 

However,  for  the  purpose  of  implementing  this  programme,  the  following 
exceptions shall apply: 

Participation  in  this  programme  is  open,  with  financial  support  from  the 
Community: 

a. 

to all legal entities, established and regularly carrying out RTD activities 

in the Community, or 
in  a  third  country  associated,  wholly  or  in  part,  with  the 
implementation  of  the  relevant  programme  through  an  agreement 
concluded between the Community and the said third country 

b. 

to the Joint Research Centre. 

Participation  in  this  programme  is  open,  without  financial  support  from  the 
Community,  and  on  condition  that  their  participation  is  in  the  interests  of 
Community policies: 

a. 

b. 

c. 

to  legal  entities established  in a country  which  has concluded  a  scientific 
and  technical  co-operation  agreement  with  the  Community  relating  to 
activities  covered  by  the  programme,  provided  the  participation  accords 
with the terms of the agreement, 

to legal entities established in a European country, 

to international research organisations. 

The participation of European international  organisations  may be financed  on the 
same basis as that for Community organisations in duly specified cases. 

2. 

2.1 

This programme will be carried out in the form of: 

Financial  participation  by the  Community  in RTD  activities  carried  out  by third 
parties or by JRC Institutes in association with third parties: 

(a) 

Shared-cost activities: 

RTD  projects  carried  out  by  undertakings,  research  centres  and 
universities,  including  consortia  for  integrated  projects  with  a  common 
theme; 

technology stimulation seeking to encourage and facilitate the participation 
of  SMEs  through  an  award  covering  the  exploratory  phase  of  an  RTD 
activity  (including  the  search  for  partners)  and  through  cooperative 
research; 

support  for  financing  the  infrastructure  or  installations  necessary  for 
coordinated action (closer coordination). 

26 

>M1 

(b) 

(c) 

Concerted action,  which consists of coordinating, particularly with the aid 
of  concertation  networks,  RTD  projects  already  funded  by  public 
authorities  or  private  bodies.  Concerted  action  can  also  include  the 
requisite 
together 
manufacturers,  users,  universities  and  research  centres  to  work  on  the 
same technological or industrial objective under shared-cost RTD activities 
(cf. first paragraph of Section 2.1(a)). 

thematic  networks  bringing 

coordination  of 

Specific  measures  such  as  measures  to  encourage  standardisation  and  to 
provide  general  tools  to  research  centres,  universities  and  undertakings. 
The  Community's  contribution  covers  up  to  100%  of  the  cost  of  the 
measures. 

2.2  Preparatory, accompanying and support measures: 

studies  in  support  of  this  programme  and  in  preparation  for  future 
activities; 
conferences,  seminars, workshops or other scientific  or technical meetings, 
including intersectoral or multidisciplinary coordination meetings; 
use of external expertise, including access to scientific databases; 
activities  for  the  dissemination  and  utilisation  of  the  results,  including 
scientific  publications (in coordination with the activities  conducted under 
the third area of activity); 
studies to  assess  the  socio-economic  consequences  and any  technological 
risks  associated  with  all  the  projects  under  this  programme,  in  close 
collaboration with the targeted socio-economic research programme; 
studies  to  assess  the  environmental  impact  of  the  activities  in  this 
programme; 
pilot and preparatory activities in collaboration with third countries; 
training activities related to research covered by this programme; 
independent  evaluation  (including  studies)  of  programme  administration 
and of the implementation of the activities; 
measures  in  support  of  the  operation  of  networks  for  providing 
information and decentralised assistance for SMEs in coordination with the 
Euromanagement RTD audits scheme. 

3.  The activities relating to  the dissemination and utilisation of results carried out under 
this programme will complement those carried out under the third area of activity and 
will  be  implemented  in  close  coordination  with  the  latter.  The  partners  in  RTD 
projects are excellent vehicles for the dissemination and utilisation of results.  Back-up 
will  be  provided  via  publications,  conferences,  promotion  of  results,  studies  of 
technical and economic potential, etc.  To ensure optimum exploitation,  factors  liable 
to  encourage  the subsequent  utilisation  of  results  should  be taken  into  account  from 
the outset and throughout the RTD projects. 

27 

AX*> 

SPECIFIC RESEARCH AND TECHNOLOGICAL DEVELOPMENT PROGRAMME IN 
THE FIELD OF INFORMATION TECHNOLOGIES 

FINANCIAL STATEMENT 

29 

1.  TITLE OF OPERATION 

FINANCIAL  STATEMENT 

Specific  research  and  technological  development  programme  in  the  field  of  information 
technologies. 

2.  BUDGET HEADING  INVOLVED 

B6-7113. 

3.  LEGAL BASIS 

Article  130i of the Treaty on European Union. 
Council  and  European  Parliament  Decision  concerning  the  fourth framework programme  of 
Community  activities  in  the  field  of  research,  technological  development  and  demonstration 
(1994 to ,1998). 

4.  DESCRIPTION  OF OPERATION 

4.1  General objectives of operation 

To  help  enhance  the  quality  of  life  and  improve  the  competitiveness  of  all  European 
industry. 
To contribute to the establishment of information infrastructure in Europe. 
To strengthen the scientific and technological base of European industry. 
To promote preparatory and validation activities with a view to standardisation. 

4.2  Fields covered 

Underpinning technologies 
Software technologies. 
Technologies for IT components and subsystems. 
Multimedia technologies. 

Long term research 

Focused clusters 

Open microprocessor systems initiative. 
High performance computing and networking. 
Technologies for business processes. 
Integration in manufacturing. 

4.3  Duration 

1994-1998. 

5.  CLASSIFICATION  OF EXPENDITURE  OR  REVENUE 

Non-compulsory  expenditure/differentiated  appropriations. 

31 

6. TYPE OF EXPENDITURE OR REVENUE 

Studies/subsidies 

- 

In principle, the direct activities will be  100%  funded. 

The concerted  activities  may qualify  for  a contribution  of up to  100% of the  coordination 
costs. 

Subsidy for joint financing with other sources in the public and/or private  sector: 

The  shared-cost  activities  comprising  RTD  projects  will  qualify  for  a  contribution  of  not 
more than 50%. 

Universities  and  other  research  centres  participating  in  RTD  projects  and  unable  to 
substantiate their total  costs  in sufficient  detail for  the Commission,  based  on  an  analytical 
accounting system, will qualify  for  100% funding  of the additional costs. 

Other  shared-cost  activities  (for  example,  networks,  training,  feasibility  awards  or 
accompanying  measures) will qualify  for  up to  100% of the additional  costs or of the  costs 
of the measure. 

Staff,  administrative and operating costs. 

These  also  cover  the  costs  of  personnel  covered  by  the  Staff  Regulations  and  other  staff, 
studies,  meetings  of  experts,  conferences  and  congresses,  information  and  publications, 
administrative,  technical  and  operating  costs,  and  certain  other  internal  infrastructure  and 
operating costs for attainment of the objective of the activity of which they are an integral part. 

7.  FINANCIAL  IMPACT 

7.1  Method of calculating  total cost of  operation 

*  Staff costs:  ECU 80 million (4.2% of the ECU  1911 million deemed  necessary). 

The  number  of  posts  will  be  adapted  in  1995,  1996  and  1997,  depending  on  the  budget 
available each year. 

It  is  important  to  note  that  the  staff  working  on  this  specific  programme  will  also  be 
responsible  for  the  scientific  monitoring  and  for  monitoring  the  contracts  for  the  activities 
carried  out  as part  of the  programme  under  the third  framework  programme  and  other  earlier 
activities. 

*  Administrative costs:  ECU  57 million (3% of the ECU  1911 million deemed  necessary). 

*  Operating  costs:  ECU  1774  million  (92.8% of the ECU  1911 million  deemed  necessary), 

including the cost of accompanying measures, evaluations and concertation  activities. 

32 

M\ 

7.2  Itemised  breakdown  of cost (in  million  ECU  and  %) 

million ECU 

Underpinning  technologies 
-  Software  technologies 
-  Technologies for IT components and subsystems 
-  Multimedia technologies 
Long-term research 
Focused  clusters 
-  Open  microprocessor 
systems initiative 

-  High performance  computing and networking 
-  Technologies for business processes 
- 

Integration in manufacturing 

14% 
23% 
8% 
10% 

10% 
13% 
10% 
12% 

268 
440 
153 
191 

191 
248 
191 
229 

TOTAL 

TÔÔ% 

T9ÏT  I  2 34 

(1) 

(2) 

(3) 

(4) 

Including  ECU  80  million  (4.2%)  for  staff  costs  and  ECU  57  million  (3%)  for 
administrative costs. 

This  amount  includes  a  sum  of  19  million  ECUs  for  the  cost  of  dissemination  and 
application of results. 

For  the  cost  of  training,  this  amount  includes  at  least  2%  of  the  amount  deemed 
necessary. 

An  amount  of  21  million  ECUs,  which  is the  difference  between  the  amount  deemed 
necessary  for  the  present  programme  and  the  amount  foreseen  for  Information 
Technologies  in the Fourth  Framework  Programme,  is allocated  to  the  "specific  RTD 
programme  implemented  by  means of on the one  hand  direct  actions  and  on  the  other 
hand  S&T support activities carried out in the framework  of a competitive  approach". 

7.3 

Indicative  schedule of  appropriations 

The schedule  will be established  on  the basis of the overall  amounts  for  the  fourth  framework 
programme  adopted  indicatively  for  the  periods  1995-1996  and  1997-1998  at  the  conciliation 
committee meeting on 21 March  1994. The RTD appropriations  for  each  financial  year  will be 
proposed  and  adopted  each  year  on  the  basis  of  the  resources  available  in  the  context  of  the 
financial  perspective. 

Commitment 
appropriations 

1995 
1996 
1997 
1998 
TOTAL 

431 
511 
580 
389 
1911 

Payment  appropriations 
1997 

1996 

1998 et 
seq. 
29 
61 
230 
389 
709 

60 
100 
350 

510 

1995 

167 

175 
350 

167 

525 

33 

TOTAL 

431 
511 
580 
389 
1911 

/\Aé>  <*. 

8.WHAT  ANTI-FRAUD  MEASURES ARE  PLANNED? 

Numerous  administrative  and  financial  controls  have  been  introduced  at  every  stage  of  the 
procedure for awarding and implementing research contracts. These include: 

Prior to conclusion of the contract: 

Shortlisting  of the proposals  on  the basis of their  scientific  merit  and  of  how  realistic 
the  research  costs  are,  considering  the  nature,  duration  and  potential  impact  of  the 
project; 

Analysis of the financial  data submitted by the proposers in the negotiation  form. 

After signature of the contract: 

Examination  of  the  statements  of  expenditure  before  payment  at  various  levels 
(financial  controller and scientific  manager); 

On-the-spot  inspections  of  the  supporting  documents  to  detect  any  errors  or  other 
irregularities. To tighten up these controls, the Commission has set  up  a central  audit 
unit which is responsible for  all the inspections.  The inspections are carried  out  either 
by  members  of  the  audit  unit  or,  under  their  supervision,  by  firms  of  auditors  with 
which the Commission  has concluded  framework  contracts. 

9.  ELEMENTS  OF COST-EFFECTIVENESS  ANALYSIS 

9.1  Specific  and quantifiable  objectives;  target  population 

(a)  Objectives 

Overall objectives are: 

To  help  enhance the quality  of  life  and  improve  the  competitiveness  of  all  European 
industry. 

To contribute to the establishment  of the information  infrastructure  in Europe. 

To strengthen the scientific  and technological base of European  industry. 

To promote preparatory and validation activities with a view to  standardisation. 

The technical content of the programme focuses  on the areas which are most  important  for  the 
development  of  the  information  infrastructure,  and  where,  taking  account  of  the  principle  of 
subsidiarity,  Community  action will make the best  use of the  resources  available. The  work  of 
the programme is directed both at the more basic or underpinning technologies, and at  selected 
topics which integrate technologies into systems. 

The  programme  will  introduce  a  number  of  focused  clusters.  A  cluster  is  a  set  of  activities 
covering  a  number  of  technology  areas  but  with  a  single  well-defined  goal.  As  well  as 
collaborative  research  projects,  a cluster  may incorporate  other  kinds of activity,  as its  specific 
needs dictate. 

34 

1 4^ 

The programme addresses the following technology areas. 

Software  technologies:  software  is  a  major  element  in  the  information  infrastructure,  and 
already represents over half the value of computers and embedded systems. There is a pressing 
need  to  understand,  develop  and  promote  the  technologies  which  will  enable  Europe  to 
produce reliable, correct, efficient  and user-friendly  software.  The programme concentrates on 
a limited number of software technologies crucial for meeting this need. 

Technologies  for  IT  components  and  subsystems:  electronic  components  and  subsystems 
are the physical building blocks of the information  infrastructure.  Research and development in 
the programme concentrates  on three  topics:  semiconductors,  with  a  particular  emphasis on 
advanced  integrated  circuits  for  specific  applications;  peripherals,  and  in  particular  the flat 
panel displays and compact memory systems; and microsystems. 

Multimedia technologies are a third key domain. The programme aims to concentrate on the 
technologies  needed  for  the  creation,  manipulation,  display,  and  storage  of  multimedia 
information, with a specific effort  directed at the development of integrated  personal systems, 
an area of major application of multimedia technologies. 

Long term  research  is proposed  in a range of technology fields, concentrating  on  upstream 
projects  with  an  emphasis  on  interdisciplinarity  where  effort  at  a  European  level  has  the 
potential to lead to future breakthroughs. 

The high performance  computing and  networking  focused  cluster  aims at the enhancement 
of  Europe's  capability  to  exploit  computing  technologies  offering  the  highest  performance,  a 
capability  indispensable  both  for  embedded  systems  in  the  infrastructure  as  well  as  for 
maintaining competitiveness in a growing range of industries. 

s 

The  open  microprocessor  systems  initiative  addresses  the  development  of  standards  and 
technologies for open microprocessor systems, an area also of major  importance for  embedded 
systems. 

The  focused  cluster  technologies  for  business  processes  focuses  on  the  integration  of 
enterprises into the information  infrastructure,  and the effective use of IT in business. This is an 
area where major gains in competitiveness are just beginning to be seen. 

The focused  cluster  on  integration  in  manufacturing  concentrates  on the integration  of IT 
into  manufacturing  processes,  in  support  of  new  competitive  modes  of  operation  such  as 
flexible, lean and just-in-time manufacturing. 

The programme  will  have to  be responsive  enough  to  keep  pace  with  rapidly  evolving user 
needs and with the accelerating  pace of technological  change, and will  need  the flexibility  to 
adjust and adapt. 

The  programme  will  seek  to  be  cohesion  friendly  by  providing  interfaces  for  the  use  of 
structural funds in RTD. 

To add maximum value to its RTD activities, the programme proposes where appropriate  to 
pursue coordination  with Eureka, offering  the scope to bring results closer to market,  as well 
as with other European RTD frameworks and with relevant initiatives in Member States. 

35 

AA.% 

(b)  Target population 

Information  technologies  industry:  suppliers  of  hardware,  software  and  integrated 
systems, including small and medium-sized enterprises. 

Companies providing information technology services. 

Users of information technologies, including private citizens. 

Universities and research institutes. 

9.2  Grounds for the operation 

Since the emergence of digital computing in the late  1940s, the use of information technologies 
has been extending  ever farther into  economic  and  social  life.  Information  technologies  now 
increasingly underpin all production and service industries, as well as the provision of societal 
services.  We  are at the beginning  of  the  transition  to  a  new  information  infrastructure  of 
society  arid industry.  The return to  a strong  economy  and  fuller  employment,  not just  in the 
information technology sector but in all industries, will be heavily influenced  by the speed and 
success with which the new information infrastructure can be put into place and the structural 
adjustment of industry can be completed. 

The  focus  of  research  and  development  in  the  IT  programme  is  the  emerging  information 
infrastructure.  The  RTD  areas  proposed  are  those  most  vital  to  the  development  of  the 
infrastructure, taking into account the need for selectivity and concentration of effort,  and with 
the objective of improving the competitiveness  of all industry and helping  enhance the quality 
of life.  This new focus implies an increased emphasis on the needs of users and of the market. 
Activities will stress access to services and technologies, usability and best practice. 

The  programme  will  contribute  to  the  information  society  objectives  of  the  White  Paper  on 
growth, competitiveness and employment. 

The high costs of international collaboration, infrastructure investment and staff required in the 
IT  field  necessitate  shared-cost  activities  with  50%  funding.  At  the  same  time,  the  equal 
contribution to be made by the recipients should guarantee the strength of their commitment. 

9.3  Monitoring and evaluation  of the operation 

9.3.1  Relevant criteria 

Performance indicators selected (process criteria) 

Degree  to  which  the  technical  work  programme  is  covered  by  the  projects  or 
other activities. 
Number of organisations participating in the programme. 
Majority of participants from industry, particularly small businesses. 
Number  and  impact  of  the  technical  results  obtained  by  the  projects  and  other 
activities. 
Demonstrations at conferences and international exhibitions. 
-,  Publication of articles and other scientific and/or technical reports. 

36 

AM 

9.3.2  Details and frequency of planned evaluation 

Progress reports on each project must be submitted once or twice a year. 
Each  project  is  evaluated  at  least  once  a year,  with  the  cooperation  of  outside 
experts. 
The  programme  as  a  whole  is  regularly  evaluated  by  panels  of  independent 
experts. 
At finalisation of the programme, the Commission will conduct  a final  evaluation 
of  the  results  obtained  relative  to  the  objectives  of  the  programme  and  the 
framework programme.  The  final  evaluation  report  will  be  submitted  to  the 
Commission, the European Parliament and the Economic and Social Committee. 

9.3.3 

Assessment of the results obtained from the activities in progress 

Since  the  start  of  the  third  framework  programme,  a  total  of  509  research  projects,  15 
networks of excellence and 52 working parties have been started up in the field of information 
technologies.  This  is  in addition  to  the  420  activities  started  under  the  second  framework 
programme, 30 of which were still in progress at the start of 1994. 

The new  activities  under the third framework programme  involve  over  2000  participants,  of 
which 62% are teams in industrial undertakings.  Small  and medium-sized  enterprises account 
for 40% of the participants. 

Other activities  in the information  technologies  programme  include  EUROCHIP,  the training 
scheme on VLSI design intended to extend the range of training available on circuit design in 
universities and European institutions.  ESSI, the European Software and Systems Initiative, in 
turn  covers  over  100  activities  to  improve  the  productivity  of  the  software  development 
industry by disseminating the best practices. 

An independent evaluation panel has concluded that the programme has had a major impact on 
cooperation  between  undertakings,  between 
industry  and  universities  and  between 
organisations in the different Member States and has played a key role in the establishment of a 
genuine  European  research  community  in  the  IT  field.  The  programme  has  also  provided 
particular support for development work in the IT sector by small and medium-sized  firms. 

37 

-Ago 

Proposai  for  a 

COUNCIL DECISION 

94/0082(CNS) 

adopting  a  specific  research  and 

technological  development  programme  in  the 

field  of  industrial  and  materials  technologies 

(1994-1998) 

Al4 

PROPOSAL FOR A COUNCIL DECISION 

adopting a specific research and technological 
development programme (1994-98) 
in the field of industrial and materials technologies 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130i(4) thereof, 

Having regard  to the proposal  from  the  Commission,1 

Having regard  to the  opinion  of the  European  Parliament,2 

Having regard  to the opinion  of the Economic  and  Social  Committee,3 

Whereas, by Decision  ../..EC,4 the  Council and  the  European 
Parliament adopted a fourth framework programme for Community activities in the field 
of research, technological development and demonstration (RTD) for the period 1994-98 
specifying  inter alia the activities to be carried out in the field  of industrial and  materials 
technologies; whereas this Decision takes account of the grounds set out in the preamble 
to that  Decision; 

Whereas Article  130i(3) of the Treaty specifies  that the framework  programme shall be 
implemented  through  specific  programmes  developed  within  each  activity  under  the 
framework  programme and that each specific programme shall define  the detailed  rules 
for  its implementation, fix its duration and provide for  the resources deemed  necessary; 

Whereas  this  programme  will  be  carried  out  mainly  through  shared-cost  activities, 
concerted  activities,  specific  measures,  and  preparatory,  accompanying  and  support 
measures; 

Whereas, in accordance with Article  130i(3), an estimate should be made of the financial 
resources  needed  to  carry  out  this  specific  programme;  whereas  the  final  amounts will 
be  decided  upon  by  the  budgetary  authority  in  accordance  with  the  relative  priority 
assigned to the areas covered by this programme within the first activity under the  fourth 
framework  programme; 

1  OJ  No ..., ..,  p. 

2  OJ  No ..,...,  p. 

3  OJ  No ...,...,  p. 

4  OJ  No ..., ..., p. 

AVL 

Whereas  Decision  ../../EC lays  down  that  the  overall  maximum  amount  of  the  fourth 
framework programme will be  reexamined  by 30 June  1996 at the  latest with a view to 
its being increased; whereas, as a consequence of this reexamination, the amount deemed 
necessary to  carry out this programme  could increase; 

Whereas  a  strengthening  of  cooperation  in  RTD  concerning  industrial  and  materials 
technologies is needed in order to develop technologies for the sustainable  development 
of European  industry; 

Whereas this programme may make a significant contribution to growth, competitiveness 
and  employment,  as  indicated  in  the  White  Paper  on  growth,  competitiveness  and 
employment;5 

Whereas Decision : ../../EC (fourth framework  programme) lays down that a Community 
action is justified  if, inter-alia, research contributes towards strengthening economic  and 
social cohesion  within the  Community  and  its  harmonious  development  globally, while 
at  the  same  time  meeting the  objective  of scientific  and  technical  quality; whereas  this 
programme  contributes  towards meeting these  objectives; 

Whereas the content of the fourth framework programme for Community RTD activities 
was  established  in  accordance  with  the  subsidiarity  principle;  whereas  this  specific 
programme specifies the content of the activities to be carried out in accordance with this 
principle in the field of industrial  and materials  technologies; 

Whereas  this  programme  will  help  to  strengthen  synergy  between  the  RTD  activities 
carried  out  in  the  field  of  industrial  and  materials  technologies  by  research  centres, 
universities and enterprises, in particular SMEs, in the Member States and between  the 
latter  and  the corresponding  Community RTD activities; 

Whereas provision should be made for measures to encourage the involvement of SMEs 
in this programme, in particular  through  technology stimulation  measures; 

Whereas  coordination  between  research  projects  targeted  towards  common  strategic 
objectives  should  be  stepped  up; whereas  the  establishment  of  thematic  networks  will 
permit  greater  synergy  between  fundamental  research  and  industrial  research  and 
coordination with other  European  initiatives and  programmes, in particular  EUREKA; 

Whereas applied research relating to steel product and process innovation may gradually 
be  taken  into account  in the  context  of  this specific  programme, given  the  forthcoming 
expiry of  the  ECSC Treaty; 

Whereas the rules for  the participation  of undertakings, research  centres (including  the 
JRC)  and  universities  and  the  rules  governing  the  dissemination  of  research  results 
specified  in the measures provided  for in Article  130j of the Treaty apply to this  specific 
programme; 

COM(93)700 final, 5.12.1993. 

A£b 

Whereas, in accordance with Article 130m of the Treaty, it may be appropriate to engage 
in international cooperation activities with international organizations and third countries 
other than the countries covered by the European Economic Area (EEA) agreement for 
the purpose of implementing this programme; 

Whereas  this  programme  also  comprises  support  activities  and  activities  for  the 
dissemination and exploitation of RTD results, in particular vis-à-vis small and medium-
sized enterprises (SMEs), and in particular those in the Member states or regions which 
participate least in the programme, and activities to stimulate the mobility and training 
of researchers within this programme to the extent necessary for proper implementation 
of the programme; 

Whereas  an  assessment  should  be  made  of  the  economic  and  social  impact  and  any 
technological risks associated with the activities carried out under this programme; 

Whereas  progress  within  this  programme  should  be  continuously  and  systematically 
monitored with a view to adapting it, where appropriate, to scientific  and technological 
developments  in  this  area;  whereas  in  due  course  there  should  be  an  independent 
evaluation  of  progress  within  the  programme  so  as  to  provide  all  the  background 
information  needed  in  order to  determine  the  objectives  of  the fifth RTD  framework 
programme; whereas at the end of this programme there should be a final evaluation of 
the results obtained compared with the objectives set out in this Decision; 

Whereas the JRC may participate in the indirect activities covered by this programme; 

Whereas the JRC will also contribute, through its own programme, to the attainment of 
the Community RTD objectives in the areas covered by this programme; 

Whereas the Scientific and Technical Research Committee (CREST) has been consulted. 

HAS ADOPTED THIS DECISION: 

Article 1 

A specific research and technological  development programme in the field  of industrial 
and materials technologies, as set out in Annex  I, is hereby adopted for the period from 
(date of adoption of this programme) to 31 December  1998. 

Article 2 

1. 

The  amount  deemed  necessary  for  carrying  out  the  programme  is  ECU  1623 
million, including 5.08% for staff  and administrative  expenditure. 

2. 

An indicative breakdown of this amount  is given in Annex II. 

AV\ 

3. 

4. 

The  amount  deemed  necessary  for  carrying  out  the  programme,  as  indicated 
above, could increase as a result of and in accordance with the Decision referred 
to in Article  1(3) of Decision ../../EC (fourth framework  programme). 

The budgetary authority shall determine the available resources needed for each 
exercice within the  respect  of the  scientific  and  technological  priorities  defined 
by the fourth Framework programme; 

Article 3 

Detailed  rules  for  implementing  this  programme,  in  addition  to  those  referred  to  in 
Article 5, are set out in Annex III. 

1. 

2. 

3. 

1. 

Article 4 

The  Commission  shall continually and systematically  monitor, with appropriate 
assistance from independent, external experts, the progress within this programme 
in relation to the objectives set out in Annex I. It shall in particular assess whether 
the  objectives,  priorities  and financial resources  are  still  appropriate.  It shall 
submit  proposals  to  adapt  or  supplement  this  programme  depending  on  the 
results of this monitoring process. 

In order to contribute towards the evaluation of  Community activities as regard 
to Article 4.2 of the Decision concerning the fourth framework programme, the 
Commission  will  proceed  in  due  time  through  independent  experts  in  the 
evaluation  of  activities  done  within  the  domains  directly  covered  by  this 
programme  and  their  management  during  the  five  years  preceeding  the 
evaluation. 

At the end of this programme, the Commission shall instruct independent experts 
to conduct a final evaluation of the results achieved compared with the objectives 
set  out  in  Annex III to  the  fourth  framework  programme  and Annex I  to  this 
Decision.  The final evaluation  report  shall  be  forwarded  to  the  Council,  the 
European Parliament and the Economic and Social Committee. 

Article 5 

A work programme shall be drawn up by the Commission in accordance with the 
objectives set out in Annex I and shall be updated where appropriate.  It shall set 
out  in detail the scientific  and technological  objectives  and specify  the stages in 
the implementation of the programme and the proposed financial arrangements. 

The work programme may also provide for participation in certain activities within 
the EUREKA  framework. 

AVS 

2. 

The  Commission  shall  issue  calls  for proposals  for  projects  on the basis  of 4he 
work programme. 

Article 6 

1. 

2. 

The Commission shall be responsible for the implementation of the programme. 

In the cases provided for  in Article 7(1)  the  Commission shall be  assisted  by a 
committee consisting of representatives of the Member States and chaired by the 
representative of the Commission. 

The representative of the Commission shall submit to the Committee  a draft of 
the measures to be taken. The Committee shall deliver its opinion within a time 
limit that the chairman may lay down according to the urgency of the matter. The 
opinion shall be delivered by the majority provided for in Article  148 para. 2 of 
thé Treaty as regards adoption of decisions which the Council is required to adopt 
on  a  proposal from the  Commission.  The  votes  of  the  representatives  of  the 
Member States within the committee shall be weighted in the manner set out in 
that above mentioned article. The chairman shall not vote. 

The Commission shall adopt the measures envisaged when they are in accordance 
with  the  opinion  of  the  Committee.  If  the  measures  envisaged  are  not  in 
accordance with the opinion of the Committee or if no opinion is delivered, the 
Commission shall, without delay, submit to the Council a  proposal relating to the 
measures to be taken. The Council shall act by a qualified majority. 

If,  on  the  expiry of  a  period  of  one  month from referral  of  the  matter  to  the 
Council, the Council has not acted, the proposed  measures shall be  adopted by 
the Commission. 

1. 

The procedure laid down in Article 6(2) above shall apply to: 

Article 7 

the  preparation  and  updating  of  the  work. programme  referred  to  in 
Article 5 par.l, 

the evaluation of the RTD projects proposed for Community funding and 
the  estimated  amount  of  the  Community  contribution  for  each  project 
where this exceeds ECU  1 million, 

any adjustment  to the  indicative  breakdown  of  the amount  as  set  out in 
Annex II and  which was not subject to budgetary  decision, 

the measures to be taken for programme evaluation. 

yilG 

2. 

The Commission shall inform the Committee, at each of its meeting, of progress 
with the implementation of the programme as a whole. 

Article 8 

The  Commission  is  authorized  to  negotiate,  in  accordance  with  Article 228(1), 
international agreements with European third countries with a view to involving them in 
all or part of the programme. 

This Decision is addressed to the Member States. 

Article 9 

Done at Brussels, 

For the Council 
The President 

Mi 

OBJECTIVES AND SCIENTIFIC AND TECHNOLOGICAL CONTENT 

ANNEXI 

This  specific  programme  fully  reflects  the  broad  lines  of  the  fourth  framework 
programme  and  applies  the  selection  criteria  and  spells  out  the  scientific  and 
technological  objectives set out in that  programme. 

Paragraphs  2.A, 2.B and 2.C of Annex III, (first  activity) of the framework  programme 
are integral parts of this programme. 

OBJECTIVES 

The  globalization  of  markets,  the  greater  international  competition  with  newly 
industrialised  countries,  the  increased  cost  of  developing  new  technologies  and  the 
reduction of product lifetimes are forcing European industries to revise their cooperation 
strategies  in  order  to  master  a  broad  spectrum  of  technologies  and  to  ensure  the 
cost-effectiveness  of  RTD  efforts.  In  addition,  in  our  changing  society  we  are  moving 
towards  a  different  development  model  in which  more  importance  is  attached  to  the 
quality  of  life  and  more  rational  use  of  human  and  natural  resources.  In  this  context 
substantial  R&D  is  needed  to  develop  the  technology  for  human-centred  production 
systems taking account of human factors and based on clean technologies.  This being the 
case,  Community  programmes  may  act  as  a  catalyst  in  spurring  medium  to  long  term 
R&D  and  in supporting national  activities and industrial  efforts. 

As indicated  in the White Paper  on growth, competitiveness  and employment,  boosting 
industrial  competitiveness  is one  of  the  most  effective  means  of  maintaining  and  even 
increasing  employment,  this being  one  of  the  most  urgent  problems  to  be  overcome  if 
jobs are  to be  guaranteed  for  the  coming generation. 

Technological  research  may  be  a  major  factor  in  stimulating  innovation  in  respect  of 
products,  processes  and  business  organization,  and  underpinning  and  prompting  new 
industrial  activities  which  will  ease  the  transition  from  traditional  sectors  to  new, 
emerging  sectors,  for  which  Europe's  export  capacity  is  currently  still  limited.  The 
Community's industrial research activity is particularly well placed to provide  assistance 
where  the best  means of conducting  R&D  is to do so on  the basis of  multidisciplinary, 
cross-frontier  cooperation, focusing on generic technologies which can rapidly be applied 
in different  Member  States and  different  industrial  sectors. 

In  order  to  boost  the  effectiveness  and  impact  of  Community  action,  efforts  will 
concentrate  on  the  following  areas:  objectives,  scientific  and  technical  content, 
programme  implementation  and  administration  of  research  projects: 

(a)  Objectives  : The programme, which is multi-sectoral and open to various types of 

industrial  activity, will focus  on  the following  three  objectives: 

,W>' 

in the short  term, priority should be assigned  to  research  for  the  adaptation of 
existing technologies, or for the development of new industrial technologies, which 
provide competitive leverage, particularly in sectors where the level of technology 
is lower; small and medium-sized enterprises (SMEs) in these sectors account for 
a large proportion of European industry and provide the bulk of employment; 

in  the  medium  term,  research  will  focus  on  industries  which  are  already 
developing  innovative  technologies  and strategies  allowing better use of  human 
resources  while  endeavouring  to  reduce  the  adverse  environmental  impact  of 
production; 

in the long term, research will focus on new technologies for the production and 
design  of  products  which  allow  new  industries  or  markets  to  be  created  in  a 
context of sustainable growth. 

(b)  Content of the programme : research will concentrate on technologies needed by 
European  industry  in  relation  to  critical  stages  of  production  systems  and  the 
quality of products: 

Production  technologies for future industries:  priority will  be  given  to  improving 
production  systems,  an  area  which  provides  numerous  opportunities  for 
technological innovation and the greatest potential in terms of lasting competitive 
advantages.  In a context of respect for human beings and the environment, and 
sustainable growth, the research will cover new process engineering methods, new 
manufacturing techniques, new inspection, diagnostic and quality maintenance and 
assurance  systems,  research  into  component  miniaturization  within  industrial 
systems  and  into  emerging  technologies  (such  as  nanotechnologies),  and  the 
incorporation  of  new  technologies,  especially  available 
information  and 
communications technologies *, into manufacturing centres taking into account the 
new production organization  models.  Special  attention will be  paid to business 
organization,  the  incorporation  of  technologies  addressing  social  concerns,  the 
health  and  safety  of  workers  (working  conditions)  and  environmental  concerns 
(clean  technologies,  rational  use  of  resources)  whilst  taking  into  account  their 
economic and industrial impact. 

Technologies for product innovation through research into new techniques for the 
design and preparation of products, including engineering and civil structures, in 
the  context  of  a  rational  use  of  resources,  to  reduce  manufacturing  costs  and 
environmental  impact, and improve quality, reliability and safety.  The  research 
will  look  into  ways  of  improving  the  functional  properties  of  traditional  and 

«  The industrial technologies research programme will draw upon information technologies as well 
as  other  generic  technologies  with  a  view  to  promoting  innovation  and  applications  in 
manufacturing  industry.  In  turn,  it  will  provide  inputs,  knowledge,  and  expertise  for  the 
information and communication technologies (ICT) programme aimed at the development of new 
ICT solutions for advanced manufacturing and engineering processes. To ensure complementarity 
between the two programmes, close coordination and an active interface will be maintained. 

8 

Ai* 

advanced  materials  for  new  and  improved  products  via  innovative  design  and. 
preparation techniques, as well as new technologies for the recycling and reuse of 
industrial products at the end  of their lifecycle.  Special attention  will be paid  to 
high-performance  materials engineering and molecular engineering, in particular 
supramolecular chemistry.  The principle of materials cycle optimization, avoiding 
the  use  of  harmful  materials, will be  a  common  feature  of  the various  research 
activities. 

Technologies for  transport  means:  in  support  of  the  establishment  of  the  single 
market and the implementation  of Community policies, in particular the creation 
of  trans-European  networks,  the  development  of  new,  faster,  more  reliable, 
comfortable  and  environment-friendly  means  of  transport  at  competitive  costs 
calls for  a considerable  amount  of research  at  Community level,  complementary 
to  that  undertaken  in  the  preceding  areas,  concerning  the  incorporation  and 
application of new design, manufacturing,  modelling, simulation and  maintenance 
technologies,  and  new  advanced  materials  and  environmental  technologies. 
Particular  attention  will be  paid  to aeronautical  research  in order  to  ensure  the 
continuity  of  the  activities  already  undertaken  and  synergy with  other  transport 
sectors. 

(c)  With regard to programme implementation, the following three types of research 

activities will be carried  out: 

industrial  activities targeted  on  priority objectives  of  major  strategic  importance 
to  the future  of European  industry  taking  into account  user needs; 

activities  by  and  for  SMEs:  measures  for  technology  stimulation,  based  on  the 
CRAFT  and  Feasibility Awards  experience,  in order  to encourage  and  facilitate 
the  participation  of  SMEs, in particular  those  from  less advanced  regions;  and 

know-how development and dissemination activities based on generic technologies 
and  coordinated  through  thematic  networks. 

Stress  will be  placed  on  projects  displaying  multidisciplinary  and  multi-sectoral 
characteristics  in  order  to  ensure  the  development  and  optimum  transfer  of 
knowhow  and  technologies,  in  particular  those  developed  and  used  in  the  high-
technology sectors, into basic industries adding more to GDP or into those which 
are  the  subject  of  industrial  policy.  This  research  will  be  organized  around 
consortia of suppliers, manufacturers, end users, universities and research centres. 
Also,  in  order  to  help  the  steelmaking  sector,  having  due  regard  to  its  critical 
situation  and in view of the  expiry of the ECSC Treaty, research  activities linked 
with  steel  product  and  process  innovation  may  gradually  be  taken  over  in  the 
context of this programme. Lastly, within its technical competence, complementary 

<W 

(d) 

activities will be implemented  by the CCR in particular in domains 2.1 "materials 
engineering" and 2.4 "recovering products  at the  end  of their lifecycle"  described 
hereafter  7 

Project management : a major concentration of effort  concerning the management 
of  selected  projects  will be  obtained  by means  of  "vertical  coordination",  which 
aligns closely with  certain  industrial  sectors,  and  the  "network"  approach,  which 
is aimed at coordinating all projects on a given topic.  Taking into account the fact 
that  competitive  advantages  are  obtained  right  from  the  basic  research  stage 
through  the  manufacturing  or  production  process,  including  the  design  stage, 
efforts  will be  made  to  coordinate  research  projects  around  common  industrial 
objectives in order to facilitate  the incorporation of technologies and the  transfer 
of knowledge and to encourage cooperation between suppliers, manufacturers and 
users and between industrial sectors. This will make for improved synergy between 
those  involved  and  better  coordination  with  the  various  other  complementary 
Community  programmes  (in  particular,  information  technologies,  telematics, 
energy,  environment,  transport)  and  other  initiatives  at  European  level,  and  in 
particular with EUREKA, which is more  market-oriented,  and with which joint 
seminars and an exchange of information  between  projects will be  organized. 

SCIENTIFIC AND TECHNOLOGICAL  CONTENT 

Area  1 : 

Production technologies for future industries 

1. 

Background 

In accordance with the White Paper on growth, competitiveness and  employment, 
action  by  the  European  Union  should  focus  on  technological  areas  and 
applications which will have an impact on a broad range of industrial activities and 
which are geared towards sustainable economic growth, the rational use of natural 
resources  and  the  optimum  use  of  human  resources.  This  topic  covers  all 
manufacturing  and  processing  industries.  The  challenge  is  to  develop  generic 
industrial  methods  and  technologies  and  apply  them  to  design,  engineering, 
organization,  production  and  the  maintenance  of  high  quality  and  high  value-
added, thus enabling European industry to remain in the forefront  of technological 
innovation  and  to clear  the way for  future  industries.  The  incorporation  of new, 
advanced technologies into production systems, including infrastructures  and plant, 
will help to boost industrial competitiveness and create new jobs by cutting costs, 
improving reliability and safety and shortening market lead times.  It will also help 
to  improve  the environment  and  health  and  safety  at  the workplace. 

A more detailed  description  of the JRC's  research activities, which are defined  in a proposal  for 
a  separate  Council  decision,  is  given  in  Annex  IV  for  information  in  order  to  ensure  the 
transparency  in relation  to their complementarity with corresponding  indirect actions. 

10 

4\4 

2. 

Proposed activities 

The research will aim at developing and incorporating the most advanced design 
and  engineering  tools.  These  enabling  technologies  will  be  applied  within 
production systems in such a way as to meet the requirements of  inter-company 
networks,  and the  need  to  optimize  industrial  plant,  cost-effectiveness,  product 
quality  and  manpower  management  Increasing  competitiveness  by  improving 
productivity, flexibility and quality will be a major aim; the research will look for 
a  proper balance where there is a middle way between full  automation and the 
use  of  labour alone.  Stress will be  placed  on the  integration  of  intelligent  and 
computer-aided  techniques,  the  latest  developments  in  rapid  prototyping, 
application  of  cognitive  engineering  and  microsystem  technologies,  the 
development of new organizational approaches, man-machine interfaces and the 
technologies required to deal with the critical aspects of production systems, and 
in particular those associated with clean, flexible and just-in-time  manufacture. 
The  concept  of  clean  production  puts  a  special  emphasis  on  the  efficient  and 
hence more cost-effective  use of energy and raw materials resources.  Research 
efforts  should therefore focus on reducing or eliminating polluting substances at 
source and reducing or avoiding the pollutants released into the environment. 

Area  1.1 :  Incorporation of new technologies into production systems 

The  need  for  production  to  be  rapidly  and  continually  adapted  to  changes  in 
demand  calls  for flexible production  systems  and structures  which  include  new 
technologies. 

The main ways of making progress are to use new production  technologies and 
information  and  management  systems,  and  to  take  greater  account  of  the 
company's  environment.  Moreover,  the  use  of  computer-aided  design  and 
manufacturing  technologies  (CAD/CAM),  the  trend  towards  microsystems  and 
their incorporation in industrial products and processes  are changing traditional 
industrial practices.  Finally, optimization of performance, quality,  environmental 
impact,  employment,  training and health and safety  aspects  must also be  taken 
into  account;  the  technical  requirements  in  question  should  be  addressed  by 
research in the following areas: 

generic  approaches  drawing  upon  all  the  possibilities  offered  by  new 
technologies,  in  particular  computer-aided  technologies  (CIME), control 
systems,  mechatronics  or  microsystems,  with  a  view  to  optimum 
incorporation into production systems, for example in the machine tool or 
construction sectors; 

research  into  new  manufacturing  technologies  (forming,  assembling, 
microfabrication)  which  are  better  matched  to  user  needs  in  terms  of 
reliability  and flexibility,  and which  may be  used  more  efficiently  for  the 
building, maintenance  and reuse of industrial systems and facilities; 

11 

AVL 

research into quality production systems based on the rapid identification, 
gathering and communication  of manufacturing  data or data  concerning 
the use of industrial machines or facilities, defining  production or service 
parameters  or establishing  references  for  the  continual  improvement  of 
industrial processes. 

Area  1.2 :  Development of clean production technologies 

In  an  integrated  production  system  the  overall  quality  of  the  final  product 
increasingly  depends  on  advances  in materials  science,  process  control  and an 
understanding  of  the  phenomena  governing  these  processes.  It  is  therefore 
necessary  to  develop  the  knowhow  needed  in  order  to  design  and  control 
increasingly complex processes, and in particular to develop and apply innovative 
and clean techniques.  The European  chemicals  industry represents.one  of  the 
most  successful  European  industrial  sectors,  with  a  turnover  of  roughly 
ECU 200 billion.  Despite its leading position it is under constant threat and still 
requires  basic RTD - mainly in the field of  environmentally  friendly  processes. 
The priority research topics should therefore be as follows: 

improvements in the design and control of increasingly complex industrial 
processes, taking account of progress in artificial intelligence, including the 
use of control strategies, increasing productivity  and safety,  and reducing 
the need for waste management. 

research  into  innovative  chemical,  biochemical  and  biotechnological 
engineering  techniques,  as  applied  to  industrial  processes,  which  boost 
productivity  and  performance  through  a  better  understanding  of  basic 
phenomena,  while  taking  account  of  pollution  prevention,  recycling  and 
process safety. 

Area  1.3  :  Rational management of raw materials 

The  rational  management  of  raw materials  must be  seen  in a world context  in 
order  to  safeguard  the  supply  of  resources  while  respecting  the. environment. 
Given the importance of  employment  in this sector, emphasis will be  placed on 
technologies  aimed at maintaining or creating jobs in a context of safety,  health 
and respect for the global system.  The prevention of pollution, which improves 
productivity and at the same time  allows  more efficient  allocation of  resources, 
has become a crucial industrial parameter.  Attempts will be made, in particular, 
to make progress on technologies for the disposal of problem wastes or the reuse 
of waste. This means viewing industrial systems in their totality so as to optimize 
the  total  materials  cycle  from  raw  material  to  end  product.  The  research  will 
concentrate on: 

new technologies to ensure a sustainable supply of raw materials, especially 
in the field of mining and exploration; 

12 

Att 

research  into  new  processes  and  techniques  used  for  ore  treatment,  and 
production  of  metals  and  industrial  minerals  in  order  to trim  production 
costs and  mitigate safety,  environmental  and  energy problems; 

multidisciplinary approaches to the production, exploitation and use of raw 
materials, to make economic use of residues in production  processes  and 
to use them  as secondary raw materials. 

Area 1.4 : 

Safety and reliability of production  systems 

Within the Community one of the main industrial objectives is to ensure the safety 
of  factories,  mines, building  sites, offshore  installations, etc., and  the  health  and 
safety of the workforce or their families.  That is why technological research must 
place emphasis on new methods of diagnosing potentially dangerous faults and the 
constant  monitoring  of  the  condition  of  plant,  buildings,  infrastructures  and 
machinery.  Also,  efficient  maintenance  and  the  ability  to  intervene  at  the 
appropriate time, to ensure maximum plant availability, which has a direct impact 
on company viability, must  be ensured.  The  most urgent  research  tasks will be: 

research  into controlling the service life  of production  plant  and  systems, 
in  connection  with  safety  and  reliability  requirements,  based  on  failure-
mode  analysis  and  optimization  of  inspection,  monitoring,  diagnostic, 
maintenance  and  repair  techniques; 

research  into  new  on-line  inspection  systems  incorporating  intelligent 
materials,  sensors,  actuators  and  microsystems  and  the  use  of  advanced 
technologies,  especially  vision  systems  or  available  information  and 
communication  technologies  (ICT),  in  order  to  monitor  and  perform 
diagnoses  on large  facilities,  and  to monitor  production  within  the  "clean 
factory"; 

research  and  development  concerning  the  application  of  integrated  and 
expert  systems  for  inspecting  and  monitoring  products  and  industrial 
processes, 
technological  knowledge, 
improving  performance  and  reliability  and  by  means  of  the  efficient 
integration  of  decision-making  aids. 

in  particular  by 

incorporating 

Area  1.5 : Human  and organisational  factors within production  systems 

One  of  the  major  challenges facing  industry  is to improve  business  organization 
and  man/machine  and  man/factory  interfaces.  There  are  many  process-control 
situations  where  the  use  of  a  system  is  restricted  by  its  operator's  level  of 
confidence  - or otherwise - in the information  given to him or her.  The  solution 
is  not  simply  more  automation,  but  systems which  the  operator  can  understand 
and  on which he or  she  can  easily be trained.  Likewise  it  means that  operators 
must  be  freed  from  repetitive  or  unsafe  work  and  be  redirected  towards  more 
interesting  activities.  A  major  effort  is needed  to  provide  a  degree  and  form  of 
automation which is suited to the wide„,range of skills in the workforce  and which 

13 

A^ 

will ensure  that the  operator  at  any level  feels  confident  that  he or  she  and  not 
the  machine  is in  control.  As part  of  a  total  quality  approach  and  to  increase 
flexibility, new  ways  of  addressing  human  and  organizational  aspects  within 
production systems and labour will be taken into account, as well as research into 
innovative solutions.  The aims of  the research  are  as follows  : 

improving the quality of production systems via research  into ergonomics, 
technologies and work organization, account being taken of cultural factors, 
operator  skills and the inherent  requirements  of the job itself; 

improving  working  conditions,  health  and  safety,  man/machine  and 
man/factory  interfaces,  by  means  of  harmonization  of  codes  of  good 
practice in company organization and the optimum harnessing of advanced 
manufacturing,  processing and  construction  technologies;  **-

- 

. 

research into planning and logistical methods and their incorporation  into 
industrial enterprises  and their  environment. 

Area  2 : 

Technologies for product innovation 

1. 

Background 

The competitiveness of European industry will depend on the ability to make new 
products  with  a  higher  added  value  reflecting  the  increasing  level  of  quality 
demanded  by  the  market.  This  objective  can  be  achieved  by  developing  new 
design and engineering methods based  on the lifecycle  of products and aimed  at 
reducing the variety and complexity of materials, costs and production  times and 
increasing  the  quality  and  reliability  of  clean  products  reflecting  environmental 
concerns  and  the  need  for  sustainable  growth.  Materials  research  can  help  to 
provide  new  solutions  capable  of  optimizing  the  application  of  various  current 
technologies  and  to  reduce  the  complexity  of  advanced  materials  themselves, 
harmful  emissions,  and  even  production  costs  by  enabling  materials  to  be 
recovered  and  reused,  which  is  particularly  relevant  to  components  with  high 
added-value. 

The industrial sectors in the field  of materials and  materials-related  technologies 
constitute a key component of European industry.  As an example, the advanced-
materials sector alone will represent  a market worth  ECU  200 billion worldwide 
by the year 2000.  Europe must maintain its presence in this strategic area,  firstly 
by improving the processes generally used in the materials-working  or processing 
industries  (metalworking,  building,  textiles  etc.),  secondly  by  ensuring  that  the 
most advanced materials can be used cost-effectively  by both traditional industries 
and  the high-tech  industries in producing the  products of  the future,  and  thirdly, 
by contributing  to the  competitiveness  and  balance  of the  global  system. 

14 

-I5r 

2.- 

Proposed  activities 

By adopting an approach which takes account of the entire product lifecycle, the 
research activities should seek  to harness the best and most appropriate  means 
of ensuring the conservation  of resources and satisfying  consumer  requirements 
in order to make quality products at a reasonable cost and to act responsibly with 
regard to the environment and to minimise social exclusion.  Priority will be given 
to  research  topics  relating  to  product  design  and  manufacturing  based  on 
improved  or  advanced  components  and materials  (and  in  particular  intelligent 
materials),  clean  treatment  processes  and,  in  the  longer-term,  processes  of  an 
exploratory  nature  which  may  quickly yield  practical  applications  and  thereby 
strengthen  European  industry's  technological  lead,  above  all  by identifying  the 
products  of  the  future.  Examples  of  this  are  molecular  engineering  and 
biotreatment, new technologies which were not in existence 10 years ago and and 
which  are  expected  to  play  an  important  part  over  the  next  10  years.  The 
activities will also concern manufacturing processes making it possible to improve 
the properties and functionality  of traditional materials, possibly resulting in the 
generation  of  new  products.  The  programme  will  also  place  emphasis  on  the 
treatment  of  waste,  and  on  product  recycling  and  reuse  based  on  product 
lifecycles,  and  will  include  projects  relating  to  the  quality,  ease  of  use  and 
reliability of products. 

Area 2.1 :  Materials engineering 

Advanced  materials  are used  in industrial  components  and  their  characteristics 
often  determine  the  critical  threshold  for  increasingly  complex  systems  such  as 
propulsion units, or electronic, mechatronic or medical devices.  Account must be 
taken  of  their  behaviour  throughout  the  product  lifecycle.  Often  the  progress 
made in materials research sets the speed at which the key sectors of the economy 
can develop.  This is particularly true for the high-tech sectors but it also applies 
to  basic  industries  such  as  chemicals,  construction  or  mechanical  engineering. 
Therefore, RTD in advanced materials engineering (e.g. molecular engineering), 
or in more forward-looking  areas is essential to the future prosperity of industry. 
However,  market  demand  is  forcing  industry  to  reduce  the  use  of  excessively 
exotic  materials and try to  improve  existing  traditional  and advanced  materials. 
Research and development  should focus on the following areas: 

innovations  and integrated  approaches  to techniques for  the  preparation 
and treatment of materials, including traditional materials, (e.g. near-net-
shape  production,  powder  metallurgy,  surface  treatment,  etc.)  aimed  at 
improving the properties and functionality of materials, process  efficiency 
and product quality; 

functional and intelligent materials with a view to obtaining more  efficient 
products for multisectoral applications in electric motors, actuators, sensors 
and  other  electrical  or  mechanical  devices,  including  superconducting 
materials; 

15 

A^G 

multidisciplinary  research  into  materials  aimed  at  enabling  natural 
materials to be used cost-effectively  in industrial products, at eliminating 
harmful  substances,  at  increasing  their  suitability  for  recycling  and  at 
predicting the effects of repeated recycling on the structural and functional 
characteristics of materials; 

research  into  the  synthesis  of  new,  high-performance  materials  and 
chemicals  using,  for  example,  computer-aided  technologies  in  order  to 
incorporate specific properties into materials, and minimizing their impact 
on the environment and health, in particular through their biodegradability 
and suitability for recycling and reuse; 

support for  the development  of  products  and materials  of  the  future,  in 
particular  using  molecular  engineering  and  supramolecular  engineering; 
research  will  also  focus  on  biotechnology  materials  aimed  at  industrial 
products and processes, in coordination with the  specific  programmes in 
the domains of biotechnology and agro-industry. 

Area 2.2 :  New methodologies for product design and manufacture 

The competitiveness of manufacturing industry will be improved through optimum 
use  of  new technologies  and  improved  synergy with  knowledge-based  activities 
(such  as  services,  engineering  and  training).  The  challenge  in  particular  is  to 
reduce  the  lead  time  between  the  design  and  marketing  of  a  new  product  or 
process.  Market competitiveness  is increasingly  determined by the time factor. 
This means that engineers must deal with the design and planning of production 
and  marketing  at  one  and  the  same  time.  However,  research  into  the 
optimization of performance also has to consider the entire lifecycle of products 
and processes, and thus has to endeavour to solve all the related problems.  Up 
to  75% of  lifecycle  costs  and over  half of  reliability  and quality  problems  arise 
during the critical product design period.  The design of products with a very high 
added-value  and  for  products  of  the  future  calls  for  research  centred  on  the 
following points: 

research  into,  and  application  and  incorporation  of  new  design  and 
engineering  methodologies,  in  particular  by  making  use  of  recent 
developments  in  cognitive  engineering  and computer-aided  technologies 
(CAD),  and rapid  prototyping,  account being  made  of  the  planning and 
implementation  of  the  critical  stages  of  production  systems  and  of  the 
whole product lifecycle; 

research into methods of analysing and modelling phenomena  connected 
with  the  transformation  of  materials  (e.g.  solidification)  and  product 
behaviour (e.g. deformation, vibration); 

16 

A-bf 

support for product innovation by developing multidisciplinary approaches 
involving comprehensive research into materials, design and manufacturing 
methods, effects  on employment and health and safety  in the workplace, 
quality control and product recycling in order to improve  cost-effectiveness 
and reduce environmental  and social impacts; 

Area 23  :  Reliability and quality of materials and products 

Linked  with  the  need  for  increased  reliability,  safety,  health  protection  and 
cost-effectiveness,  the need for a deeper knowledge of material, component and 
product behaviour is of growing importance.  This area, studied at length in the 
past,  is becoming  increasingly important given the  current economic,  social and 
environmental  challenges.  The research topics in this field - mainly in the form 
of coordination activities - should be: 

studies  combining  microstructural  and  macrostructural  modelling, 
improving detection of microdefects and enabling the phenomena involved 
to  be  understood  and  improvements  to  be  made  to  the  reliability  and 
safety of materials; 

multidisciplinary  approaches  in  order  to  control  the  deterioration  of 
products,  structures  and  industrial  components  (corrosion,  fatigue,  etc.) 
based on the modelling of actual behaviour and a better understanding of 
materials property relationships and how these affect  ultimate behaviour; 

development of new approaches to guarantee the quality of products and 
materials. 

Area 2.4 :  Technologies for recovering products at the end of their lifecycle 

In the past, technological advances often had adverse effects on the environment 
during the materials treatment phase, the manufacturing  process or the disposal 
of obsolete products.  However, it is possible to develop materials, processes and 
products which satisfy both the needs of the economy and of the environment in 
accordance  with  society's  demand  for  sustainable  development.  Science  and 
technology now offer opportunities for designing products taking into account the 
entire lifecycle and the reuse of materials at the end of the lifecycle.  This means 
that research efforts will focus on the design of new products and materials which 
can continually be recycled  and the development  of  new products with a longer 
lifespan,  e.g. using repair, partial or total  reuse techniques.  Research will focus 
on the following  as a matter of priority: 

support  for  research  into  new  product  design  methodologies  and 
technologies  based  on the possibility of  reusing or repairing  products, in 
particular  by  simplifying  assembly  and  disassembly  and  reducing  the 
number of components and the diversity of  materials in a product; 

17 

>t*8 

new techniques for recovering and recycling materials from products at the 
end  of  their  lifecycle,  and  quality  assurance  methodology  to  satisfy 
standards  or specifications  for  reuse; 

more  research  into  cost-effective  and  safe  construction,  repair  and 
disassembly  techniques  allowing the  total  or  partial  reuse  of  components 
of industrial systems, structures and  products. 

Area 3  : 

Technologies for transport means 

1. 

Background 

is  doubtlessly  contributing 

European  integration  and  current  trends in the economy are  creating a growing 
demand  for flexible and  efficient  transport  systems.  The  progress  made  by  the 
various  modes  of  transport 
to  the  economic 
development  of  the  regions  and  European  countries, particularly  those  situated 
â t t he  periphery,  but  at  the  same  time  it  is  increasingly  exacerbating  current 
environmental  and mobility problems.  The environmental impact of the various 
modes  of  transport  is a  factor  which  limits  the  growth  of  this sector  of  activity. 
Society  will  accept  the  future  modes  of  transport  if  medium  and  long  term 
solutions are found  to the problems of energy consumption  and local and global 
pollution.  The rational use of the different  modes of transport is the key element 
in  bringing  about  improvements  with  regard  to  capacity,  energy  consumption, 
cost-effectiveness,  comfort,  quality,  safety,  volume,  speed,  and  environmental 
compatibility,  in  liaison  with  the  other  European  policies  concerning  industry, 
transport,  environment  and  energy.  This  is  particularly  true  as  regards  the 
aircraft,  motor vehicle, rail and  maritime industries. 

2. 

Proposed  activities 

The  main  objective  is  to  strengthen  the  scientific  and  technological  base  of 
European  industry  concerned  with  the  production  of  means  of  transport.  The 
research carried out in this domain will be closely coordinated with that in the two 
preceding  domains  and  with  the  other  specific  programmes  and,  in  particular, 
telematics,  energy  and  transport.  In  the  case  of  the  aeronautics,  automotive, 
railway and shipbuilding industries, research will focus  as a  matter  of  priority on 
design,  advanced  materials,  and  the  production  and  maintenance  of  advanced 
means of transport in order to improve their cost-effectiveness, quality, capacities, 
time  to  market  and  environmental  impact.  Special  attention  will  be  paid  to 
aeronautics  research  with  the  objective  of  responding  to  the  needs  of  the 
aeronautics  industry  and  enable  it  to  demonstrate  the  feasibility  of  advanced 
generic technologies capable of being applied  to other transport sectors. Actions 
previously  undertaken  will  have  their  continuity  assured  within  the  specific 
programmes  of  the fourth  framework  programme  according  to their  content. 

The competitiveness of each transport mode will depend on the ability to produce 
vehicles  at  competitive  costs  and  ensure  passenger  safety,  ease  of  access  and 
comfort  under optimum conditions of speed, range, reliability and efficiency.  The 

18 

4b<5 

vehicles of the future  will also have to meet new needs arising from  the  creation 
of  the  trans-European  networks  foreseen  in  the  White Paper.  To  this  end, 
research  and development will focus  on the following  areas: 

3-1  Vehicle design and systems integration 

Excellence  in  design  is  one  of  the  primary  means  of  improving  industrial 
competitiveness  and  profitability.  Transport  vehicles  present  a  quite  specific 
challenge  in  terms  of  design  because  of  their  multi-functional  capabability  and 
dependence on the effective  integration of, and interaction between, complex on 
board  and  external  systems. The  research  must  therefore  aim  to bring  together 
multidisciplinary  modelling,  analysis  and  simulation  tools  within  an  Integrated 
Vehicle  Design  environment,  fully  exploiting  state-of-the-art  high  performance 
computing  and  multimedia  communications  technologies.  Research  should  be 
carried  out in the following  areas: 

-  T 

development  of  design  tools  and  support  systems  for  configuration  and 
concept  design of vehicles, equipment, subsystems and  system  interfaces, 
facilitating  rapid  and  easy  definition  of  users'  needs  and  product 
specifications; 

development  of  methodologies  for  a  vehicle  design  knowledge  base, 
incorporating  best  practice  with  regard  to  materials,  safety,  standards, 
environmental  protection,  manufacture  and  maintenance,  in  order  to 
optimize overall vehicle  design; 

development  of  multidisciplinary  analysis  and  optimization  tools  capable 
of supporting design/engineering decisions throughout the design cycle  from 
initial concept  design  to final  prototype validation. These will include, for 
example,  modelling,  manufacturing  methods  and  whole  life  cycle  cost 
estimation; 

application  of  rapid  prototyping  techniques  such  as  virtual  reality  and 
stereo  lithography  for  the  validation  of  design,  simulation  of  component 
functionality  and  optimal vehicle  operation; 

research  into  advanced  materials,  including  steel  and  non-ferrous  metal 
alloys,  composites  or  multimaterials,  in  particular  for  high-temperature 
applications; 

research into light structures, including composite structures, to reduce the 
weight  of  vehicles  and  specific  subsystems  such  as  suspension,  steering, 
transmission  and  auxiliary  equipment 

19 

3.2  Vehicle production 

The production of transport vehicles varies considerably in terms of scale, volume 
and precision.  The ability to respond rapidly to orders for individually customized 
vehicles is increasingly influencing  competitiveness  and favours a more modular 
and flexible approach  to  manufacture  and assembly.  The  demand  for  vehicles 
which are lighter, faster, more efficient  and yet competitively priced, necessitates 
the  use  of  alternative  structural  materials  such  as composites,  introducing  new 
challenges for volume production and flexible assembly. Research in this area will 
therefore address: 

the development  of  modular, flexible and reconfigurable  systems  for  the 
fabrication  and  assembly  of  components  and subsystems  manufactured 
from homogeneous  or  heterogeneous  materials  such  as  composites  or 
advanced materials; 

-'  ' 

the  development  of  advanced  materials  production  and  fabrication 
techniques 
in  vehicles  such  as  energy 
storage/converter  devices,  including  batteries,  alternative  fuel  tanks  and 
ancillary equipment; 

for  niche  applications 

development and validation of more efficient and cost- effective procedures 
for  the  quality  control  and  testing  of  components  of  large  complex 
structures. 

3.3 

Technologies to improve vehicle  efficiency 

The efficiency  and cost-effectiveness  of transport vehicles are crucial factors for 
an  efficient  transport  system  and  the  competitiveness  of  the  respective  supply 
industries.  Research will address: 

the  development  of  techniques  for  the  design  and  production  of  highly 
energy  efficient  propulsion  systems  with  low  environmental  impact  and 
which require less maintenance; 

the development of modelling and experimental techniques to improve the 
understanding  of  complex  aerodynamic,  aerothermodynamic  and 
hydrodynamic  flow  phenomena,  including  aspects  such  as  combustion, 
laminar  flow  control,  shock  wave  propagation  and  structure-fluid 
interaction; 

development  of  shape  optimisation  techniques  aiming  at  drag  reduction 
and improvement of vehicle stability and whole body dynamics; 

advanced,  highly  integrated,  high-integrity  information  processing  and 
control  sub-systems  for  optimal  vehicle  operation,  applying  established 
information  and communications technologies; 

-^ 

development of methods and tools for propulsion/transmission integration, 
aiming at optimal  propulsion  efficiency. 

3.4 

Environmental  technologies 

As transport provision grows, criteria such as efficiency  and economy need to be 
accompanied  by  reduced  environmental  impact.  Research  in  this  area  is  also 
concerned with user needs in terms of comfort,  convenience  and efficiency,  with 
particular emphasis on measures to improve user acceptability.  Related research 
topics will include: 

a reduction in the volume of emissions leading to an ultra-low or zero level 
of harmful atmospheric emissions, by applying variable cycle concepts and 
advanced combustion chamber design; 

the development of environmental montitoring techniques to detect in situ 
malfunctions  liable to cause increased pollution; 

noise  source  identification  and  propagation  path  analysis,  active  and 
passive noise and vibration control; 

development  of  technologies  to  improve  the  dynamics,  comfort  and 
ergonomics of vehicles, including suspension systems, seating and baggage 
containment; 

development  of  new,  lightweight  equipment  for  improving  passenger 
comfort, including air conditioning and  pressurization. 

3.5 

Technologies for vehicle safety 

The objective of this research will be  to contribute  to a significant  improvement 
in transport safety by means of structured approaches  that address the  different 
components  of  the  transport  system,  including  vehicles,  human  aspects  and 
operational  infrastructures.  This  encompasses  a  combination  of  safety  analysis 
and deployment  techniques,  cognitive  research, vehicle  repair  and  maintenance 
strategies,  including  the  different  approaches  to  operational  and  human 
management  that underline the major factors  affecting  safety and  performance. 
The  research in question will include the development  of: 

structured  approaches  for risk assessment  of  complex vehicles  operation 
and  their  associated  operational  systems,  leading  to  the  development  of 
computer aided safety  audit and analysis tools; 

passive and active safety techniques aiming at significant  improvements in 
aspects  such  as vehicle  crashworthiness  and  fireworthiness  and  occupant 
survivability; 

21 

^1 

methods  and  tools  to  identify  and  control  human  errors,  including  data 
collection,  error  scenario  development,  contributing  factor  analysis  and 
impact assessment  methodologies; 

inspection techniques, repair and maintenance strategies for critical systems 
and  components,  including  large  structures  and  enabling  feedback  to 
vehicle design; 

development of simulators for operator training and behavioural  response 
analysis,  including  electro-mechanical  components  and  their  integration 
with control systems  software. 

3-6 

Technologies for vehicle  operation 

An  important  component  of  transport  system  efffectiveness  is  provided  by  the 
control of transport means and the operational systems within which the transport 
vehicles operate.  Research  in this area will address: 

advanced  on-board  vehicle  command  and  control  systems  design,  taking 
into  account  the  requirements  for  their  integration  with  navigation  and 
communications  systems,  such  as  those  developed  in  the  telematics 
programme; 

development  of  integrated,  intermodal  cargo  handling  systems,  enabling 
efficient  and  flexible  transhipment  and  consignment  tracking; 

advanced techniques and methods for predictive maintenance and real-time 
health  and  usage  monitoring,  including  advanced  non-destructive  test 
techniques  and  smart  structure  concepts. 

* * * * * * * * * * ** 

In  the  development  of  the  abovementioned  technologies, due  account  will be  taken  of 
the  requirements  of the various transport  industries: 

Where  the  aircraft  industry  is  concerned,  research  will  concern  advanced 
technologies, in particular for environmental protection, to reduce both noise and 
polluting emissions, and, as regards design, to reduce overall energy consumption. 
The activities in question will aim to improve safety,  increase the capacity of  the 
air transport system, and facilitate  the production, operation and  maintenance of 
future  generations  of  aircraft  and  equipment  (complementing  the  activities 
foreseen  under  the  telematics  programme  and  the  programme  of  research  for 
transport  policy). 

22 

A^l) 

As regards the motor vehicle sector, particular emphasis will be placed on efficient 
and  flexible  production  technologies  and  the  technologies  needed  to  develop 
intelligent, clean and safe vehicles, taking into account the activities developed in 
the other specific programmes. 

Turning to the railways, efforts will focus in particular on techniques contributing 
to  intermodal  operation  and  interoperability  as  well  as  the  efficiency  of 
high-speed and urban trains (including electric traction, and on-board control and 
command and braking systems). 

With regard  to  the  shipbuilding  industry,  efforts  will  focus  in  particular  on  the 
development  of  a  new  generation  of  vessels  with  specific  automated  and 
integrated functions (intermodal operation, interoperability and the interface with 
port infrastructure). 

23 

4^ 

INDICATIVE BREAKDOWN OF THE AMOUNT DEEMED NECESSARY 

ANNEXE 

Type of activity 

Technologies  for  future  industries 

Technologies for  product innovation 

Technologies  for  transport  means 

Total 

Total 

35 - 39% 

I 

31 - 35% 

28 - 32% 

100%\Y 

J  ECU  1623 million4 

The breakdown between different  areas does not exclude the possibility that projects may 
come  under  several areas. 

Including 5.08 % for  staff  and  administrative  expenditure. 

Of  which  3%  for  preparatory,  accompanying  and  support  measures, 
including ECU  15 million for  the dissemination  and  utilization  of results. 

Including  5-6%  for  coordination  activities  and  10-15%  for  activities  in 
respect  of SMEs. 

A  sum  of  ECU  84  million,  the  difference  between  the  amount  deemed 
necessary for this programme and the amount foreseen  in the fourth  RTD 
framework  programme  for  industrial  and  materials  technologies,  is 
earmarked  for  the  specific  RTD  programme  to  be  carried  out  through 
direct action and science/technology (S/T) support activities in the context 
of a  competitive  approach. 

24 

Atf 

ANNEXffl 

DETAILED RULES FOR IMPLEMENTING THE PROGRAMME 

1.  The  detailed  rules  for  the  Community's  financial  contribution  are  laid  down  in 

Annex  IV to the Decision  on the fourth  framework  programme. 

The  detailed  rules  for  the  participation  of  undertakings,  research  centres  and 
universities, and for  the dissemination  of results will be laid  down  in the  measures 
provided  for  by Article  130j of the Treaty. 

However, for the purpose of implementing this programme, the following exceptions 
shall  apply: 

Participation in this programme is open, with financial support from the Community: 

a. 

to all legal entities, established  and  regularly carrying out  RTD  activities 
- 
- 

in the Community  or, 
in a third country associated, wholly or in part, with the implementation of 
the  relevant  programme  through  an  agreement  concluded  between  the 
Community and  the said third  country 

b. 

to the Joint Research  Centre. 

Participation  in  this  programme  is  open,  without  financial  support  from  the 
Community,  and  on  condition  that  their  participation  is  in  the  interests  of 
Community policies: 

a. 

b. 

c. 

to legal entities established  in a country which has concluded  a scientific  and 
technical  co-operation  agreement  with  the  Community  relating  to  activities 
covered by the programme, provided the participation accords with the terms 
of  the  agreement, 

to  legal entities established  in a European  country, 

to international  research  organisations. 

The  participation  of European  international  organisations  may be  financed  on  the 
same basis as that  for  Community  organisations  in duly specified  cases. 

2.  This programme will be carried out through indirect action, whereby the Community 
makes  a financial  contribution  to  RTD  activities  carried  out  by third  parties  or by 
JRC  institutes  in association  with third  parties: 

2.1  Shared-cost activities covering the  following  means of action: 

-  industrial  RTD  projects  carried  out  by  undertakings,  research  centres  and 

25 

AUt 

universities, including consortia for integrated projects with a common objective; 

-  basic  research  projects  within  thematic  networks  to  be  established,  based  on 
generic  technologies  of  strategic  importance  to  European  industry,  involving 
industrial companies, research centres and universities; 

-  technology  stimulation  to  encourage  and  facilitate  participation  by  SMEs  by 
granting an award covering the exploratory phase of an RTD activity, including 
the search for partners, and via cooperative research.  The award will be granted 
following the selection of outline proposals which may be submitted at any time. 

2.2  Concerted  action, whereby  RTD  projects  already  funded  by public  authorities or 
private bodies  are brought  together,  in particular  in concertation  networks.  The 
Member  States will help  the  Commission  to  identify  the laboratories  or institutes 
which will be involved in the activities in question, in order to ensure that no major 
activities are left out of this concertation process. 

The  concerted  action option  can also be  used under  the programme  as  a way of 
establishing the feasibility and defining the content of shared-cost research activities. 

2.3  Specific  measures aimed  at  establishing  general  instruments for research centres, 
universities  and  industrial  companies,  and  measures  in  support  of  Community 
policies. In particular, these measures will concern the preparation and operation of 
thematic  networks  bringing  together  manufacturers,  end-users,  universities  and 
research centres on a single technological or industrial objective in order to facilitate 
the incorporation and transfer of knowledge, including less advantaged regions, and 
to ensure that greater account is taken of market needs.  They may include the co-
financing of  exchanges  of  information  or  staff,  specific  training,  conferences, 
workshops or seminars, and possibly the financing of coordination and concertation 
between research projects covered not only by the specific programme but also by 
other European programmes or initiatives (e.g. Eureka) or national programmes. 

2.4  Preparatory, accompanying and support measures covering the following  means of 

action: 

Accompanying  measures are intended  to  make the  programme  more  effective  by 
making it more accessible and enhancing its impact.  They will dovetail continuously 
throughout  the  programme,  and  will  be  implemented  in  cooperation  with 
complementary  activities  under  the  third  area  of  activity  of  the  research  and 
development framework programme.  Efforts  will  be  stepped  up to  facilitate  the 
incorporation  of  techniques  and  exchanges  of  knowledge  between  projects  and 
sectors, and with other European initiatives such as Eureka or the European Space 
Agency  (ESA)  programmes.  To  ensure  optimum  exploitation,  factors  liable  to 
encourage the subsequent exploitation of results should be taken into account from 
the outset and throughout the RTD projects.  The measures will take the following 
forms: 

-  studies in support of this programme and in preparation for future activities; 

26 

A^ 

support for exchanges of information, conferences, seminars, workshops'or other 
scientific  or  technical  meetings,  including  intersectoral  or  multidisciplinary 
coordination meetings; 
use of external expertise, including access to scientific  databases; 
studies  to  assess  the  socio-economic  consequences  and  any  technological risks 
associated with all the projects under this programme, linked with the programme 
"Socio-economic Research"; 
training activities related to research covered by this programme; 
independent  evaluation  (including studies) of programme administration  and of 
the implementation of the activities; 
promotion of research results and support for their exploitation; 
measures  in support  of  the  operation  of  networks  to  provide  information  and 
decentralized  assistance  to  SMEs  in  coordination  with  the  Euromanagement 
auditing activity of RDT; 
bursaries and subsidies to facilitate technology transfer to industry in the context 
of current research contracts. 

27 

ANNEX IV 

DESCRIPTION  OF  THE  JOINT  RESEARCH  CENTRE'S  (JRC)  RESEARCH 
ACTIVITIES CORRESPONDING TO THE AREAS COVERED BY THIS SPECIFIC 
PROGRAMME  AND  THE  SUBJECT  OF  THE  PROPOSAL  FOR  A  COUNCIL 
DECISION FOR THE JRC PROGRAMME (COM(94)68 FINAL - 94/0095  (CNS)). 

The  contribution  of  the JRC  to  this  sector  is  aimed  at  improving  the competitiveness  of 
European  industry,  conducted  in  close  co-ordination  with  the  corresponding  shared  cost 
action programmes.  It will focus on prenormative research which, save exceptions, will be 
undertaken  within  the  framework  of  networks  of  European  bodies  with  interests  and 
capabilities  in  this  type  of  research  and  in  association  with  standards  organizations,  in 
particular the European Committee for Standardization (CEN).  This will guarantee that the 
overall requirements  of industry  are taken into account from  the start. 

Research  into  materials  will  be  directed  mainly  at  the  following  sectors,  which  have  a 
prenormative  dimension  and good potential as enabling technologies,  with an emphasis  on 
clean technologies: 

ceramics, metals and composite materials:  process development, study of  interfaces 
technological  properties,  characterization  and 
and  joints, 
demonstration; 

improvement  of 

surface  modification  and  characterization  technology: 
beam, protective coating,  non-destructive  evaluation  methods; 

ion  implantation  and  laser 

prenormative  research  leading  to  standards  on  material  recyclability,  including  the 
development  of  a  database  on  recyclable  materials  (ecological  characteristics  and 
estimation of useful  life). 

This  research  is  aimed  at  acquiring,  in  close  cooperation  with  the  national  laboratories 
concerned, the scientific knowledge necessary for these materials to be used industrially, and 
to provide the standards bodies with knowledge which is essential for  standardization  in this 
field. 

28 

S\ 

FINANCIAL STATEMENT 

1.  TITLE OF OPERATION 

Specific  programme  of  research  and  technological  development  "Industrial  and 
Materials Technologies" 

2.  BUDGET  HEADING 

B6-7121 

3.  LEGAL BASIS 

Article  1301 of the Treaty on European  Union.  Decision of the Council and of  the 
European  Parliament  concerning  a  fourth  framework  programme  for  Community 
activities  in  the  field  of  research,  technological  development  and  demonstration 
(RTD)  for  the period  of  1994-1998. 

4.  DESCRIPTION OF OPERATION 

4.1  Specific  objectives  of the  operation 

In the context of Community industrial policy and talcing into consideration  current 
concerns  on  employment,  the  Community  operation  will  be  concentrated  on 
technological areas for which applications will have a rapid impact over a  sufficiently 
large field of industrial activity and will provide support to the development of  future 
industries  and  products.  The  Community  research  operation  on  industrial 
technologies  will be  directed  equally  towards  integrating  the  development  of  new 
approaches  concerning human  and  organisational  aspects of production  systems in 
industrial  enterprises. 

Within  this perspective, the  Industrial  and  Materials Technologies  programme  will 
seek  to  provide,  through  multidisciplinary  and  multisectoral  collaboration,  the 
development,  integration  and application  of critical generic technologies  present  at 
different  stages of  the  life-cycle  of  products  and  materials. 

4.2  Fields covered  by the  programme 

The  research  will be  concentrated  on  three  areas  : 

1) Area  1 : Production  technologies  for  future  industries 

In the context of  respect  for  man and  the environment  and  for  sustainable  growth, 
the  research  operations  cover  new  methods  of  process  engineering,  industrial 
organisation, novel manufacturing  techniques, new control systems and diagnostics, 
the  miniaturisation  of  components,  nanotechnologies  in industrial  systems  and  the 

29 

integration  of  new  technologies,  notably  using  available 
information  and 
communication technologies (ICT), in manufacturing workshops taking into account 
new production organisation models. 

Particular  attention  is  given  to  technologies  favouring  social  aspects,  health  and 
safety  at  work  (working  conditions)  and  ecological  aspects  (clean  technologies, 
rational use of energy) taking into account their economic and industrial impact. 

2) Area 2 : Technologies for product innovation 

Research  on  advanced  and  materials  technologies,  economically  and  ecologically 
usable  by manufacturing  industry in  the  context  of  a  rational  use  of  resources,  is 
undertaken.  The  research  concentrate  on  new  techniques  for  the  design  and 
development of materials and products, new technologies for the recycling and reuse 
of industrial products at the end of their life-cycle. 

Particular  attention  is  given  to  the  processing  of  high-performance  materials, 
molecular engineering and especially supramolocular chemistry for the development 
of products for the future. 

3) Area 3 : Technologies for transport means 

Sustaining  the  establishment  of  the  single  market  and  the  implementation  of 
Community policies, in particular the creation of trans-European networks, support 
is given to technological  research for transport means.  The  development  of  new, 
faster,  more reliable,  comfortable  and environment-friendly  means of transport at 
competitive  costs  calls for a considerable  amount  of  research  at Community  level 
concerning  the  incorporation  and  application  of  new  design,manufacturing, 
modelling, simulation  and maintenance  technologies,  and new advanced materials 
and environmental  technologies. 

Particular attention is paid to aeronautical research in order to ensure the continuity 
of activities already undertaken and synergy with other transport sectors. 

4.3  Period covered by the operation : 

1994 - 1998. 

5.  CLASSIFICATION OF THE EXPENSES /  REVENUE 

DNO/CD 

6.  TYPE OF EXPENDITURE /  REVENUE 

Studies/Subsidies 

-  In principle, the direct activities will be  100% funded. 

30 

AS  A 

( 

I 

-  The  concerted  activities  may  qualify  for  a  contribution  of  up  to  100%  of  the 

coordination  costs. 

Subsidy for joint financing with other sources in the public and/or private sector 

-  The shared-cost activities comprising RDT projects will qualify  for a contribution 

of  not  more  than 50%. 

-  Universities and other research centres participating in RDT projects and  unable 
to  substantiate  their  total  costs in sufficient  detail  for  the  Commission  based  on 
an  analytical  accounting  system, will qualify  for  100% funding  of  the  additional 
costs. 

-  Other  shared-cost  activities  (for  example,  networks,  training,  feasibility  awards, 
accompanying measures) will qualify  for  up to  100% of the additional costs or of 
the  costs of  the  measure. 

Staff,  administrative and operating costs 

These also cover the costs of personnel covered by the Staff  Regulations and  other 
staff,  studies,  meetings  of  experts,  conferences  and  congresses,  information  and 
publications, administrative, technical and operating costs, and certain other internal 
infrastructure  and  operating costs  for  attainment  of  the objective  of  the  activity of 
which they are  an  integral  part. 

7.  FINANCIAL  IMPACT 

7.1  Method  of calculating the total cost of operation 

*  Staff  costs  :  45.12  MioEcu  (2.78  %  of  the  total  amount  deemed  necessary  of 

1,623  MioEcu). 

The  1994 staff  levels will be maintained, i.e. 84 posts.  The breakdown of these posts 
is as  follows  : 49A  +  13B +  22C. 

New  posts  will  be  progressively  added  in  1995,  1996 and  1997, depending  on  the 
budget available each year.  These new posts are warranted  by the configuration  of 
the  programme  which  includes  new  areas  of  activity  not  covered  by  the  third 
framework  programme:  design  and  engineering  combined  with  human  and 
organisational  production  systems,  technologies  for  transport  means,  industrial 
technologies  taking account  of social dimensions. 

It is important  to note that the staff  working on the specific  programme will also be 
responsible for the scientific and contractual monitoring of the activities carried  out 
under  the  third  framework  programme. 

*  Administrative  costs  including  personnel  not  covered  by  the  Staff  Regulations  : 
37.34 MioEcu  (2.30 % of the total amount  deemed  necessary  of  1,623 MioEcu). 

31 

AVI 

Operating  costs  :  1,540.54  MioEcu  (94.82  %  of  the  total  amount  deemed 
necessary  of  1,623  MioEcu),  including  the  cost  of  accompanying  measures, 
evaluations and concerted activities. 

7.2  Itemized breakdown of cost (in million ECU and %) 

Technologies  for future industries 
Technologies  for product innovation 
Technologies  for transport means 
TOTAL 

568.0 - 633.0 
503.1 - 568.0 
454.4 - 519.4 
1,623  W) 

35-39% 
31-35% 
28-32% 
100% 

(1) Including  45.12  MioEcu  (2.78  % for  staff  costs  and  37.34  MioEcu  (2.3%)  for 

administrative costs. 

(2) This  amount  includes  ECU  15  million  for  the  cost  of  dissemination  and 

application of the results. 

(3) To this amount is added 84 MioEcu for the EC programme of the JRC. 

7.3  Indicative schedule of appropriations 

The  schedule  will be  established  on  the basis of  the  overall  amounts  for  the  fourth 
framework  programme adopted indicatively for the periods 1995-96 and 1997-98 at the 
conciliation  meeting on 21 March 1994. The  RTD  appropriations  for each  financial 
year will be proposed and adopted each year on the basis of  the resources  available 
in the context of the financial perspective. 

Commitment 
appropriations 

Payment  appropriations 

1995 

1996 

1997 

1998 and 
following 

TOTAL 

1995 

1996 

1997 

1998 

269.00 

62.54 

76.35 

73.79 

56.32 

269.00 

.  449.00 

473.00 

432.00 

134.48  . 

135.01 

179.51 

449.00 

144:93 

328.07 

473.00 

432.00 

432.00 

TOTAL 

1.623.00 

62.54 

210.83 

353.73 

995.90 

1.623.00 

8.  ANTI-FRAUD  MEASURES 

Numerous administrative and financial controls have been introduced at every stage 
of the procedure for awarding and implementing research contracts.  These include: 

Prior to conclusion of the contract : 
-  shortlisting  of  the  proposals  on  the  basis  of  their  scientific  merit  and  of  how 
realistic  the  research  costs  are,  considering  the  nature,  duration  and  potential 
impact of the project; 

32 

AC"} 

-  analysis  of  the  financial  data  submitted  by  the  proposers  in  their  contract 

negotiation  form; 

After signature of the contract 

-  examination  of  the  statements  of  expenditure  before  payment  at  various  levels 

(financial  control  and  scientific  manager); 

-  on-the-spot inspections of the supporting documents to detect any errors or other 
irregularities.  To tighten up these controls, the Commission has set up a  central 
audit unit which is responsible for all the inspections.  The inspections are carried 
out  either  by members  of  the  audit  unit  or,  under  their  supervision,  by firms of 
auditors with which the  Commission  has concluded framework contracts. 

9.  ELEMENTS OF CX>ST-EFFECITVENESS ANALYSIS 

9.1  Specific and quantifiable  objectives  : target  population 

a) The  specific  objectives  of the operation  are : 

The scientific  and technical objectives of the programme are defined  in Annex I of 
the  Council Decision. A summary is given below : 

1. Research on production  technologies for  future  industries : 

The  objective  is to  develop  generic  industrial  methods  and  technologies  and  to 
apply them to design, engineering, organization, production, and the maintenance 
of high quality and high added value, thus enabling European  industry to  remain 
in  the  forefront  of  technological  innovation  and  to  clear  the  way  for  future 
industries.  The  incorporation  of  new,  advanced  technologies  into  production 
systems,  including  infrastructures  and  plant,  will  help  to  boost  industrial 
competitiveness  and  create  new jobs  by  cutting  costs,  improving  reliability  and 
safety  and  shortening  market  lead  times.  It  will  also  help  to  improve  the 
environment  and  health  and  safety  at  the  workplace. 

A major objective is to strengthen competitiveness through improving productivity, 
flexibility and quality. The concept of clean production  puts a special emphasis on 
the  efficient  and  hence  more  cost-effective  use  of  energy  and  raw  materials 
resources.  Research  efforts  should  therefore  focus  on  reducing  or  eliminating 
polluting substances at  source and  reducing the  quantities of  pollutants  released 
into  the  environment. 

2. Technological  research  for  product  innovation  : 

The  objective  is to  establish  new design  and  engineering  methods  based  on  the 
lifecycle  of  products  and  aimed  at  reducing  the  variety  and  complexity  of 
materials, costs and production  times and  increasing the quality and  reliability of 
clean  products  reflecting  environmental  concerns  and  the  need  for  sustainable 

33 

A$lj 

growth.  Materials  research  can  help  to  provide  new  solutions  capable  of 
optimizing  the  application  of  various  current  technologies  and  to  reduce  the 
complexity  of  advanced  materials  themselves,  harmful  emissions,  and  even 
production  costs  by  enabling  materials  to  be  recovered  and  reused,  which  is 
particularly  relevant  to  components  with  high  added  value. 

3. Technologies  for transport means  : 

The  objective  is to contribute  to  the  rational  use  of  different  modes  of  transport 
to  bring  about  improvements  with  regard  to  capacity,  energy  consumption,  cost-
effectiveness, comfort, quality, safety, volume, speed, and  environment-friendliness, 
in  liaison  with  the  other  European  policies  concerning  industry,  transport, 
environment  and  energy.  The  main  objective  is  to  strengthen  the  scientific  and 
technical  bases  of  European  industry  concerned  with  production  of  transport 
means.  In  the  case  of  the  aircraft,  motor  vehicle,  railway  rolling  stock  and 
shipbuilding  industries,  research  will  focus  as  a  matter  of  priority  on  design, 
advanced  materials, and  the  production  and  maintenance  of  advanced  means  of 
transport  in order  to improve  their  cost-effectiness,  quality, capacities,  marketing 
lead  times  and  environmental  impact. 

Research  operations  are  grouped  around  3 action  lines  : 

-  Research  activities  characterised  by strategic  and  industrial  needs 
-  Activities  based  on  generic  technologies  capable  of  wide  diffusion 
-  Activities by and for  SMEs  enabling  a  strengthening  of  their  competitiveness. 

The  principal  operational  methods  will be  the  following  : 

-  RTD  projects 
-  Coordinated  thematic  networks 
-  CRAFT  cooperative  research 
-  Supporting  and  accompanying  measures 

b)  Target  population  : 

The  objectives,  through  3  calls  for  proposals  (1995,  1996,  1997)  are  to  bring 
together  more  than  8,000  participants  across  approximately  1,500  research 
projects, clustered around  one hundred  networks. As far  as CRAFT  is concerned, 
the  call  for  proposals  remains  open  throughout  the  duration  of  the  programme. 

The  target  population  is  principally  European  manufacturing  and  processing 
industries  (60  %  of  participants).  However,  a  non-negligible  proportion  will 
comprise  universities  and  European  research  institutes  linked  to  industry. 

34 

4<X 

9.2  Justification  of the operation 

9.2.1 Justification  for  intervention  : 

The  globalization  of  markets,  the  greater  international  competition  with  newly 
industrialised  countries, the increased  cost of developing new technologies  and  the 
reduction  of  product  lifetimes  are  forcing  European  industries  to  revise  their 
cooperation  strategies in order  to master  a broad  spectrum  of technologies  and  to 
ensure the cost-effectevess  of RTD efforts.  Technological research  may be a  major 
factor  in  stimulating  innovation  in  respect  of  products,  processes  and  business 
organization,  and  underpinning  and  prompting  new  industrial  activities  which  will 
ease  the  transition  from  traditional  sectors  to  new,  emerging  sectors,  for  which 
Europe's export capacity  is currently still limited. 

The  Community's  industrial  research  activity is particularly  well placed  to  provide 
assistance  where  the  best  means  of  conducting  R&D  is  to  do  so  on  the  basis  of 
multidisciplinary, cross-frontier  cooperation, focusing on generic technologies which 
can  rapidly be  applied  in  different  Member  States and different  industrial  sectors. 
Collaboration between suppliers, producers and users must be reinforced so that the 
challenges  of research  directed  at the  total lifecycle  of products  may be  taken  into 
account. 

Evaluation  studies  covering  past  operations  have  shown  that  1  Ecu  invested  in 
industrial  research  leads  to  on  average  2  Ecus  in  indirect  gains  (technological, 
commercial  or training)  and  5 Ecus in direct  gains to  the partners. It must  also be 
noted  that  indirect  gains,  which  often  reflect  the  principal  of  subsidiarily  of 
Community  activities,  are  more  important  for  the  technologically  less  developed 
regions and  therefore  underpin  economic and  social cohesion  objectives. 

9.2.2 Choice of operational  methods  for  intervention  : 

The  selection  criteria  are  clearly  identified  in  the  information  documents  sent  to 
potential  participants. They  principally  concern  : 

-  Scientific  and  technical  quality 
-  Innovative  aspects 
-  Industrial  impact  and  strategic  importance 
-  Economic, social  and  environmental  impact 
-  Consortium  quality and  management  plan 
-  Complementarity  with  other  research. 

Shared  cost  actions  will  be  the  preferred  funding  mode  for  research  projects;  in 
effect  it  is  unrealistic  to  imagine  that  European  industrial  companies  will  accept 
working  together  and  protecting  their  confidential  results  without  a  financial 
contribution  from  the  Community, which  is not  the  case in concerted  actions. This 
latter action is, of course, valid for university based research with a social dimension, 
but  cannot  be applied  to  industrial  research. 

35 

Financial support from public funds will be a maximum of 50 % of the total research 
costs, and  could  diminish  if the  research  becomes  closer to the  market. 

9.2.3. Justification of the target population : 

Three  populations  are  principally targeted  : 

-  Industrial companies  in  Europe 
-  Small and  medium  sized enterprises  (SMEs) 
-  European  research  centres  and  institutes 

Between  70 and 75% of the budget will be dedicated  to industrial  research  actions 
which will be  concerned with achieving strategic objectives  through  a  clustering of 
research  projects, for which the  costs will normally  fall between  1 and  10 mioEcu, 
allowing the required critical mass to reach technological innovations to be attained. 

Between  10 and  15% of the total budget will be dedicated  to operations  favouring 
small and medium sized enterprises (SMEs), with the aim of maintaining increasing 
their  comptitivences  through  short  term  technological  research.  Project  costs will 
normally be between  0.4 and  1 mioEcu. 

Between  5  and  6%  of  the  total  budget  will  be  allocated  for  the  setting  up  of 
thematic networks or concerted activities centred round diffusible technologies under 
which  participants  will  receive  financial  support  for  information  or  personnel 
exchange,  training  or  conferences.  This  type  of  action  will  be  directed  as  much 
towards  cooperation  between  European  laboratories  as  towards  other  European 
initiatives and programmes such as EUREKA The financial support with not exceed 
1  mioEcu  for  the operation  of a  network  over  4 years. 

9.3  Monitoring and evaluation 

9.3.1. Methods : 

A systematic evaluation of research projects will be made at specific intervals (start 
up, mid-term, final) which will permit the monitoring and constant improvement of 
the management of the programme to be carried  out through the use of indicators. 

The  principal  indicators  are  the  following  : 

-  Project  characteristic descriptors  (keywords, budget,  duration,  etc..) 
-  Strategic aspects  (exploitation  potential, legal  implications,  management) 
-  Scientific  and  technical  performance 
-  Potential  for  the diffusion  of  results  and  success  of  network  activities 
-  Potential impact (though prenormative aspects, on social cohesion, towards SMEs, 

on  the  environment,  etc..) 
-  Partners' exploitation  plan 

36 

A<f 

In order to contribute to the global evaluation of Community activities foreseen in 
Article  4(2)  of  the  Decision  adopting  the  fourth  framework  programme,  the 
Commission  will,  in  due  course,  instruct  independent  experts  to  carry  out  an 
evaluation of the activities in the fields directly covered by the present programme 
and of their management during the five years prior to the evaluation. 

At the end of the present  programme, the Commission shall  instruct  independent 
experts  to  conduct  a final evaluation  of  the  results  achieved  compared  with  the 
objectives set out in Annex III to the fourth framework programme and Annex I to 
this Decision.  The final evaluation report shall be  forwarded  to the  Council,  the 
European  Parliament and the Economic and Social Committee. 

9.3.2. Appraisal of results obtained from current activities : 

Four  reports  have  recently  been  published  concerning  the  evaluation  of  the 
Brite/Euram  programme  and projects which finished during  1991,  1992 and  1993 
(ref.EUR  15070; EUR  14541, EUR  15171; EUR  15276). 

The  main conclusions are the following : 

-  Success rate of projects  :  70% 
-  On  average,  1  Ecu  invested  in  industrial  research  may  generate  an  economic 

effect  of  7 Ecus within 5 years, 

-  Even  projects  considered  as  technological  failures  provide  sufficient  economic 

benefits  to compensate  for the funds invested in the research, 

-  Partnerships where a multidisciplinary and multisectoral  approach exists lead to 

approximately twice the benefits  compared to monosectoral partnerships, 

-  SMEs require more support from the Commission to ensure equivalent  benefits 
for  them  compared  the  large  companies.  To  this  end,  the  CRAFT  activity has 
been expanded in the frame of the present programme. 

37 

ASl 

Proposal for a 

COUNCIL DECISION 

94/0083(CNS) 

adopting a specific research and 

technological development programme 

in the field of standards, measurement and testing 

(1994-1998) 

AC 3 

PROPOSAL FOR A COUNCIL DECISION 
of..... 
adopting a specific  research  and technological 
development programme (1994-98) 
in the field of standards, measurement and testing 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130i(4) thereof, 

Having regard  to the proposal from the  Commission,1 

Having regard  to the  opinion of the European  Parliament,2 

Having regard  to the opinion of the Economic and  Social Committee,3 

Whereas,  by  Decision  ../..EC4,  the  Council  and  the  European  Parliament  adopted  a 
fourth  framework  programme  for  Community  activities  in  the  field  of  research, 
technological  development  and demonstration  (RTD)  for  the period  1994-98  specifying 
inter  alia  the  activities  to  be  carried  out  in  the  field  of  standards,  measurement  and 
testing; whereas  this Decision  takes  account  of  the  grounds  set  out  in the  preamble  to 
that  Decision; 

Whereas Article  1301(3) of the Treaty specifies that the framework programme shall be 
implemented  through  specific  programmes  developed  within  each  activity  under  the 
framework programme and that each specific programme shall define the detailed  rules 
for its implementation, fix its duration  and provide for  the resources deemed  necessary; 

Whereas  this  programme  will  be  carried  out  mainly  through  shared-cost  activities, 
concerted  actions,  preparatory,  accompanying  and  supporting  measures  and  specific 
measures; 

Whereas, in accordance with Article  1301(3), an estimate should be made of the financial 
resources needed  to carry out  this specific  programme;  (whereas the final amounts will 
be  decided  upon  by  the  budgetary  authority  in  accordance  with  the  relative  priority 
assigned to the areas covered by this programme within the first activity under the  fourth 
framework  programme); 

1  OJ  No  ..., ..., p. 

2  OJ  No ...,..., p. 

3  OJ  No ..., ..,  p. 

4  OJ  No ..., ..,  p. 

Ate 

Whereas this programme may make a significant contribution to growth, competitiveness 
and  employment  as  indicated  in  the  White  Paper  on  growth,  competitiveness  and 
employment,5 

Whereas  Decision  ../../EC  (4th  Framework  Programme)  lays  down  that  the  overall 
maximum  amount  of  the  fourth  framework  programme  will  be  reexamined  by 
30 June  1996 at the latest with a view to its being increased; whereas, as a consequence 
of this reexamination, the amount deemed necessary to carry out this programme could 
increase; 

Whereas developments in the field of measurement and testing contribute to the growth 
of industrial competitivity by facilitating scientific research and technical innovation; 

Whereas  the  operation  and  consolidation  of  the  Single  Market  requires  continuous 
development of harmonized measurement systems, test methods and written standards 
and the mutual recognition certificates  of conformity; 

Whereas  the  uniform  application  of  the  Community  legislation  in fields such  as  the 
common agricultural policy, health and safety, the environment, consumer protection and 
protection of the Community's external frontiers can only be achieved by using improved 
methods of measurement and testing; 

Whereas the content of the fourth framework programme for Community RTD activities 
was  established  in  accordance  with  the  subsidiarity  principle;  whereas  this  specific 
programme specifies the content of the activities to be carried out in accordance with this 
principle in the field of standards, measurement and testing; 

Whereas  Decision  ../..EC (fourth framework programme)  lays down  that  Community 
action is justified  if,  inter alia, the research helps to reinforce  the economic and social 
cohesion of the Community and to encourage its harmonious development while at the 
same  time  meeting  the  objective  of  scientific  and  technical  quality;  whereas  this 
programme is intended to help meet these objectives; 

Whereas this programme and its implementation will help to strengthen synergy between 
the  RTD  activities  carried  out  in  the field of  standards,  measurement  and  testing by 
research  centres,  universities  and  enterprises,  in  particular  small  and  medium-sized 
enterprises,  in  the  Member  States  and  between  the  latter  and  the  corresponding 
Community RTD activities; 

Whereas the rules for the participation of undertakings, research centres (including the 
JRC)  and  universities  and  the  rules  governing  the  dissemination  of  research  results 
specified in the measures provided for in Article  130J of the Treaty apply to this specific 
programme; 

COM(93)  700  final. 

4f&* 

Whereas, in accordance with Article 130M of the Treaty, it may be appropriate to engage 
in international cooperation activities with international organizations and third countries 
other than the countries covered by the European Economic Area  Agreement (EEA) for 
the  purpose  of  implementing  this programme; 

Whereas  this programme  also comprises activities for  the dissemination  and  utilization 
of  RTD  results,  in  particular  vis-à-vis  small  and  medium-sized  enterprises,  and  in 
particular  those in Member States or regions which participate least in the  programme, 
and activities to stimulate the mobility and training, of researchers within this programme 
to the extent  necessary for  proper  implementation  of  the  programme; 

Whereas provision should be made for measures to encourage the involvement of SMEs 
in this programme, in particular through  technology promotion  measures; 

Whereas  fundamental  research in the field of measurements  must  be  encouraged  with 
the objective  of promoting a European  metrology  infrastructure; 

Whereas  an  assessment  should  be  made  of  the  economic  and  social  impact  and  any 
technological risks associated with the  activities carried  out under  this programme; 

Whereas  progress  with  this  programme  should  be  continuously  and  systematically 
monitored with a view to adapting it, where appropriate, to scientific  and  technological 
developments  in  this  area;  whereas  in  due  course  there  should  be  an  independent 
evaluation  of  progress  within  the  programme  so  as  to  provide  all  the  background 
information  needed  in  order  to  determine  the  objectives  of  the  fifth  RTD  framework 
programme; whereas at the end of this programme there should be a final evaluation of 
the results obtained  compared with the  objectives  set out in this Decision; 

Whereas  the JRC may participate  in the indirect activities covered by this programme; 

Whereas the JRC will also contribute, through its own programme, to the attainment of 
the  Community RTD  objectives  in the areas covered by this  programme; 

Whereas the Scientific and Technical Research Committee (CREST) has been consulted. 

HAS ADOPTED THIS DECISION : 

Article 1 

A specific research and technological development programme in the field of standards, 
measurement  and  testing, as set out  in Annex I, is hereby adopted  for  the period  from 
(date of adoption of this programme) to 31 December  1998. 

At* 

Article 2 

1. 

2. 

3. 

4. 

The  amount  deemed  necessary 
the  programme 
ECU  167 million, including  10.9 % for  staff  and  administrative  expenditure. 

for  carrying  out 

is 

An indicative breakdown  of this amount  is given in Annex II. 

The  amount  deemed  necessary  for  carrying  out  the  programme,  as  indicated 
above, could increase as a result of and in accordance with the Decision  referred 
to in Article  1(3) of Decision  ../../EC (fourth  framework  programme). 

The  budgetary  authority  shall  determine  the  appropriations  available  for  each 
financial  year in accordance with the scientific  and  technological  priorities  set in 
the fourth framework programme. 

Article 3 

Detailed  rules  for  implementing  this  programme,  in  addition  to  those  referred  to  in 
Article  5, are set out in Annex III. 

Article 4 

1. 

2. 

3. 

The  Commission  shall  continually  and  systematically  monitor,  with  appropriate 
assistance from independent, external experts, the progress within this programme 
in  relation  to  the  objectives  set  out  in  Annex  I.  It  shall  in  particular  assess 
whether  the  objectives,  priorities  and  financial  resources  are  still  appropriate. 
Where  appropriate,  it  shall  submit  proposals  to  adapt  or  supplement  this 
programme  depending  on the  results of this monitoring process. 

In order to contribute  to the global evaluation  of  Community  activities  foreseen 
by Article 4(2) of the decision  adopting the Fourth Framework programme,  the 
Commission  shall,  in  due  course,  instruct  independent  experts  to  carry  out  an 
evaluation of the activities in the fields directly covered by the present programme 
and  of their  management  during the five years  prior  to the  evaluation. 

At the end of this programme, the Commission shall instruct independent  experts 
to conduct a final evaluation of the results achieved compared with the  objectives 
set  out  in  Annex III  to  the  fourth  framework  programme  and  Annex I  to  this 
Decision.  The  final  evaluation  report  shall  be  forwarded  to  the  Council,  the 
European  Parliament  and the  Economic and  Social  Committee. 

Abb 

Article 5 

1. 

A work programme shall be drawn up by the Commission in accordance with the 
objectives set out in Annex I and shall be updated where appropriate.  It shall set 
out in detail the scientific and technological objectives  and specifies  the stages in 
the  implementation  of  the  programme  as  well  as  the  proposed  financial 
arrangements. 

The work programme may also provide for participation in certain activities within 
the EUREKA  framework. 

2. 

The  Commission  shall  issue  calls  for  proposals  for  projects  on  the  basis  of  the 
work  programme. 

Article 6 

1. 

2. 

The Commission shall be responsible for the implementation  of the programme. 

In the cases provided  for  in Article  7(1), the Commission  shall be assisted by an 
advisory  committee  consisting  of  representatives  of  the  Member  States  and 
chaired  by the representative  of the  Commission. 

The  representative  of the Commission  shall submit to the committee  a proposal 
for  the  measures  to  be  taken.  The  committee  shall  give  its  advice  on  the 
proposals, within the timescale set by the president in view of the urgency of the 
matter  concerned,  if necessary  proceeding  to a vote. 

The  advice shall be written  in the  minutes; in  addition,  each  Member  State has 
the right to ask that  its position  is recorded  in the minutes. 

The Commission shall take into account to the greatest extend possible the advice 
given by the committee. It shall inform  the committee  of the manner  in which it 
has  taken  account  of  this advice. 

1. 

The  procedure  laid  down  in Article  6(2) shall apply to: 

Article 7 

the establishment and implementation of the programme of work foreseen 
in Article 5(1), 

the evaluation of RDT projects proposed for a financial contribution of the 
Community when the estimated  amount of the contribution  to a project is 
greater  than  0.25  million  Ecu; 

the measures  to  be  undertaken  to evaluate  the  programme; 

all adjustment  of the indicative breakdown shown  in Annex  II, not  having 
been  made  the  object  of  a  budgetary  decision; 

A<c-H 

2. 

The  Commission  shall  inform  the  Committee,  at  each  of  its  meeting,  of  the 
progress with the implementation  of the programme as a whole. 

Article 8 

The  Commission  is  authorised  to  negotiate,  in  accordance  with  Article  228(1), 
international agreements with European third countries with a view to involving them in 
all or part of the programme. 

This Decision is addressed to the Member States. 

Article 9 

Done at Brussels, 

For the Council 
The President 

A6Ç 

ANNEX  I 

SCIENTIFIC AND TECHNICAL OBJECTIVES AND  CONTENT 

1. 

GENERAL 

This  specific  programme  fully  reflects  the  broad  lines  of  the  fourth  framework 
programme, and applies the selection criteria  and spells out the scientific  and  technical 
objectives  set out  in that  programme. 

Paragraph  2.d of Annex III (first activity) of the framework programme is an integral part 
of this programme. 

2. 

SCIENTIFIC  AND  TECHNICAL  OBJECTIVES  OF  THE  RESEARCH 
PROGRAMME IN THE FIELD OF STANDARDS, MEASUREMENTS AND 
TESTING 

Sound,  reliable  measurements,  be  they  physical,  chemical  or  biological  in  nature,  are 
essential to the functioning of modern society. Without them, industries, particularly high 
technology  ones,  cannot  operate,  trade  is  impaired  by  disputes,  health  care  becomes 
empirical  and  legislation,  ranging  from  environmental  and  worker  protection  to  the 
operation  of  the  Common  Agricultural  Policy  and  the  Single  Market,  cannot  be 
successfully implemented. For these reasons advanced industrial nations spend up to 6 % 
of their  gross national product  on measurements  and measurement-related  operations. 
Community  action  directed  towards  the  establishment  of  harmonized  systems  of 
measurements,  reference  materials  and  written  standards  is  thus  fully  in  line with  the 
principles of subsidiarity and cohesion and supports the aims of the Commission's White 
Paper  on Growth, Competitiveness  and  Employment. 

With  access  to  accurate  measurements,  and  their  associated  uncertainty  statements, 
industry,  particularly  in  high  technology fields, gains  the  tools  it  needs  to  develop  new 
products  and  processes  effectively  or  to  implement  the  in-process  controls  and  quality 
assurance  procedures  necessary  for  them  to  be  competitive.  As  few  products  are 
assembled  from  components  manufactured  within a  single company, the  existence of  a 
common measurement and testing infrastructure, backed by mutual recognition of results 
and  technically sound written standards, is a pre-requisite  for  a growing industrial base. 

Recognizing that disputes over measurement results, or their interpretation, affect  trade, 
some  directives  are  concerned  with  the  harmonization  of  measurements  within  the 
Community. They specify  in great detail both the techniques and procedures to be  used 
in demonstrating  conformance.  The limitations  of this approach,  including  unnecessary 
complexity, tend to stifle innovation.  Directives used to establish the Single Market  are 
therefore of the New Approach type. These specify the essential requirements to be met 
and allow compliance to be demonstrated  in a number of different  ways, the most direct 
of which is by the  use  of written  European  standards.  In  support  of  this  policy,  short-
and  medium-term  pre-normative  Community  research  is  required  to  develop  the 
thousands  of  written  standards  to  be  prepared  by  CEN/CENELEC/ETSI  under 
Commission  mandates  before  the  end  of  the  decade.  The  urgency  for  such  technical 
support and that to be given to accreditation bodies is highlighted by the  1993 survey on 
the operation of the Single Market, carried out by the Euro  Info Centre  (EIC) network. 

4L 6 

Of the EIC's who responded, 81 % had identified enterprises who found it necessary, for 
practical  or marketing  reasons,  to  have  their goods  certified  in other  Member  States, 
whilst 47 % had encountered problems with recognition of national written standards and 
tests in other Member States. 

The development of the Single Market and the entry into force of the Maastricht Treaty 
have also highlighted the need for harmonization of measurement and testing methods 
used  by  regulatory  authorities  themselves.  For  example,  those  used  by  customs 
laboratories  in  the  protection  of  the  external frontiers of  the  Community  against  the 
importation  of  illegal  substances,  sub-standard  goods  and  counterfeits  or  fraudulently 
labelled materials. Similar actions are also required in support of the operation  of the 
Common Agricultural Policy. 

Accurate measurements are, however, not only needed in manufacturing industries or for 
the purposes of trade. They are also vital in ensuring health care and the application of 
legislation  on  environmental  and  worker  protection.  Frequently  such  measurements 
require chemical or biological analyses whose traceability is far inferior to that developed 
over the last  100 years for the physical measurement field. Often,  differences  between 
the results of nominally identical analyses performed in different laboratories far exceed 
their estimated uncertainties, if indeed such estimates even exist The consequences for 
human or animal health which could result, for example, from errors in bio-assays or the 
contamination of food by residues of toxic substances are self-evident. The development 
of  measurements  of  known uncertainty must be backed  up by a recognized  reference 
system traceable to the basic measurement units defined by the Metre Convention. The 
importance of this activity to both the quality of life and the application of Community 
policies justifies coordinated action at the European level. 

The objectives of the programme are, for all fields of measurement and testing: 

to improve the competitive position of all sectors of European industry (including 
in  particular  SMEs)  by  promoting  better  measurements  at  the  research  and 
development levels, better definition and control of the quality of products, more 
efficient  in-process  measurements  and  technical  assistance  to  the  mutual 
recognition of certificates in accordance with the Global Approach to Conformity 
Assessment; 

to promote research and other technical support necessary for the development 
and implementation  of  other Community policies  (Single Market, environment, 
agriculture,  health,  transport  and  protection  of  the  Community's  external 
frontiers); 

to promote research in support of the activities of CEN, CENELEC, ETSI and 
other European bodies which seek to maintain or establish quality standards via 
either new and existing written standards or codes of practice; 

Aif 

to support the further  development of the European measurement  infrastructure 
by  facilitating  the  coordination  of  national  activities,  the  development  of 
measurement  standards,  of  advanced  methods  and  systems  and  the  mutual 
recognition  of results and  accreditation  systems; 

to  promote  the  dissemination  and  application  of  good  measurement  practice 
throughout Europe, particularly in the less favoured  regions (for  example, by the 
organisation  of  training courses and  by the establishment  of  networks). 

When  attempting to meet the above objectives, the Standardization,  Measurement  and 
Testing programme will carry out its activities in close collaboration  with other  specific 
programmes  (for  example,  Industrial  and  Materials  Technologies,  Environment  and 
Climate,  Marine  Sciences  and  Technologies,  Biotechnology,  Biomedicine  and  Health, 
Agriculture and Food Technologies, Socio-Economic Research). Similarly, activities aimed 
at strengthening the metrological infrastructure  at the European level will be carried out 
in  consultation  with  existing  networks  of  national  laboratories,  such  as  EUROMET, 
EURACHEM,  EUROLAB,  WECC  and  WELAC.  In  view  of  the  increased  emphasis 
placed upon the resolution of unpredictable or short- to medium-term difficulties  which 
arise during the development or implementation of a wide range of Community policies, 
it is also necessary to establish  additional  thematic networks  of  excellence. 

In  the  domains  which  are  within  its  competence,  complementary  actions  will  be 
performed  by the  JRC,  in  close  collaboration  with  national  laboratories,  especially  on 
standardization for the construction sector and the setting-up of new measurements and 
reference  materials*.  The  distribution  of  the  reference  materials  produced  by  the 
Standardization,  Measurement  and  Testing  programme  will  be  assured  by  the  JRC 
(IRMM). 

A more detailed description of the JRC's research activities, which are defined  in 
a  proposal for  a separate  Council decision, is given in Annex IV for  information 
in  order  to  ensure  the  transparency  in  relation  to  their  complementarity  with 
corresponding  indirect  actions. 

A 68 

SCIENTIFIC AND TECHNICAL CONTENT 

Activities  under  the  programme  can be  classified  under  three  objective  based  themes, 
namely: 

Theme  I 
Theme  II 
Theme  III 

Measurements  for  quality European  products 
Research related to written standards and technical support to trade 
Measurements  related  to the needs of society 

In view of the diversity of the needs to be met, flexibility is essential and some topics may 
be  dealt  with  under  several  headings.  Technology  stimulation  measures  based  on 
experience with CRAFT activities and feasibility awards will be carried out to encourage 
and  facilitate  participation  by SMEs and the less advanced  regions. 

THEME I - MEASUREMENTS FOR QUALITY EUROPEAN  PRODUCTS 

Background 

When considering the conditions governing growth and competitiveness, the White Paper 
emphasized the importance of promoting the emergence of new generations of products 
by  exploiting  to  the  full  all  the  technologies  available  and  of  encouraging  the 
incorporation  of  innovation  in manufacturing  processes  and products. The  competitive 
position of industry depends upon its ability to undertake research, to develop the fruits 
of that research into products and to produce those products at the right time and price 
with  the  required  quality.  To  discharge  each  of  these  functions  requires  the  use  of 
measurement  and/or  testing  techniques  with  a  known  and  appropriate  resolution, 
repeatability  and  reproducibility  combined with effective  quality assurance  procedures. 
The characteristics of the measuring and quality assurance systems to be employed at any 
stage of the research, design, development and production cycle depends upon the nature 
of the  industry involved. 

The  proposed  RTD  activities are: 

the development of measurement methods and instrumentation required 
by  researchers  to  investigate  and  utilize  the  physical,  chemical  and 
biological  phenomena  at  the  macro-  and  microscopic  levels  from  which 
future  products  could  be  developed.  Coordinated  at  the  European  level 
this activity would also include the production of the high quality reference 
data required to develop and validate scientific theories and model systems. 
Utilizing  networks  of 
responsibilities, 
improvements  would  be  made  in  the  realization  and  traceability  of  the 
measurement  scales  used  throughout  research  laboratories,  test  houses, 
trade  and  industry.  Research  would  also  be  undertaken  to  improve  the 
analysis  and  utilization  of  data,  including  the  development  of  expert 
systems for  decision  making; 

laboratories  with  national 

10 

AW 

the  development  of  generic  measurement  and  test  methods,  reference 
materials  and  instrumentation  required  in  the  course  of  product 
development  Such  measurements  are  needed  in  order  to  optimize  the 
design  and  testing  of  products  in  respect  of  their  functional,  ergonomie, 
environmental, safety and other characteristics. By better  characterization 
of raw materials, components and finished products, the waste associated 
with  failure  and  poor  design  could  be  reduced.  Similarly,  improved 
measurements will contribute to a reduction  of the environmental  impact 
(recycling, 
of 
degradability). By giving technical  support  to the  development  of  generic 
products,  procedures  or  standards,  the  efficiency  and  hence  competitive 
position of European  industry will be  enhanced. 

industrial  processes  and  product  use  or  disposal 

to 

required 

in  production 

the  development  of  generic  measurement  methods,  standards  and 
instrumentation 
improve  product 
quality/production cost ratios. Emphasis will be placed upon the application 
of  advanced  methods  of  calibration,  traceability,  process  control,  quality 
assurance,  etc.  Activities  will  include  measurements  related  to  sensing, 
diagnostic  monitoring,  automated  manufacturing  and  non-destructive 
testing under production conditions. Special efforts will be made to enable 
SMEs  to  adopt  new  measurement  technologies  and  to  establish  quality 
assurance  procedures  appropriate  to  their  needs.  When  necessary  pre 
normative  research will be undertaken  to  enable industry to comply with 
Community legislation, particularly in terms of consumer safety and waste 
management  for  the protection  of the  environment. 

THEMEH  RESEARCH  RELATED  TO  WRITTEN  STANDARDS  AND 

TECHNICAL SUPPORT TO TRADE 

Background 

The White Paper states that it is essential to make the most of the benefits deriving from 
the Single Market.  It also mentions that the Community should be an open and reliable 
partner, and recommends the establishment of more harmonious and stricter rules in the 
world  economy.  To  this  end,  research  and  other  technical  activities  in  the  field  of 
measurements are necessary for the development and application of the common system 
of  directives,  regulations  and  written  standards  which,  via  the  mutual  recognition  of 
results and certificates, form the basis of the trade in goods, products and services in the 
Single Market whilst at  the same  time  affording  protection  to both  consumers  and  the 
environment. 

11 

Jfo 

The  proposed  RTD  activities  are: 

legislation 

:  research  on  measurement  methods  and 
Support  to 
instrumentation  is required  for  legislative  purposes  when  establishing  the 
essential  requirements  of  draft  directives. In  the  case  of  "New  Approach" 
directives,  pre-normative  research  will  be  necessary  when  no  adequate 
scientific  or technical base exists for  the  development  of written  standards. 
Support  will  also  be  needed  to  resolve  problems  which  arise  in  the 
implementation  and  revision  of  directives  or  existing  written  standards, 
because  current  methods  are  either  not  sufficiently  accurate  or  lead  to 
conflicting  results.  Included  in  this  category  are  measurements  and 
standards  necessary  to  detect 
the  application  of 
fraud 
Community  policies,  particularly  in  the  agricultural  sector,  and  pre 
normative  research  to  enable  industry  to  comply  with  Community 
legislation. 

related 

to 

Support  to  industry  :  although  not  covered  by  Community  legislation,  a 
industry,  in  consultation  with  CEN, 
particular  sector  of  European 
CENELEC  and  ETSI,  may  express  the  need  to  develop  harmonized 
written  standards  to  encourage  innovation,  integration,  trade  or  the 
adoption  of advanced  manufacturing  practices  or materials. In view of  the 
dynamic  nature  of  the  international  standardization  scene,  new  priorities 
will  continually  emerge  and  therefore  the  situation  will  be  reviewed 
periodically. 

Promotion of a European measurement infrastructure  : the full  benefit  of 
the Single Market  can  only be  realized  by the  development  of  an  efficient 
and reliable European measurement  infrastructure  based upon  traceability 
to  agreed  physical,  chemical  and  biological  standards.  This  requires  a 
coordinated  approach  to  research  and  development  of  fundamental  and 
derived  measurements  standards,  reference  materials  and  traceability  in 
order to avoid unnecessary duplication  of effort  within the Member  States. 
The  creation  of  a  structured  system  for  metrology  in  chemistry  via  a 
coordinated  European  action,  in  association  with  EURACHEM  and 
EUROMET,  would  enable  such  measurements 
to 
internationally  recognized  standards,  as  is  currently  the  case  for  physical 
measurements.  The  promotion  of  traceability  between  laboratories  in 
Member  States will be  of  particular  benefit  to  the  smaller  ones whilst  the 
provision  of training in less favoured  regions will promote  cohesion.  Wider 
international  collaboration,  with  bodies  such  as  BIPM,  WHO  and  NIST, 
could  be  undertaken  where  this  would  support  European  interests. 

traceable 

to  be 

Technical  support  to  mutual  recognition  and  accreditation  :  technical 
support  is required  for  the  operation  of  the  European  calibration,  testing 
and accreditation systems and networks (e.g. WECC, WELAÇ and  EOTC) 
testing  and 
which  provide  certification,  conformity  and  proficiency 
industrial  quality  assurance. 

12 

MA 

Measurements  required  by  customs  laboratories  : the  protection  of  the 
external  frontiers  of  the  Community  against  the  importation  of  illegal 
substances,  sub-standard  goods,  counterfeits  or  fraudulently  labelled 
materials  requires  the  development  of  new  and  improved  harmonized 
methods  of  sampling  and  measurement.  In  addition,  measurements  are 
required  to determine  duties to be levied or  refunded. 

THEME  m  MEASUREMENTS  RELATED TO THE NEEDS OF SOCIETY. 

Background 

The results of measurements and tests, other than for the purposes of trade and industry, 
have far  reaching effects  on society. They are used to determine if substances, structures 
and situations are potentially hazardous or to follow subtle and dramatic changes in the 
environment.  When  tests  are  performed  for  medical  diagnostic  or  criminal  detection 
purposes errors can have profound  consequences for the individual. There is a need both 
to  improve  the  methods  and  instrumentation  and  to  determine  the  uncertainties 
associated  with the results via intercomparison  between  laboratories. 

The  proposed  RTD activities  are: 

Health and safety : the implementation  of Community legislation requires 
the measurement  of the exposure of workers to certain physical, chemical 
and  biological  agents,  together  with  the  assessment  of  the  associated 
hazards  and  the  efficiency  of  measures  taken  to  reduce  them.  Similarly 
improvements  are  required  in  measurements  and  tests  used  to  assess 
public  and  animal  health,  food  hygiene,  the  safety  of  products  and  the 
safety of workers in the working place. When necessary, new or improved 
measurement  methods  and/or  standards  will  be  developed  for  the 
application  of  such  legislation. 

Monitoring  of  the  environment  :  the  implementation  of  environmental 
legislation  and  support  to  the  activities  of  the  European  Environmental 
Agency  require  the  development  of  new  and  improved  measurement 
techniques  for  the  determination  of  the  quality  of  the  environment 
(ambient air, fresh  and sea water, soil and waste management, toxicity and 
microbiological  action, etc). 

Justice  system  :  coordinated  activities  are  needed  to  develop  and 
harmonize  the  specialist  measurements  used  in  forensic  science  and 
narcotics  control  in support  of  the  newly established  cooperation  in field 
of  justice.  Whilst  relatively  few  laboratories  are  involved,  the  advanced 
nature  of the  measurements  and  the consequences  of the results  warrant 
coordinated  action. 

13 

/in 

Support  of  Europe's  cultural  heritage  :  the  preservation  of  Europe's 
cultural  heritage  depends  upon  the  ability  to  quantitatively  evaluate  the 
conditions of physical objects and the efficacy  of the methods proposed  to 
protect  them  against  environmental  pollution  and  the ravages  of time. 

Where necessary, all the above activities would include the development of new reference 
materials and  support  to the  establishment  of laboratory networks. 

14 

AV$ 

ANNEXn 

INDICATIVE BREAKDOWN OF THE AMOUNT DEEMED  NECESSARY 

Theme  I 

Measurements  for  quality European  products 

Theme  II  Research  related  to written  standards  and 
technical support  to  trade 

Theme  III  Measurements  related  to the needs  of society 

Total 

40 - 45% 

35 - 40% 

2 0 - 2 5% 
100%\2 
I  (167 MECU)3 

The breakdown between  different  themes does not exclude  the possibility that  projects 
may come under  several themes. 

Including 8.7  % for  staff  expenditure  and  2.2 % for  administrative  expenditure. 

Of which 5 % for  preparatory, accompanying and support  measures, including 2 
million ECU for  the dissemination  and  utilization  of results. 

for 

A sum of 121 million ECU, the difference  between the amount deemed necessary 
for  this  programme  and  the  amount  foreseen  in  the  fourth  RTD  framework 
programme 
(Standardization, 
Industrial  and  Materials  Technologies 
Measurement  and Testing) is earmarked  in the specific  programme  of  RTD  for 
activities  to  be  carried  out,  on the  one  hand,  by means  of  direct  action  and,  on 
the  other  hand,  by  S/T  support  activities  in  the  framework  of  a  competitive 
approach. 

15 

Aft 

ANNEXm 

DETAILED RULES FOR  IMPIJEMENTING THE  PROGRAMME 

1. 

The  detailed  rules  for  the  Community's financial contribution  are  laid  down  in 
Annex  IV to the Decision on the fourth  framework  programme. 

The  detailed  rules  for  the  participation  of  undertakings,  research  centres  and 
universities, and for the dissemination of results will be laid down in the measures 
provided  for  by Article  130 j  of  the Treaty. 

However,  for  the  purposes  of  implementing  this  programme,  the  following 
exceptions  shall apply : 

Participation  in  this  programme  is  open,  with  financial  support  from  the 
Community : 

? a. 

to all legal entities, established  and  regularly carrying out RTD  activities 

in the Community, or 
in  a  third  country  associated,  wholly  or  in  part,  . with  the 
implementation  of the relevant  programme  through an  agreement 
concluded between  the Community  and the said third  country 

b. 

to the Joint  Research  Centre. 

Participation  in  this  programme  is  open,  without  financial  support  from  the 
Community,  and  on  condition  that  their  participation  is  in  the  interests  of 
Community  policies : 

a. 

b. 

c. 

to  legal entities  established  in a  country which  has  concluded  a  scientific 
and  technical  co-operation  agreement  with  the  Community  relating  to 
activities  covered  by  the  programme,  provided  the  participation  accord 
with the terms of the  agreement, 

to legal entities established  in a European  country, 

to international  research  organisations. 

The participation of European international organisations may be financed on the 
same basis as that  for  Community organisations  in duly specified  cases. 

2. 

This programme will be carried  out  in the form  of  indirect actions, in which  the 
Community makes a financial contribution to RDT activities carried  out by third 
parties  or by JRC institutes in association with third  parties: 

2.1. 

Shared-cost activities, according to the following  rules : 

RDT  projects  carried  out  by  undertakings,  research  centres  and 
universities,  including  consortia  for  integrated  projects  with  a  common 
objective; 

16 

Af*T 

technology stimulation  to  encourage  and  facilitate  participation  by SMEs 
by granting an  award  covering  the exploratory  phase  of  an  RDT  activity, 
including the finding of partners, and the cooperative research.  The award 
will be granted  following  the selection  of outline proposals which may be 
submitted  at  any time; 

support  for  financing  the  infrastructure  or  installations  necessary  for  the 
realization  of a coordinated  action  (reinforced  coordinated  activities). 

2.2.  Concerted  actions,  which  consist  of  coordinating,  particularly  with  the  aid  of 
concertation  networks,  RDT  projects  already  funded  by  public  authorities  or 
private bodies.  Concerted  actions can  also include the  requisite coordination  of 
thematic  networks  which,  through  RDT  cost  shared  actions  (cf.  2.1  first 
paragraph) bring together manufacturers,  users, universities and research centres 
around  the same technological  or industrial  objective. 

2.3. 

, Specific  measures  necessary  to  supply  short-  to  medium-term  scientific  and 
technical  research  for  the  development  or  application  of  Community  policies, 
including  actions  to  be  undertaken 
in  collaboration  with  standardisation 
organizations such as CEN/CENELEC/ETSI. These will include the establishment 
of  thematic  networks  of  excellence  in  the  various  fields  covered  by  the 
Community's  policies and  a  call for  proposals open  throughout  the  programme. 
To ensure a rapid  response  to the needs demonstrated  in the call for  proposals, 
as far as possible the participants in the shared-cost activities will be selected from 
the  thematic  networks  on  the basis of their  expertise  and  of  their  availability  at 
the  time required.  The  Community's  contribution  covers  100% of  coordinating 
expenditure  and  up to  100% of the expenditure  on the shared-cost  activities. 

2.4. 

Preparatory,  accompanying  and  support  measures  according  to  the  following 
rules : 

including  the  dissemination,  promotion  and 

studies  in  support  of  this  programme  and  in  preparation  for  future 
activities; 
conferences, seminars, workshops or other scientific or technical meetings, 
including intersectoral  or  multidisciplinary  coordination  meetings; 
use of external  expertise, including access to scientific  databases; 
scientific  publications, 
utilization  of the results; 
in liaison with the programme "Socio-Economic Research", studies to assess 
the  socio-economic  consequences  as  well  as  any  eventual  technological 
risks associated with all the projects  under  this programme; 
training activities  related  to research  covered  by this  programme; 
measures  in support  of  the operation  of  networks to  provide  information 
and  decentralized  assistance 
the 
to  SMEs 
Euromanagement  auditing activity of  RDT; 
independent  evaluation  (including  studies)  of  programme  administration 
and  of  the  implementation  of  the activities of the  programme; 
distribution  of  reference  materials by a third  party. 

in  coordination  with 

These  measures  will  be  carried  out  in  addition  to  and  in  conjunction  with  the 
corresponding  activities  under  the  third  area  of  activity  of  the  framework 
programme  for  Community  research  and  technological  development. 

17 

n 

The partners in RTD projects constitute privileged networks for the dissemination 
and utilization of results.  They will be reinforced via publications, conferences, 
promotion of results, studies of  technical and economic potential, etc.  In order 
to  ensure  optimum  exploitation,  factors  liable  to  encourage  the  subsequent 
utilization of results must be taken into account from the outset and throughout 
the RTD projects. 

18 

An 

ANNEX IV 

DESCRIPTION  OF  THE  JOINT  RESEARCH  CENTRE'S  (JRC)  RESEARCH 
ACTIVITIES CORRESPONDING TO THE AREAS COVERED BY THIS SPECIFIC 
PROGRAMME  AND  THE  SUBJECT  OF  THE  PROPOSAL  FOR  A  COUNCIL 
DECISION FOR THE JRC PROGRAMME (COM(94)68 FINAL - 94/0095 (CNS)). 

The contribution  of the JRC to this sector is aimed at improving the competitiveness of 
European  industry, conducted in close co-ordination with the corresponding shared cost 
action programmes.  It will focus on prenormative research which, save exceptions, will 
be undertaken within the framework of networks of European bodies with interests and 
capabilities  in  this  type  of  research  and  in  association  with  standards  organizations,  in 
particular the European Committee for Standardization (CEN).  This will guarantee that 
the overall requirements  of industry are  taken  into account from the  start. 

These  activities are directly related  to standardization  and  include: 

(a) 

Prenormative  research  on reference  materials  and  prenormative  and  normative 
research  on reference  measurements,  in particular  in the following  sectors: 

preparation,  characterization  and  certification  of  high-quality  reference 
materials.  International  intercomparison  exercises will be used to  ensure 
adequate  quality assurance and to facilitate  harmonization; 

establishment  of  a  common  scientific  basis  for  the  chemical  reference 
measurements; 

measurements and  evaluation of basic data, improvement of their  quality 
and accuracy using the experimental installations available and by making 
use  of  European  and  international  collaboration,  in  particular  through 
networks. 

The distribution of reference  materials produced within a Community framework 
is assured by the  Institute for  Reference  Materials and  Measurements  (IRMM). 
The results achieved by  IRMM in establishing extremely accurate  measurements 
have  won  it  recognition  as  a  reference  centre. 
Intercalibration  campaigns 
conducted  by the IRMM among the network of all interested  laboratories  in the 
Community will provide each laboratory with an impartial and reliable evaluation 
of the quality of its own measurements.  This activity will be extended on request 
to  any third  country  laboratory,  on  payment  of  a fair  fee. 

(b) 

Prenormative  research  in the field of structural  safety  and  reliability to  improve 
the  design  specifications  of  civil  engineering  works  for  the  development  of 
standards (EUROCODES), in particular, by taking into account earthquakes, and 
the construction  technologies of European  industry.  This research will continue 
to  be  conducted  with  the  organizations  in  the  Member  States which  have  been 
grouped together since 1989 in the European Asssociation of Structural Mechanics 

19 

W 

Laboratories.  In order to carry out destructive dynamic tests on civil engineering 
works and industrial structures made of steel, concrete, brickwork and composite 
materials,  the  JRC  has  constructed  the  ELSA  ("European  Laboratory  for 
Structural Assessment") test wall and the LDTF ("Large Dynamic Test Facility"), 
which are unique in Europe. 

Furthermore, the development of non-destructive evaluation techniques to study 
the reliability and useful life of mechanical constructions will continue with a view 
to the development  of component  inspection techniques and the harmonization 
of qualification  procedures.  This research will continue to be conducted  in the 
framework  of the laboratory networks which have existed for a number of years, 
which will be gradually enlarged in line with needs. 

20 

SPECIFIC PROGRAMME OF RESEARCH AND 
TECHNOLOGICAL DEVELOPMENT LINKED WITH 
STANDARDIZATION, MEASUREMENT AND TESTING 

Financial Statement 

• • B i l ^ B B B I B ^ H B ^ B ^ B B H i B S O B H^ 

21 

FINANCIAL STATEMENT 

1. 

TITLE OF OPERATION 

Standardization, measurement and testing. 

2. 

BUDGET HEADING 

B6-7122 

3. 

UEGAL BASIS 

Article  1301 of the Treaty on European Union.  Decision of the Council and of 
the  European  Parliament  concerning  a  fourth  framework  programme  for 
Community  activities  in  the  field  of  research,  technological  development  and 
demonstration  (RTD)  for the period of 1994-1998. 

4. 

DESCRIPTION OF OPERATION 

4.1  General objectives of the operation 

To improve the competitivity of  all sectors of  European industry (including the 
particular needs of small and medium enterprises - SME's) 

by encouraging industrial innovation; 
by a better definition  and a better control of the quality of products; 
by more efficient  measurement procedures required for production; 
by  the  mutual  recognition  of  certificates  in  accordance  with  the  global 
approach for the establishment of conformity. 

Provide to pre-normative research the means necessary for the development and 
the application  of Community policies  (single market, environment, agriculture, 
health, transport and protection of external  frontiers). 

Undertake  the  pre-normative  research necessary  to  support  the work  of  CEN, 
CENELEC, ETCI etc related to existing or new written standards. 

Support the forthcoming development of a European measurement infrastructure 
by  helping  to  co-ordinate  national  activities  and  the  development  of  written 
standards, methods and advanced measurements systems. 

Help  the  dissemination  and  use  of  good  measurement  practices  in  Europe,  in 
particular, in the less favoured regions. 

22 

A%A 

4.2 

Fields covered by the programme 

The  activities will cover the following  themes  : 

Theme  I :  Measurement  for  quality European  products; 

Theme  II :  Research related to written standard and technical support to trade; 

Theme  III  :  Measurements  related  to the  needs  of  society. 

For  each  theme,  the  necessary  accompanying  measures  will  be  carried  out, 
together  with  the  valorisation  and  the  diffusion  of  results  important  for  the 
economic development  and  the cohesion  of the  European  Union. 

43 

Period covered by the operation : 

1994 - 1998. 

5. 

CLASSIFICATION OF THE EXPENSES  /REVENUE 

DNO/CD 

6. 

TYPE OF EXPENDITURE/REVENUE 

Studies I Subsidies 

In principle, the direct  activities will be  100%  funded. 

The  concerted  activities  may qualify  for  a  contribution  of  up  to  100% of 
the concertation  costs. 

Subsidy for joint financing with other sources in the public and/or private sector. 

The  shared-cost  activities  comprising  RDT  projects  will  qualify  for  a 
contribution  of  not  more  than  50%;  by  exception,  urgent  or  priority 
activities required  for  the  development  or  implementation  of  Community 
policies  may  receive  a  financial  contribution  of  the  Community  upto 
100%. 

Universities and other research centres participating in RDT projects  and 
unable  to  substantiate  their  total  costs  in  sufficient  detail  for  the 
Commission  based  on  an  analytical  accounting  system,  will  qualify  for 
100% funding  of  the  additional costs. 

Other  share-cost  activities  (for  example,  networks,  training,  feasibility 
awards  or  accompanying  measures)  will  qualify  for  up  to  100%  of  the 
additional  costs or  of  the costs of  the  measure. 

23 

Staff, administrative  and  operating costs. 

These  also  cover  the  costs  of  personnel  covered  by  the  Staff  Regulations  and 
other  staff,  studies, meetings  of  experts, conferences  and  congresses,  information 
and  publications,  administrative,  technical  and  operating  costs, and  certain  other 
internal  infrastructure  and  operating  costs  for  attainment  of  the  objective  of  the 
activity  of  which  they  are  an  integral  part. 

7. 

FINANCIAL  IMPACT 

7.1  Method  of  calculating  the  total  cost  of  the  operation 

* 

Staff  costs  :  14.53  million  ECU  (8.70%  of  the  total  amount  deemed 

necessary  of  167 million  ECU). 

The  1994  staff  levels  will  be  maintained,  i.e.  35  posts.  The  breakdown  of  these 
posts  is  as  follows  : 21A  +  4B  +  IOC. 

New posts will be  progressively  added  in  1995, 1996 and  1997, depending  on  the 
budget  available  each year.  These  new posts  are  warranted  by the  configuration 
of  the  programme  which  includes  new  areas  of  activity  not  covered  by the  third 
framework  programme 
recognition, 
:  measurement 
measurements  related  to  the  needs  of  society,  customs  laboratories. 

infrastructure,  mutual 

It  is important  to  note  that  the  staff  working  on  the  specific  programme  will also 
be responsible for the specific monitoring and for  the monitoring the contracts  for 
the  activities  carried  out  under  the  third  framework  programme. 

* 

* 

Administrative  costs  including  personnel  not  covered  by  the  Staff 
Regulations  :  3.67  million  ECU  (2.20%  of  the  total  amount  deemed 
necessary  of  167 million  ECU). 

Operating costs : 148.80 million ECU  (89.10% of the total amount  deemed 
necessary  of  167  million  ECU),  including  the  cost  of  accompanying 
measures,  evaluations  and  concerted  activities. 

7.2 

Itemized  breakdown  of  cost  (in  million  ECU  and  %) 

Measurements  for  quality  European  products 

66.80  -  75.15 

40-45% 

Research  related  to  written  standards 

and  technical  support  to  trade 

58.45  - 66.80 

35-40% 

Measurements  related  to  the  needs  of  society 

33.40  - 41.75 

20-25% 

Total 

(i) 

(2) 

(3) 

167 

100%(1+2+3) 
Including  14.53 million  ECU  (8.70%)  for  staff  costs and  3.67  million  ECU 
(2.20%)  for  administrative  costs. 
The  amount  deemed  necessary  for 
application  of  the  results,  is approximately  2 Mio  ECU 
Add  111 Mio  ECU  for  the  EC  programme  of  the  JRC  and  10 Mio  ECU 
for  scientific  and  competitive  support. 

the  cost  of  dissemination  and 

24 

A%  ^ 

7.3 

Indicative  schedule  of  appropriations 

The schedule will be established on the basis of the overall amounts for the  fourth 
framework  programme  adopted  indicatively for the  periods  1995-96 and  1997-98 
at the  conciliation  meeting on 21  March  1994. The RTD  appropriations for  each 
financial  year  will  be  proposed  and  adopted  each  year  on  the  basis  of  the 
resources  available  in  the  context  of  the  financial  perspective. 

Commitment 
appropriations 

Payment  appropriations 

1995 

1996 

1997 

1995 

1996 

36.00 

54.00 

1997 V 

39.00 

1998 

38.00 

9.10 

9.50 

17.11 

9.50 

14.96 

12.47 

TOTAL 

167.00 

9.10 

26.61 

36.93 

1998  and 
following 

TOTAL 

7.90 

21.93 

26.53 

38.00 

94.36 

36.00 

54.00 

39.00 

38.00 

167.00 

8. 

ANTI-FRAUD  MEASURES 

Numerous  administrative  and  financial  controls  have  been  introduced  at  every 
stage of the procedure for awarding and implementing research contracts.  These 
include: 

Prior to  conclusion  of  the  contract : 

shortlisting  of  the  proposals  on  the  basis  of  their  scientific  merit  and  of 
how  realistic  the  research  costs  are,  considering  the  nature,  duration  and 
potential  impact  of  the  project; 

analysis of the financial  data submitted by the proposers in the  negotiation 
form; 

After  signature of  the  contract 

examination  of  the  statements  of  expenditure  before  payment  at  various 
levels  (financial  control  and scientific  manager); 

on-the-spot  inspections  of  the  supporting  documents  to  detect  any  errors 
or other  irregularities.  To  tighten up these  controls,  the  Commission  has 
set up a central audit unit which is responsible for all the inspections.  The 
inspections  are  carried  out  either by members  of  the  audit  unit  or,  under 
their  supervision,  by  firms  of  auditors  with  which  the  Commission  has 
concluded  framework  contracts. 

25 

Aty 

9. 

ELEMENTS OF COST-EFï^CTIVENESS ANALYSIS 

9-1 

Specific  and quantifiable  objectives : target  population 

Theme  I :  Measurements  for  quality European  products 

a) 

The objective  is to support  European  industry in its efforts  to improve its 
competitivity  by  means  of  research,  notably  by  using  the  results  of  the 
research to produce products at the right time and price with the required 
quality. 

The  activities related  to the  3 stages of fabrication  of  a  product  are  : 

the development  of measurement  methods  and  instrumentation  required 
by researchers; 

the  development  of  generic  measurement  methods  and  instrumentation 
required  in the course of product  development; 

the  development  of  generic  measurement  and  testing  methods  and 
instrumentation  required  for  production. 

b) 

Target  population  : 

The participants will be essentially professional  research and  development 
organisations,  public  or  private,  instrumentation  industries  and  general 
production  industries. 

Promotion  will  be  made  in  collaboration  with  other  activities  (CRAFT, 
VALUE etc) to ensure the diffusion  of instrumentation methods developed 
by SME's. 

c) Justification  of  the activity : 

The pooling of scientific and technique resources to promote the  diffusion 
of  measurement  technologies; 

The  competitivity  of  European  industry; 

Economic cohesion. 

Estimated  number  of projects  for  theme  I 

It  is  estimated  that  it  will  be  necessary  to  launch  approximately  50  research 
projects for the first two sub-headings and about 100 projects for the sub-heading 
related  to production,  i.e. 200 projects  in total. 

26 

48<r 

Theme II :  Research related to written standards and technical support to trade 

The  objective  of  this  action  is  principally  to  provide  the  scientific  research 
necessary  for  the  application  of  directives,  written  standards  and,  finally, 
measurements. The results obtained will enable the efficiency  of commercial trade 
to  be improved,  including services, in the  European  Union. They will also allow 
consumer  protection  and  the  protection  of  the environment  to be  increased. 

This action  is divided  in four  themes  : 

1. 

a) 

Prenormative and applied research for the support of European legislation 

The  objective  is  to  develop  and  improve  measurement  methods  and 
instrumentation which are necessary for draft directives which establish the 
criteria  for  the  quality and  for  the safety  of  manufactured  or  agricultural 
products. 

b) 

Target  population  : 

The  results  will be  principally  used  by the  private  or  public  laboratories 
which carry out  the official  control  of products. 

c) 

Justification  of the  activity : 

The results of the projects which will be  developed in this activity will be 
immediately usable and will contribute the efficient  working of the internal 
market.  They will also make available to the laboratories of the  Member 
States,  in  particular  of  the  less  favoured  regions,  certified  reference 
materials for  the  control of quality of their  results. 

2. 

Pre-normative  research  and  direct  support  to  industry 

a) 

The  objective  is  to  develop,  at  the  request  of  European  industry,  the 
technical basis for harmonized written standards which will do not directly 
concern  community legislation  (in  consultation with  CEN/CENELEC). 

b) 

Target  population  : 

The  participants  are  essentially the  industrial laboratories  or  professional 
groups which  already  collaborate  in the  work  of  CEN/CENELEC  at  the 
level of technical  Committees. 

27 

A%(o 

c) 

Justification  of the  activity : 

In  the  framework  of  the  new  approach  defined  by  the  European 
authorities, CEN/CENELEC has been charged with the production of the 
written  technical  standards  required  for  competitivity  and  for  the  quality 
of products  produced  or  put  on to  the  European  market. 

Development  of a  European  measurement  infrastructure 

The objective  is to support the development of a European  measurement 
infrastructure  based upon the traceability of measurement results to known 
biological, chemical and physical standards. 

3. 

a) 

b) 

Target  population  : 

Measurement  and 
(EUROMET,  EUROCHEM,  EUROLAB, etc.). 

laboratories 

testing 

in  existing  organisations 

c) 

Justification  of  the  activity : 

There  exists in physical metrology  a well established  system  ensuring  the 
traceability of measurement  results.  However, this system does not cover 
all types of physical measurements.  The situation is much more  alarming 
in  chemistry  and  in  biology  where  there  does  not  exist,  in  general,  any 
mechanism  permitting  the  traceability  of  results  to be  established  on  the 
basis of internationally recognized standards. This activity aims to establish 
such a system in Europe. 

4. 

a) 

Technical  support  to  the  accreditation  and  the  mutual  recognition  of 
laboratories 

This action is destined to supply technical support to European  calibration 
testing  and  accreditation  systems  relevarit  to  global  approach  for  the 
establishment  of  conformity.  These  systems are  made  up  of  networks of 
laboratories  and  analysis and testing rings. 

b) 

Target  population  : 

The  networks  and  the  analysis  and  testing  rings  operating  in  Europe 
(EOTC, WELAC, WECC). 

Estimation  of the  number  of projects  for  Theme  II 

Approximately  100 projects and  15 concerted actions are foreseen  in this Theme. 

28 

Asy-

Theme HI : Measurements related  to the needs of society 

The  general  objective  of  this  activity  is  to  develop  and  to  improve  the 
measurement  methods  necessary  to  assure  the  quality  of  life  and  for  the 
application  of community  policies  other  than  trade  and  industry. 

This activity covers five areas : 

1. 

a) 

Measurements  related  to health  and  safety 

It  is  necessary  to  develop  measurement  and  instrumentation  methods 
necessary to ensure  the health and safety  of workers.  A similar activity is 
necessary for  domestic and farm  animals. 

b) 

Target  population  : 

Laboratories and national institutes carrying out controls for the protection 
of the health and safety  of the population,  in particular, workers or  other 
populations  exposed  to  physical or biological risks. 

c) 

Justification  of the  activity : 

social cohesion; 
protection  of populations  and workers at risk; 
respect  of directives. 

2. 

a) 

Measurement  related  to  the monitoring  of the  environment 

The objective is to develop and to improve the measurement methods  for 
the  determination  of  the  quality  of  the  air,  of  the  sea,  of  soils  and  of 
wastes. 

b) 

Target population  : 

Official  and  private  laboratories  who  are  charged  with  the  quantitative 
quality  control  of  water,  air  and  soils  (including  industrial  and  domestic 
wastes). 

c) 

Justification  of  the  activity : 

Community  environment  policy; 
Cohesion. 

Measurements  required  by the judicial  system 

The  objective  is  to  develop  and  harmonize  the  measurement  methods, 
which are very specialized  and often  very sophisticated, in the framework 
of the cooperation  of  the  national judicial systems. 

3. 

a) 

29 

A%\ 

b) 

Target  population  : 

c) 

4. 

a) 

The  participating  laboratories  will,  in  general,  be  the  large  specialized 
national  laboratories. 
Justification  of  the activity : 

cooperation  of the judicial systems; 
exploitation,  in  a  very  specialized  sector,  of  the  measurement 
technologies  available in the  Community. 

Measurements  required  by custom services 

Customs laboratories  and laboratories concerned with the suppression of 
fraud have expressed the need to coordinate at a European  level so as to 
harmonize  and  to  improve  the  results  of  their  control  measures.  This 
concertation should enable the control of illegal and dangerous substances 
and allow sub-standard products and counterfeit  and adulterated  products 
to be  rejected. 

b) 

Target  population  : 

Customs  laboratories  and  official 
suppression  of fraud. 

laboratories  concerned  with 

the 

c) 

Justification  of the activity : 

Coordination  at  the  European  level  of  official  laboratories  : 
harmonization  of customs technical controls; 
Economic  cohesion. 

5. 

a) 

Measurements  in support  of European  cultural  heritage 

The objective is to develop quantitative methods of evaluation of the state 
of  material  objects,  as  well  as  measurement  methods  which  allow  the 
efficiency  of  protection  techniques  against  pollution  and  ageing  to  be 
controlled. 

b) 

Target  population  : 

The laboratories  of large European  museums. 

c) 

Justification  of  the activity : 

regrouping  and diffusion  of specific  techniques; 
protection  of European  cultural  heritage; 
European  cohesion. 

30 

A SI 

Estimation of the number of projects for Theme III 

About 50 research projects and about 15 to 20 concerted actions are foreseen for 
this theme. 

9.2 

Justification  of the activity 

The total  number of  projects is estimated at 350 shared cost projects and 25 to 
35 concerted actions. 

The Community financing will be of mixed type  : shared cost action /  concerted 
action. 

A  Community  contribution  upto  100  % is  possible  where  the  work  could  be 
considered  as  urgent  and  priority  research  necessary  for  the  development  or 
implementation  of community policies. 

93  Monitoring and evaluation 

The  uncertainty  factors  are  relatively  limited,  as  in  general  the  fundamental 
research  has  already.been  carried  out.  However,  unforeseen  technical  factors 
could slow down or stop the work.  It is up to  the services  of  the Commission, 
assisted by independent  experts, to evaluate the risks and to take the necessary 
measures case by case. 

The monitoring of the projects will be carried out by independent experts at the 
request of the services of the Commission. 

A  general evaluation of  all the  projects will be carried out in the middle of the 
programme by a group of experts mandated by the Commission in concertation 
with the management committee (CAN). 

In order to contribute to  the global evaluation of  community activities  foreseen 
in  article  4(2)  of  the  decision  adopting  the  fourth framework programme,  the 
Commission  will,  in  due  course,  instruct  independent  experts  to  carry  out  an 
evaluation of the activities in the fields directly covered by the present programme 
and of their management during the five years prior to the evaluation. 

At the end of the present programme, the Commission shall instruct independent 
experts to conduct a final evaluation of  the results achieved  compared with the 
objectives set out in Annex III to the fourth framework programme and Annex I 
to this Decision.  The final evaluation  report shall be forwarded  to the Council, 
the European Parliament and the Economic and Social Committee. 

31 

4% 

Proposal  for  a 

COUNCIL DECISION 

94/0084(CNS) 

adopting a specific  programme  of  research 

and  technological  development 

in the field of 

environment  and  climate 

(1994-1998) 

^*S 

A 

SPECIFIC PROGRAMMES 1994-98 
ENVIRONMENT AND CLIMATE 
AND 
MARINE SCIENCE AND TECHNOLOGY 

GENERAL  EXPLANATORY 
MEMORANDUM 

The  implementation  of  the Fifth  Community Programme  of Policy and Action  in relation 
to the Environment and Sustainable  Development will, in a spirit of shared responsibility, 
allow us to improve the quality of life of the people of Europe and create conditions which 
will favour the transition to lasting and sustainable economic development.  This strategy will 
help make businesses more competitive and improve employment  prospects in the Union. 

Accurate * knowledge  of  the  way  in  which  the  various  components  of  the  environment 
function and react to man's influence will enable us build up the scientific base we need in 
order to frame and implement an integrated strategy for the environment aiming at a high 
level  of  protection.  In  order  better  to  define  and  implement  a  lasting  and  sustainable 
development strategy, we must also understand the socio-economic factors responsible for 
environmental change and assess the impact of that change on natural resources, society and 
economic activity.  The prenormative and prelegislative aspects of environmental research 
are therefore closely linked to the observation and understanding of basic natural processes 
and to knowledge of the socio-economic implications of environmental change. 

Our  chief  aim  in  the  thematic  area  of  the  Environment  is  therefore  to  observe  the 
characteristics  and  understand  the  basic  processes  of  the  climate  and  of  natural  systems 
(continental,  oceanic  and atmospheric),  identify  and assess  the  adverse  effects  of  human 
activity on them and identify ways of preventing such effects  or remedying them where this 
proves  necessary.  The  elements  to be  taken  into account  include,  most  particularly,  the 
effects of industrial activity, transport, tourism, uncontrolled disposal of waste, urbanization, 
misuse of water, types of land use and management, and agricultural and forestry practices. 

In  view  of  the  interactions  between  the  climate,  the  oceans,  the  atmosphere  and  the 
biosphere, we need not only to study each of these systems in detail, but also to examine the 
way they interact. 

ENV/REVl/PG/K/10 Mated 1994 

V)i 

Within each  of  these systems, major  processes  such as  matter and energy fluxes and the 
mechanisms which control them will be taken into consideration, given that we must be able 
to understand, model and predict the way in which they are disturbed by human activity on 
the European scale if we are to attain our research goals on a planetary scale and construct 
the  scientific  base  on  which  to  implement  the  Fifth  Programme  of  Action  on  the 
Environment. 

We shall also study fluxes and interactions between systems, since to understand the global 
system and its regional and local components we must quantify these fluxes and understand 
the interactions. 

In accordance  with the  principle  of  subsidiarity,  Community  research  will  focus  on  areas 
where  the  existence  of  European  networks,  the joint  use  of  infrastructures  and  national 
research capabilities and the coordination and integration of Member States' research are 
liable  to be  most effective  and highlight  Europe's contribution  to world  research.  This is 
particularly true in the fields of global  change and oceanography  research, where the sum 
of the national, Community and global  research effort  is greater than the individual parts. 

The growing requirements of research into the natural environment and global change call 
for considerable effort in certain technological areas.  If the study of natural processes and 
environmental change is to be broadened, substantial progress will have to be made in the 
instrument technologies linked to observation and monitoring of the continental and marine 
environments.  These  technologies  allow  accurate  diagnosis  to  be  made  of  changes  and 
disturbances  arising from natural causes or from human activity.  Similarly, stimulation of 
the  application  of  space  technology  in  the field of  Earth  observation  by  means  of  some 
support  for  the  development  of  space  sector  instrumentation  and  a  more  significant 
contribution to the ground sector and to data use would improve our capacity to diagnose 
environmental  change and assess its consequences. 

The programmes will also contribute to the development of new and profitable technologies, 
which it will be possible to apply to the design of industrial products whose manufacture and 
use  are  likely  to  have  a  reduced  impact  on  the  environment.  This  will  in  turn  promote 
technologies to recycle materials and products.  Where it is not possible to recover or recycle 
waste,  efforts  will  be  made  to  promote  technologies  for  processing  it  or  disposing  of  it 
without  risk  to  human  health  or  the  environment.  Research  is  also  planned  into 
technologies  to  reduce and process industrial waste and effluent.  Finally, the programme 
will  try to  develop  methodologies  for assessing  industrial  risks, as well  as technologies  to 
forecast,  prevent and reduce natural risks. 

ENV/REVl/PG/al/10 March  19M 

A<&> 

As in the past, we shall ensure  that the programme objectives are met by networking the 
research potential of the Member States, on a competitive basis, and by coordinating RTD 
activity undertaken at Union level with the corresponding activities in the Member States, 
the effect  of which will be to reinforce the overall RTD effort  in Europe. 

ENV/REVI/PG/W10 Mardi  1994 

AH<i 

PROPOSAL FOR A COUNCIL DECISION 
of..... 

adopting a specific programme of 
research and  technological development  (1994-98) 
in the field of environment  and  climate 

THE  COUNCIL OF THE  EUROPEAN  UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130i(4)  thereof, 

Having  regard  to  the  proposal  from  the  Commission,1 

Having  regard  to  the opinion  of  the  European  Parliament,2 

Having  regard  to  the opinion  of  the Economic and  Social  Committee,3 

Whereas; by Decision ../../EC,4 the Council and the European  Parliament  adopted a  fourth 
framework  programme  of  Community  activities  in  the  field  of  research,  technological 
development  and  demonstration  (RTD)  for  the  period  1994-98 specifying  inter alia  the 
activities  to  be  carried  out  in  the field of  environment  and  climate; whereas  this  Decision 
takes  account  of the grounds set  out  in the preamble  to  that  Decision; 

Whereas  Article  130i(3)  of  the  Treaty  specifies  that  the  framework  programme  is  to  be 
implemented  through  specific  programmes  developed  within  each  activity  under  the 
framework  programme; whereas each specific programme must define the detailed rules for 
implementing  it, fix its duration and  provide for  the means deemed  necessary; 

Whereas this programme may contribute appreciably to increased growth,  competitiveness 
and  employment  in the Union, as indicated  in the  White  Paper  "Growth,  competitiveness, 
employment".  (COM/93/700) 

Whereas  this programme will be carried  out mainly through shared-cost  activities, but also 
through  concerted  actions and  preparatory,  accompanying  and  support  measures; 

1  OJ  L ..., ..., p. .. 

2  OJ  L ........  p. .. 

3  OJ  L ........  p. .. 

4  OJ  L ........  p. .. 

ENV/REVl/PG/at/10 Marcb  I»« 

A°& 

Whereas,  in  accordance  with  Article  130i(3),  an  estimate  should  be  made  of  the  financial 
resources  needed  to carry out  this specific  programme;  (whereas  the final amounts will  be 
decided upon by the budgetary authority in accordance with the relative priority assigned  to 
the  areas  covered  by  this  programme  within  activity  I  under  the  fourth  framework 
programme); 

../../EC  (fourth  framework  programme)  specifies  that  the  overall 
Whereas  Decision 
maximum amount of  the fourth  framework  programme will be reexamined by no later than 
30 June  1996  with  a  view  to  its  being  increased;  whereas,  as  a  consequence  of  that 
reexamination,  the  amount  deemed  necessary  to  carry out  this programme  could  increase; 

Whereas  the  activities  to  be  carried  out  under  this  programme  will  help  to  develop  the 
scientific  knowledge  and  technical competence  which  the  Union  needs in order to fulfil  the 
environmental  mandate  conferred  on  it  in Part Three,  Title  XVI  of  the  Treaty; 

Whereas the content of the fourth framework programme of Community RTD activities was 
established  in  accordance  with  the  subsidiarity  principle; whereas  this  specific  programme 
specifies  the  content  of  the  activities  to  be  carried  out  in  accordance  with  this  principle  in 
the  field  of  Environment  and climate; 

Whereas Decision ../../EC (fourth framework programme)  lays down that Community action 
is justified  if,  inter alia,  the research helps to reinforce  the economic  and social  cohesion  of 
the  Union  and  to  encourage  its  harmonious  development  while  at the  same  time  meeting 
the objective  of scientific  and technical quality; whereas this programme is intended to help 
meet  these  objectives; 

Whereas this programme will help to strengthen synergy between the RTD activities carried 
out  in  the  field  of  environment  and  climate  by  research  centres,  universities  and 
undertakings,  in  particular  small  and  medium-sized  enterprises  in  the  Member  States  and 
between  these  and  the  corresponding  Community  RTD  activities; 

Whereas the rules for the participation of undertakings, research centres (including the JRC) 
and  universities  and  the  rules governing  the  dissemination  of  research  results  provided  for 
in Article  130j of  the Treaty  apply  to this specific  programme; 

Whereas,  in  accordance  with Article  130m  of  the  Treaty,  it  may be  appropriate  to  engage 
in  international  cooperation  activities  with  international  organizations  and  third  countries 
other  than  the  countries  covered  by the  EEA  Agreement  for  the  purpose of  implementing 
this  programme; 

ENV/REVl/PG/at/10 Maccfa  1994 

4*36 

Whereas this programme  also comprises activities for the dissemination and utilization of 
RTD results, in particular vis-à-vis small and medium-sized enterprises, and especially those 
located in the Member States or regions which participate least in the programme, as well 
as activities promoting the mobility and training of researchers within this programme to the 
extent necessary for the proper implementation of the programme; 

Whereas provision should be made for measures to encourage the involvement of SMEs in 
this programme, in particular through technology promotion measures; 

Whereas basic research in the field of environment and climate must be encouraged owing 
to  the  importance  of  a  detailed  understanding  of  their  functioning  to  the  design  and 
implementation  of a strategic approach to the lasting protection of  the environment; 

Whereas  an  assessment  should  be  made  of  the  economic  and  social  impact  and  any 
technological risks associated with  the activities carried out under this programme; 

Whereas progress with this programme should be continuously and systematically monitored 
with a view to adapting it, where appropriate, to scientific and technological developments 
in this area; whereas in due course there should be an independent evaluation of progress 
with  the programme so  as to provide all the background  information  needed  in order to 
determine the objectives of the fifth RTD framework programme; whereas at the end of this 
programme  there should be a final evaluation of  the  results obtained  compared with the 
objectives set out in this Decision; 

Whereas, in the Resolution of the Council and the representatives of the Governments of 
the Member States meeting within the Council on a Community Programme of Policy and 
Action in relation to the Environment and Sustainable Development,5 scientific research and 
technical progress were identified  as one of the main instruments with which to implement 
this policy; 

Whereas the JRC may participate in the indirect activities covered by this programme; 

Whereas the JRC will also contribute, through its own programme of direct activities, to the 
attainment of the Community RTD objectives in the areas covered by this programme; 

Whereas the Scientific  and Technical  Research Committee  (Crest) has been consulted, 

5  OJ C 138, 17.5.1993, p. 1. 

ENV/REVl/PG/al/10 Man* 1994 

6 

AM 

HAS ADOPTED THIS DECISION: 

Article 1 

A specific  programme of research and technological  development  [and of  demonstration] 
in the field of  environment and climate, as set out  in Annex  1, is hereby adopted  for  the 
period from (date of adoption of this programme)  to 31 December 1998. 

Article 2 

1. 

2. 

3. 

4. 

The amount deemed necessary for carrying out the programme is ECU  532 million, 
including 7.44% for staff  and administrative expenditure. 

An indicative breakdown of this amount is given in Annex II. 

The amount deemed necessary for carrying out the programme, as indicated above, 
could  increase  as  a  result  of  and  in  accordance  with  the  Decision  referred  to  in 
Article 1(3) of Decision ../.TEC (fourth framework programme). 

The  budgetary  authority  shall  determine  the  appropriations  available  for  each 
financial  year in accordance with the scientific and technological priorities set in the 
fourth framework programme. 

Article 3 

Detailed rules for implementing this programme, in addition to those referred to in Article 5, 
are set out in Annex III. 

Article 4 

1. 

2. 

The  Commission  shall  continuously  and  systematically  monitor  with  appropriate 
assistance from independent, external experts, the progress within this programme in 
relation to the objectives set out in Annex I.  It shall in particular assess whether the 
objectives, priorities and financial resources are still appropriate.  Where appropriate, 
it shall submit proposals to adapt or supplement this programme depending on the 
results of this monitoring process. 

In order to contribute to the overall assessment of Community activities provided for 
in  Article 4(2)  of  the  Decision  adopting  the  fourth framework programme,  the 
Commission shall, in due course, have an assessment made by independent  experts 
of the activities carried out in the fields directly covered by this programme, and of 
their management during the five years preceding the assessment. 

ENV/REVl/PG/to/22 March 1994 

/ 

M S' 

3. 

1. 

At the end of this programme, the Commission shall instruct independent experts  to 
conduct  a final evaluation  of  the  results  achieved  compared  with  the  objectives  set 
out in Annex III to the fourth framework programme and Annex  I to this  Decision. 
The  final  evaluation  report  shall  be  forwarded  to  the  Council,  the  European 
Parliament  and the  Economic  and Social  Committee. 

Article  5 

A  work  programme  shall  be  drawn  up  by  the  Commission  in  accordance  with  the 
objectives set out in Annex I and shall be updated where appropriate.  It shall set out 
in  detail  the  scientific  and  technological  objectives  and  specify  the  stages  in  the 
implementation  of  the  programme  and  the  proposed  financial  arrangements. 

The  work  programme  may also  provide  for  participation  in  certain  activities  within 
the  EUREKA  framework. 

2. 

The  Commission shall  issue calls  for proposals  for  projects  on  the basis of  the  work 
programme. 

Article  6 

1. 

The  Commission  shall be  responsible  for  the  implementation  of  the  programme. 

In  the  cases  provided  for  in  Article  7(1)  the  Commission  shall  be  assisted  by  a 
committee  composed  of  representatives  of  the  Member  States  and  chaired  by  the 
representative  of  the Commission. 

2. 

The  representative  of  the  Commission  shall  submit  to  the  committee  a  draft  of  the 
measures  to be taken.  The committee  shall  deliver  its opinion  on the  draft within  a 
time  limit which the chairman may lay down according  to the  urgency of the  matter. 
The  opinion  shall  be  delivered  by  the  majority  laid  down  in  Article  148(2)  of  the 
Treaty  in the case of decisions which the Council  is required  to adopt  on a  proposal 
from the Commission.  The votes of the representatives  of the Member States within 
the committee shall be weighted in the manner set out in that Article.  The  chairman 
shall  not  vote. 

The  Commission  shall  adopt  the  measures  envisaged  if they  are  in accordance  with 
the  opinion  of  the  committee. 

If the  measures envisaged  are not  in accordance  with the  opinion  of  the  committee, 
or  if  no  opinion  is  delivered,  the  Commission  shall,  without  delay,  submit  to  the 
Council  a  proposal  relating to the  measures  to  be  taken.  The  Council  shall  act by a 
qualified  majority. 

If,  on  the  expiry of  a period which  may in no  case  exceed  one  month  from  the  date 
of  referral  to the Council, the Council  has not acted, the  proposed  measures shall  be 
adopted  by the  Commission. 

ENV/REVl/PG/a</10 Man*  1994 

8 

AV>()  H 

1. 

The procedure laid down in Article 6(2) shall apply to: 

Article  7 

the  preparation  and  updating  of  the  work  programme  referred  to  in 
Article 5(1); 
the evaluation of RTD projects put forward for Community funding and of the 
estimated amount of funding where this exceeds  ECU  0.35 million; 
the measures to be undertaken to evaluate the programme; 
any adjustment to the indicative allocation of the amount set out in Annex II 
which has not been the subject of a budgetary decision. 

2. 

The Commission shall inform the Committee, at each of its meetings, of progress with 
the implementation of the programme as a whole. 

Article 8 

The Commission is hereby authorized, in accordance with Article 228(1) of the Treaty, to 
negotiate international cooperation agreements with European* third countries not covered 
by the EEA Agreement and with international organizations with a view to involving them 
in all or part of the programme. 

This Decision is addressed to the Member States. 

Article 9 

Done  at Brussels, 

For the  Council 
The President 

ENV/REVl/PG/al/15  March  1994 

jteo 

SPECIFIC PROGRAMME 1994-98 

ENVIRONMENT 

ANNEX I 

SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES AND  CONTENT 

INTRODUCTION 

This  specific  programme  fully  reflects  the  approach  embodied  in  the  fourth  framework 
programme,  applying  its  selection  criteria  and  specifying  its  scientific  and  technological 
objectives. 

Chapter 3  (introduction  and  Parts A  and  B)  of  Annex III,  Activity  1  of  the  framework 
programme forms an integral part of this programme. 

The programme incorporates the degree of continuity needed to maintain and develop the 
RTD capacity set in place during previous programmes.  We now need to pursue and make 
use  of  the  work  to  build  up  environmental  RTD  at  European  level,  in  particular  by 
consolidating the establishment of networks of excellence. 

As is made clear in the explanatory memorandum, however, the programme will focus on 
a limited number of themes and areas where action by the Union is justified. 

The  programme covers three themes: (1)  the natural environment, environmental quality 
and  global  change,  (2)  environmental  technologies  and  (3)  space  technology  applied  to 
environmental monitoring and research. 

ENV/REVUPG/at/lQ March 1994 

1" 

SLOA 

In accordance with the Framework Programme and the Commission's working document 
COM(93)459,  the  research  conducted  on  each  theme  and  on  the  various  areas  which 
constitute  them  will have  to  meet  the  following  criteria: 

1. 

2. 

3. 

It  must  help  strengthen  the  scientific  base  needed  to  implement  the  Union's 
environment  policy by developing  the strategic  capacity  for such  implementation 
and  by  reconciling  the  notions  of  environmental  protection  and  the  sustainable 
management  of  resources  with  Europe's  legitimate  hopes  for  development  and 
economic  growth (themes  1 to  3). 

It must help meet the objectives of the world programmes of research into global 
change (themes  1 and 3) by focusing on those aspects where only the  intervention 
of the Union, in the form of large projects organized  in concert with the  Member 
States,  is liable  to  produce  significant  results. 

It  must  contribute  to  the  development  of  environmental  products,  technologies, 
techniques and services which meet new needs and the exploitation of which could 
help to boost economic growth (on a lasting and sustainable basis) and create new 
jobs, as is stressed in the Commission's White Paper on Growth,  Competitiveness 
and  Employment  (COM(93)700)  (themes  2 and  3). 

These  actions will be carried out on  the basis of  close cooperation  between  universities, 
scientific  institutions  and  undertakings  in  the  Member  States,  including  SMEs. 

Technology  stimulation measures, based on experience  gained  in CRAFT activities  and 
feasibility awards, will be introduced in order to encourage and facilitate participation by 
SMEs. 

The  programme  will  be  implemented  in  close  collaboration  with  the  other  specific 
programmes, in particular those on "Industrial and Materials Technologies", "Non-nuclear 
Energy", "Agriculture and Fisheries", "Measurement and Testing", 'Transport", 'Targeted 
Socio-economic  Research",  'Telematics" and  "Marine  Science  and  Technology". 

Complementary  actions will be implemented  by the JRC in areas where it is competent, 
in  particular  in  the  areas  A  I "Climate  change  and  impact  on  natural  resources",  B  II 
"Instrument,  techniques  and  methods  for  monitoring 
the  environment",  B  III 
"Technologies  and  methods  to  protect  the  environment",  also  in  Area  C  "Space 
techniques  applied  to  environmental  monitoring  and  research",  described  below.* 

A  more  detailed  description  of  the JRCs  research  activities, which  are  defined  in a  proposal  for  a  separate 
Council  Decision, is given in Annex  IV for information  in order to ensure  the transparency in relation  to their 
complementarity  with corresponding  indirect actions. 

ENV/RBVl/PGfe/Z) man UM 

11 

A 

RESEARCH INTO THE NATURAL ENVIRONMENT, ENVIRONMENTAL 
QUALITY AND GLOBAL CHANGE 

CONTENT 

Area  I: 

Climate change  and  impact on  natural  resources 

(1) 

Dynamic  processes in the climate system 

— objectives — 

(a)  «  To work  towards a better understanding and description  of  the basic processes  of 
the climate system, particularly as regards their reciprocal  influences  on the global 
and  regional  scales. 

(b) 

To  improve  climate  models  by  taking  account  of  and  incorporating  into  them 
improved  knowledge  of  key climate  processes. 

— research  tasks — 

1. 

2. 

3. 

4. 

5. 

Analysis and description of land surface/atmosphere interactions and their role m 
the  hydrological  cycle,  particularly on  a  regional  scale. 

Analysis  and  description  of  the  couplings  between  atmospheric  processes  and 
oceanic  circulation. 

Analysis and description of atmosphere-cryosphere-ocean couplings and their role 
in the climate  system. 

Studies  of  radiative  couplings, including  the  role of  greenhouse  gases,  clouds  and 
their dynamics,  and aerosols. 

The global  cycles of greenhouse gases, their atmospheric  balance  and  their  fluxes 
and transformations  in the  oceans, the  biosphere  and  the  lithosphère. 

(2) 

The climate  system in the past 

— objective — 

To  contribute  to  the  high-resolution  reconstruction  of  climatic  conditions  and 
environmental  conditions  linked  to  the  climate  with  a  view  to  enriching  our 
documentation  on the climate system and improving our understanding  of the way 
it works. 

— research  tasks — 

1. 

Reconstruction  of climatic and environmental  conditions  on  a global and  regional 
scale  over  recent  climatic  cycles  (+/-  250 000 years). 

ENV/REVl/PG/w/10 Marx* 1994 

12 

QLob 

2. 

3. 

4. 

Deep  cores  in  old  glacial  strata  and  associated  glaciological 
Modelling  of  ice  rheology  and  glacial  flow. 

investigation. 

Reconstruction  of  the  evolution  of  the  climate  and  its variability  in the  Holocene 
and  the  late  Holocene. 

Analysis of the dynamics of climate change and the variability of the  reconstructed 
climates. 

(3)  Modelling  and  analysis of climate  change and  variability 

— objectives — 

(a) 

(b) 

1. 

2. 

3. 

4. 

5. 

To  be  able  to  describe  the  evolution  of  the  climate  and  its  variability  over  the 
coming  decades  and  centuries. 

To  help  develop  high-resolution  scenarios  of  climatic  and  environmental  change, 
for  use  in forecasting  the  impact  of  climate  change. 

To  meet  this  objective,  Europe's  climate  modelling  centres  will  be  associated  in 
order  that  the  scientific  teams  may  have  access  to  the  latest  models  and 
instruments. 

— research  tasks — 

Development  and validation  of  improved  climate  models. 

Analysis and description of  the present climate  and  its variability using global  and 
regional  data;  dynamic  assimilation  of  data  and  other  advanced  analytical 
techniques. 

Analysis  of  the  climate  variability  predicted  by  the  current  climate  models; 
development and application of statistical methods suitable for validating the model 
forecasts  in relation  to  actual  data. 

Development  of  models  for  the  seasonal  forecasting  of  climate  parameters, 
including models for the seasonal  forecasting  of extremes  (precipitation, drought); 
development  of  methods  to validate  these  models. 

Development  of  downscaling  methods  to  achieve  accurate  simulation  of  weather 
variability 
temporal  resolution. 
Development  of  improved  forecasts  of  change  in  the  type,  distribution  and 
frequency  of  meteorological  extremes. 

(e.g.  precipitation)  with  high  spatial  and 

ENV/REVl/PG/jc/10 March 1994 

13 

Zo*t 

6. 

7. 

Study of  feedback  into the climate system of  longer-term  environmental  change 
(decades/centuries), with particular  regard to  the hydrological  cycle and changes 
in the biosphere. 

Study of  changes  in average sea-level,  statistics  on  sea-level,  storms and floods, 
especially in areas subject to flooding. 

(4) 

Impact on natural resources 

— objectives — 

To assess the major reactions and the elasticity of natural resources under pressure 
from man, as well as climate variability and change. 

(4.1)  European water resources 

— objective — 

To; provide  a  full  assessment  of  surface  and  underground  water  resources  and 
develop strategies for their future  management. 

— research tasks — 

1. 

2. 

3. 

4. 

5. 

6. 

Assessment of the response of water resources  to change, climate variability and 
more intensive exploitation; probable resource trends. 

Development of methods to estimate, forecast and improve the availability of water 
resources following environmental change, especially in regions where there is likely 
to be a gap between availability and demand. 

Development of techniques to reestablish and improve underground water reserves. 

Assessment of the impact of a variation in sea level on water supplies in coastal 
regions and in relation to other factors. 

Assessment and validation of techniques and methods of integrated management. 

Development of techniques to re-establish the quality of surface and underground 
water  which  has  been  affected  by  pollution  caused  by  agricultural  practices  or 
unsuitable land use. 

ENV/REVl/PG/a(/10 March 1994 

14 

Oof 

(4.2)  Agriculture, forests and tlie natural environment 

— objective — 

To  study  and  assess  the  probable  effects  of  climate  and  other  environmental 
change on crops, forests and other land ecosystems and its consequences for land 
resources in Europe; to provide a basis for assessing the socio-economic impact of 
these consequences. 

— research tasks — 

Analysis  and  description  of  the  long-term  impact  of  climate  change  and  other 
human factors on natural vegetation and on agricultural  productivity in Europe. 

Development,  validation  and  application  of  regional  mechanistic  models  which 
describe  the  effects  of  changes  to  the  climate  and  to  parameters  linked  to  the 
climate on forests and other natural ecosystems, taking into account other human 
factors. 

Development of forecasting models to assess the reaction of biodiversity to long-
term  environmental  change;  development  of  a  scientific  base  for  in  situ 
conservation strategies; establishment of criteria for optimization of the landscape 
structure with a view to preventing extinction and maintaining appropriate diversity. 

Study of  the particular effects  of  climate change  on  the  northern forests  and on 
marginal ecosystems such as tundra and taiga in the arctic and subarctic zones. 

Integrated studies of the effects  of the climate and of human factors on mountain 
ecosystems and establishment of links to assess socio-economic impact. 

Study of trends in the risk of flooding and landslides in mountainous terrain (e.g. 
the Alpine region), as linked, notably, to the effects  of a change in land use and 
to a change in snow and ice cover. 

Development of models to assess the potential impact of increased UV-B radiation 
on the environment and on health. 

Assessment of the way in which land use, through such activities as forestry, 
agricultural  practices, urbanization, the collection  and processing of waste, 
water  drainage,  concentration  of  specific  industrial  activities  in  coastal 
zones, tourism and civil engineering projects, can  influence  eutrophication 
and the contamination  of aquatic systems. 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

ENV/REVl/PG/at/10 March 1994 

15 

2o6 

9. 

Development of strategies to attenuate and manage the effects  of the anticipated 
changes. 

(4.3)  Land resources and the threat of desertification in Europe 

— objectives — 

(a) 

To provide an integrated approach to understanding the process of desertification 
in Europe in the context of climate change.  This will take account of the complex 
system of varying interdependent factors which lead  to the  deterioration  of  land 
resources in areas susceptible  to  desertification. 

(b) 

To develop  the scientific  foundations  for rational  management  of land  resources 
in certain parts of  Europe which are threatened or affected  by desertification. 

— research tasks — 

1. 

Integrated research to assess qualitatively and quantitatively  the relative roles of 
the various processes  involved in desertification: climatic, hydrological, biological 
and soil-related. 

2.  Modelling  of  the  complex  dynamics  of  the  various  processes  concerned,  on 
different spatial and temporal scales, in systems which are desertified or susceptible 
to desertification, including their repercussions on the climate, so as to predict the 
future course of the phenomenon. 

3. 

4. 

Setting-up of  suitable sets  of  data with which  to detect  any change  and validate 
models; identification  of indications of potential  desertification. 

Development and improvement of counter measures and strategies to control and 
reduce the deterioration of land resources in areas susceptible  to desertification, 
including assessment of essential technological intervention. 

Area II: 

Atmosphere physics and chemistry: Biosphere processes and consequences 

II. 1  Atmosphere  physics and chemistry 

— objectives — 

(a) 

To understand and predict the processes which are depleting the ozone layer in the 
stratosphere. 

ENV/REVl/PG/at/lO March  1994 

16 

dio-f 

(b) 

To  understand  and  quantify  the chemical  processes  in the  troposphere;  to  assess 
the  contribution  of  regional  processes  (on  a  European  scale)  to  environmental 
change  on  a hemisphere  or  planetary scale. 

— research  tasks — 

(1) 

Stratosphere chemistry and depletion of the ozone layer 

1. 

2. 

Collection  of data,  interpretation  and  modelling of  the dynamics of and  trends in 
the chemical composition of the lower stratosphere  at high and  medium  latitudes 
in the northern hemisphere; detection of the beginning and the extent of anomalies 
of a chemical nature and of the resulting loss of ozone; mapping of trends in ozone 
and  trace  compound  concentrations  in the  lower  stratosphere  in time and  space; 
assessment  of  the  impact  of  chemically  anomalous  air  being  transported  towards 
lower  latitudes. 

Understanding  and  modelling of  the homogeneous  and  heterogeneous  processes 
which  influence  the  distribution  and  spread  of  the  active  radicals  of  halogens, 
nitrogen and hydrogen in the stratosphere; study of the dynamics and composition 
of. tfre  air  in the  lower stratosphere; assessment  of  the incidence of and  trends in 
solar UV radiation in Europe; assessment of troposphere/stratosphere  exchanges. 

(2) 

Troposphere physics and chemistry 

1. 

2. 

3. 

4. 

Self-cleansing capacity of the atmosphere: study of the chemical and meteorological 
processes  which control  concentrations  of  oxidizing  compounds  such as  hydroxyl 
and  ozone  radicals, including the effect  of aircraft  exhaust emissions on  the  level 
of ozone in the atmosphere and the effect  of emissions in the Mediterranean basin 
on  the free  troposphere  in other regions. 

Identification  of  the  origins  of  and  the  physio-chemical  alterations  to  aerosol 
particles  in  the  atmosphere  and  their  interactions  with  clouds;  studies  of  the 
properties  and  chemistry  of clouds. 

Quantification  of the role of natural emissions in atmosphere chemistry: release of 
volatile organic compounds by vegetation and  their  contribution  to the  formation 
of  ozone, release of sulphur  compounds  through  biological  activity  in  the  marine 
environment  and  biological  release  of  reduced  and  oxidized  forms  of  nitrogen 
(dinitrogen  oxide and  nitrous oxide); assessment  of  the  impact  of  emissions  from 
fossil  fuels,  e.g.  using  installations  of  the  EUPHORE  fumigation  chamber  type 
(European  photoreactor). 

Characterization  of "chemical  alarm signals" of global  change  in  the  atmosphere, 
such  as  the  depletion  of  troposphere  ozone  in  the  Arctic  and  high  winter 
concentrations  of  nitrogen  dioxide and  nitrous  acid  in towns. 

ENV/RJEVl/PG/a(/10 March 1994 

17 

*« 

n.2:  Biosphere processes 

— Objectives — 

(a) 

(b) 

To  understand  the  processes  taking  place  within  land,  aquatic  and  coastal 
ecosystems  and  the  way  and  the  extent  to  which  they  are  disturbed  by 
environmental change (including the effects  of UV-B radiation). 

To  understand  the  role  of  biodiversity  in  ecosystems;  to  understand  the 
mechanisms which control  the maintenance or evolution of biodiversity and how 
these mechanisms are influenced  by environmental change. 

(1) 

The functioning of ecosystems 

— research tasks — 

1. 

Analysis of ecosystem  processes; identification  of  disturbance  to  these  processes 
following changes in environmental factors, but allowing for their variability in time 
and space. 

Emphasis  should  be  placed  on fluxes of  chemical  elements,  water  and  energy 
within and between ecosystems (e.g. between land and coastal ecosystems), on the 
physio-chemical and biological mechanisms which control such fluxes, in particular 
the  organic  matter  cycle,  and  on  feedback  processes  (e.g.  those  which  control 
gaseous emissions from ecosystems to the atmosphere, the absorption and release 
of carbon, etc.). 

Quantification  of  organic  and  inorganic  pollutant  fluxes  within  and  between 
ecosystems; analysis of the behaviour and transformation of these pollutants and 
their effects  on ecosystem processes. 

Development  of  indicators  related  to  the  environmental  effects  of  different 
pollutants  and  greenhouse  gases.  If  necessary,  these  may be  differentiated  by 
region in order to guide the technological choices and strategies should there be 
an  exchange  between  the  emissions.  Such  research  could  contribute  to  the 
definition of indicators sensitive to the reduction of different  pollutants. 

Studies  of  the  factors  which  control  the  stability  of  ecosystem  structures,  their 
adaptation and their resistance to environmental change. 

Assessment of the effects  of environmental factors on the key biological processes 
of plants and of microbe populations. 

Development  of  functional  analysis  methods  for  the  integrated  management  of 
ecosystems and selected habitats. 

2. 

3. 

4. 

5. 

6. 

ENV/R£Vl/PG/at/10 March 1994 

18 

ZeQ 

7. 

Determination  and  comparison  of  interactions  and  links  between  various 
process  and impact phenomena  at regional and local scales, such as the links 
between eutrophication and contamination, and changes in land use; impact of 
physical processes in contrasting situations. 

(2)  Alteration of processes as a result of UV-B radiation7 

1. 

2. 

3. 

4. 

Greater  accuracy  in  the  relationship  between  the  dose,  depending  on  the 
wavelength  of  the  UV  radiation,  and  the  response,  in  cases  with  the  most 
significant  effects. 

Identification  of  the  mechanisms  controlling  the  adaptation,  tolerance  and 
susceptibility of living beings at genotype and phaenotype level. 

Quantification  of  the  synergetic/antagonistic  interactions  between  UV-B 
radiation  and other aspects of global  change, e.g.  increased  temperature and 
co2. 

Assessment of the chain of secondary effects  of UV-B radiation on ecosystem 
processes  and on biogeochemical  cycles, e.g.  changes in composition,  species 
associations, the speed of litter decomposition, etc. 

(3) 

Biodiversity and environmental change* 

1. 

2. 

Understanding of the role of biodiversity in maintaining the structure, function 
and stability of ecosystems. 

Understanding  of  the  mechanisms  which  adjust  biological  diversity  at  the 
various organizational levels (molecule, gene, species, population, community); 
assessment  of  the  impact of  natural  and  human  factors  on  these  adjustment 
mechanisms arid on biological diversity itself. 

AreaJII: 

The human dimension of environmental change 

(1) 

Socio economic causes and effects of environmental change 

— objectives — 

(a) 

To understand the main social and economic factors of environmental  change 
at global and European level. 

The  improvement  of  UV-B  radiation  dosimetry  via  the  pcrferting  of  measuring  techniques  is  dealt  with  in 
Area  II of  Environment  Technologies. 

The programme does not include research on the conservation or extinction of specific species or communities. 

ENV/REV1/FC/WZ3 man 1994 

19 

£  Ac 

(b) 

To gauge the principal risks and impact of environmental change on the economy 
and society, and more specifically  in the European Union. 

— research tasks — 

1. 

2. 

Analysis of the relative contributions of the main economic activities and of social 
behaviour to environmental change at global and European level; development of 
appropriate  ratings  of  environmental  pressure  and of  models  relating  to  critical 
interactions  leading to environmental deterioration. 

Assessment of the scale of the impact of environmental change on society and on 
such key economic sectors as agriculture, livestock breeding, industry, transport and 
tourism, with particular attention to regions characterized by great environmental 
and  social  vulnerability  (e.g.  coastal  zones,  urban  zones,  regions  of  high 
unemployment, etc.); development of measurements of socio-economic impact such 
as damages and avoidance cost; notion of consent to pay; indicators of quality of 
life, etc. 

(2) 

Economic and social responses to environmental  problems 

— objectives — 

(a) 

(b) 

1. 

To identify  and assess possible options in the field of social and economic action 
in response to critical environmental situations. 

To  formulate  economic  and  social  criteria  with which  to  assess  progress  in  the 
realization of sustainable development. 

— research tasks — 

indicators  of  "environmental 
Establishment  of  appropriate  quantitative 
sustainability", in space  and time,  in key economic sectors, with reference  to the 
total  stock  of  natural  and  human capital,  ecological  support  capacity  (including 
ecological diversity and the functioning of ecosystems), efficacy of materials and use 
of energy (industrial metabolism), and incorporating ethical considerations relating 
to the environment (e.g. fairness to and between present and future generations). 

2. 

Development  of  the  necessary  instruments  to  evaluate  and  compare  various 
instruments of environment policy. 

ENV/REVl/PG/at/10 Mardi  1994 

20 

#>H 

3. 

4. 

(3) 

(a) 

(b) 

incorporate 
Development  of  methodological  approaches  with  which 
environmental  costs  and  benefits 
indicators; 
establishment of key approaches to the application of accounting systems  adjusted 
to  the  environment  at  several  levels;  improvement  of  techniques  to  internalize 
environmental  costs;  assessment  of  hypotheses  and  ethical  implications,  while 
stressing  alternative systems of  environmental  assessment. 

to 
into  economic  performance 

To  provide  support  for  lowering  the  methodological,  political  and  institutional 
barriers to preventive management of the environment by developing  appropriate 
techniques  with  which  to  integrate  environmental  aspects  into  such  key  sectoral 
policies as agriculture, development aid, energy and transport and by improving the 
economic  efficiency  and  the  scientific  base  of 
the  environmental  regulatory 
instruments  (e.g.  economic  incentives,  financial  instruments,  "tradable  pollution 
quotas"), release  and  quality of  environmental  standards, etc. 

Integration  of scientific knowledge and economic and social considerations into the 
framing of environmental policies 

To  analyse  and  improve the  use of scientific  knowledge  and  develop  methods  to 
deal with uncertainty  in the framing  of  environment  policies. 

To establish generic and interdisciplinary approaches to optimize the combination 
of  scientific  gauging  of  risk  with  socio-economic  assessment  of  risk 
in 
environmental  risk  management. 

(c) 

To step up the capacity to use environmental  statistics with a view to drawing  up 
the  policies  concerned. 

— research  tasks — 

1. 

Development  of  new  approaches  integrating  scientific  and  socio-economic 
parameters  into the  management  of  natural  and  technological  risks.  To  conduct 
case studies on complex problems involving several components of the environment 
with a view to studying and improving the management  of risks integrated  at local 
and  regional  level (e.g. the  Mediterranean  basin, wetlands, alpine  regions,  urban 
environment;  waste and  problems  related  to water  management). 

ENV/REVl/PG/aJ/10 March 1994 

21 

g A4. 

2. 

3. 

To assess and improve the methods and procedures for using scientific knowledge 
in  the  formulation,  implementation  and  evaluation  of  environmental  and  other 
policies;  to  examine  alternative  approaches  so  as  to  take  account  of  scientific 
uncertainty in the formulation of policies, and taking account also of such essential 
environmental principles as the "principle of prevention". 

Development of models to establish links between damage to the environment and 
the other relevant physical and socio-economic variables.  This will be achieved by 
improving  the  design  and  definition  of  information  systems  on  environmental 
damage and of techniques for integrating environmental data. 

ENV/REVl/PG/a«/10 March 1994 

22 

S4J> 

B. 

ENVIRONlvffi^rTALTECHDS[OIX)GIES 

Area I: 

Sustainable development and technological  change 

— objectives — 

1. 

2. 

1. 

2. 

3. 

To  understand  the  key  parameters  of "environmentally  sustainable  technological 
development  and  its  interaction  with  competitiveness  and  employment  in  the 
European Union. 

To  develop  methodologies  to  assess  and  maximize  the  contribution  of  RTD  to 
sustainable development. 

— research tasks — 

Develop and apply criteria (e.g. economic, regulatory, employment potential, social 
acceptability) for the specification of core technologies which promise competitive 
advantage as a result of environmental improvements: either by means of "generic" 
innovations such as minimization of materials, improved product design, etc; or by 
systematic assessments of possible technological responses to critical environmental 
problems (e.g. global warming, ozone depletion, biodiversity loss, water shortages, 
soil degradation, etc.). 

Develop methods for cost-risk-benefit  of evaluation of technologies which have a 
major impact on the environment, including integrated assessment approaches at 
the  regional  process and production  levels  (e.g. cost-benefit  analysis, eco-audits, 
cumulative  environmental  impact  assessment,  industrial  metabolism/life  cycle 
analysis,  process  re-engineering);  incorporate  sustainability  criteria  into  the 
formulation,  assessment and utilization of European RTD activities. 

Elucidate  the  links  between  social  preferences  based  on  environmental 
considerations  and technological  change, e.g. social  acceptability  of  technologies, 
societal  preference  for  "green" products; impact  of  new  ideas  on  environmental 
protection  such  as  life  cycle  management,  extension  of  producer  liability,  etc; 
develop  combined  environmental/commercial  performance  indicators; undertake 
studies  of  successful  approaches  to  sustainable  development  at  the  level  of  the 
company. 

4. 

Elucidate  the  links  between  various  types  of  environment  policy  instrument 
(legislation; market instruments) and their influence on technological development. 

ENV/REVWO/ac/W March  1994 

23 

Area  H: 

Instruments^eçhnjques  and methods for  monitoring the environment 

(a) 

To  help  develop  and  improve  analytical  and  monitoring  methods  for  certain 
components  of  the environment with a view to better  monitoring and  forecasting 
of environmental  change. 

— objectives — 

This  contribution  will be  made  (a)  in the  form  of  concerted  actions,  associating 
manufacturers  and potential  users of instruments,  the JRC, in those areas which 
concern  it, and  the Measurement  and Testing RTD  programme; these  concerted 
actions  will aim  to  identify  the  needs  of  potential  users  and  guide  development 
work, and (b) through supplementary RTD projects in the areas not covered by the 
Measurement  and Testing  RTD  programme. 

(b) 

To  develop  procedures  and  methods  for  the  identification  and  study  of 
environmental  change (land  and  coastal  environments). 

These  objectives  will,  among  others,  aim  to  meet  the  needs  of  the  European 
Environmental Agency. 

— research  tasks — 

1. 

2. 

3. 

4. 

5. 

6. 

Contribute  to the development  of highly sensitive rapid-response  instruments  for 
the  ground  or  airborne  measurement of  the trace compounds of  the  atmosphere 
which  cause  important  environmental  phenomena  (depletion  of  the  ozone  layer, 
changes  in UV radiation, photo-chemical  reactions, etc.). 

Contribute  to  the  development  of  analytical  methods  to  identify  and  measure 
certain  organic substances in industrial waste water. 

Contribute  to  the  development  of  biosensors  for  application  in  environmental 
monitoring  where  conventional  methods  prove  inadequate,  e.g. with  respect  to 
sensitivity, selectivity, precision, reliability, sample preparation, online monitoring, 
cost  effectiveness. 

Development  and  validation  of  land,  airborne  and  spaceborne  methods  and 
procedures  for  the  early  detection  of  changes  in  the  continental  and  coastal 
environment  and for  studying the evolution  of such changes. 

Development  of  new  technologies  to  provide  improved  dosimetry  of  UV-B 
radiation. 

Development  of  new  methods  of  environmental  archeometry  to  permit  the 
reconstruction  of  the environmental  conditions  of  the  past. 

ENV/REVl/PG/a(/10 March 1994 

24 

SLA 

Area III: 

Technologies and methods to protect the environment 

— objectives — 

(a) 

(b) 

To develop methods for the identification, estimation, comparative assessment and 
management of the risks posed to the environment, natural resources and human 
health  by  industrial  processes  (regular  activities  and  accidents)  and  products 
(including chemical products). 

To  help develop  industrial  and synthetic  products which  pose  fewer risks to  the 
environment; to help develop, improve and apply the entire range of environment 
technologies, from preventive to remedial  technologies. 

This  contribution will  be  made  (a)  in  the  form  of  concerted  actions  associating 
scientists responsible for analysing environmental  risk, enterprises responsible for 
technological  development,  enterprises  liable  to  benefit  from  technological 
development,  the  JRC,  in  the  areas  which  concern  it,  the  legislator  and  the 
"Industrial and Materials Technologies" RTD programme, and (b) in the form of 
supplementary  RTD  projects  in  the  fields  not  covered  by  the  "Industrial  and 
Materials Technologies" RTD programme. 

(1)  Methods of estimating and managing risks 

— research tasks — 

1. 

Improvement of exposure assessment methods for hazards and risks to health and 
the environment from chemicals, (particularly for early indicators of exposure); the 
development  of  suitable  effects  assessment  methodologies,  including  alternatives 
to the use of animals in testing. This research will include  methods for exposure 
prediction.  Key elements of this research theme include the validation of existing 
assessment  and  testing  methods  through  improving  both  the  quality of  the  data 
for  their  inherent  assumptions,  particularly  the 
used  and  the  scientific  bases 
validity of  the extrapolations  used  e.g.  in vitro to  in vivo  tests, animal  models to 
man, 
laboratory  to  field,  high  to  low  doses,  specific  populations  to  vulnerable 
groups, and from single exposures to exposures to mixtures of chemicals. 

Care  will  be  taken  to  ensure  consistency  between  these  research  activities  and 
those  undertaken under the "Life Sciences and Technologies" programme as well 
as  the  work  of  the  JRC's  European  Centre  for  the  Validation  of  Alternative 
Methods. 

ENV/REVl/PO/a(/W March  1994 

25 

24é> 

2. 

3. 

Development of methodologies to analyse the complete life cycles of industrial and 
synthetic products, their effects  on natural resources, consumption of energy and 
their effects on the environment at the various stages of their existence, from raw 
material, through manufacture, up to the final use of products and their disposal 
in the form of waste; development of methodologies for comparing the impact of 
substitute products. 

Development of methodologies to assess the impact of industrial processes on the 
environment,  natural  resources  and  energy  consumption;  development  of  a 
methodology for comparing the impact of alternative industrial processes. 

Atmospheric pollution will serve as a test case in which to integrate all the above 
aspects  in  a  paradigm  of  risk  management  to  control  air  quality,  i.e.  from 
characterization  of  emissions  and  assessment  of  exposure  and  effects, 
biomonitoring and risk analysis, to helping to develop control measures. 

Better  understanding  of  the  mechanisms  underlying  the  accidental  release  by 
industry of products which harm the environment or human health; development 
of safety management systems and systems to attenuate effects.  Research should 
be geared primarily to materials and production systems which, owing to their high 
toxicity, their widespread use in industry or their physical properties (e.g. tendency 
to  form  clouds  which  remain  close  to  the  ground)  cause risks which  become 
apparent far from their source.  Work on this theme should be linked to the EU's 
policy on the prevention of industrial accidents and accidents in the workplace. 

(2) 

Technologies to protect and rehabilitate the environment 

1. 

2. 

3. 

Contribute  to  the  development  and  improvement  of  industrial  processes  and 
products so as to prevent or minimize their impact on the environment. 

Contribute  to  the  development  and  improvement  of  integrated  technologies  to 
minimize solid, liquid and gaseous emissions.  The  technological  choice  must be 
based on a thorough understanding of  the exchange between pollutants. 

Contribute  to  the  development  and  improvement  of  new  technologies  for  the 
recycling of materials, including their decomposition to reusable raw materials and 
the  recovery  of  energy  and  waste.  Study  of  systems  to  encourage  product 
recyclability. 

ENV/REVl/PG/at/10 March  1994 

26 

9LAf 

4. 

Management  of  dangerous  waste;  development  of  safe  procedures  to  process 
dangerous  waste,  including  recycling  of  materials  or  recovery  of  energy  to  help 
make  the  operation  profitable,  where  appropriate.  Processing  of  residues  to 
ensure  they  are detoxified,  stable  and safely  disposed  of. 

(3) 

Technologies to protect  and  rehabilitate historical and  industrial sixes 

In  accordance  with  European  Union  policies,  research  for  the  protection  and 
preservation of the cultural heritage will be re-inforced.  The scientific base for the 
identification  and  assessment  of  the  consequences  of  technology  needs  to  be 
broadened.  Research  on  this  theme  will  be  supplemented  by  assessment  of  the 
environmental  risk  factors  (including  the  effects  of  tourism)  for  a  range  of 
materials,  via  the  development  and  improvement  of  non-destructive  methods  of 
analysis  and  measurement,  methods  of  mapping  risks  and  damage,  etc. 

The  programme will contribute to the development  of technologies  to  rehabilitate 
polluted  industrial  sites and abandoned waste  dumps; development  of  rapid, non 
study 
invasive  methods 
absqrption/desorption processes and the pathways and bio-availability of pollutants 
to  help  establish  suitable  practices  for in situ  rehabilitation  technologies. 

localize  and  measure 

contaminants  and 

to 

Area  IV: 

Technologies  to forecast,  prevent and reduce  natural risks 

— objective — 

To  contribute to the development of methodologies and technologies for the early 
warning, reduction and management of natural risks (seismic, volcanic, forest fires, 
meteorological  and  hydrogeological). 

(1) 

Hydrogeological risks 

— research  tasks — 

1. 

Development  and validation of  methodologies  to  prevent  flooding  on  the  basis  of 
in  situ  data  and  remote  sensing  (radar  systems,  satellites), 
including  the 
development  of  methodologies  for  the  modelling  of  spatial  and  temporal 
distribution  of  precipitation,  particularly  in complex  terrain.  Development  of  and 
experimentation  with flood  models  (water training  models),  including  appropriate 
coverage  of  the  behaviour  of  layers of  snow  and  ice. 

ENV/REVl/PG/a(/10 March 1994 

27 

SLA2 

2. 

Improvement  of  the  monitoring  of  landslides  and  of  warning  techniques. 
Monitoring and  mapping of landslide risks. 

(2) 

Seismic risk 

1. 

2. 

Development  of  advanced  technologies  to  observe  and  analyse stress, strain  and 
displacements  in  tectonically  strategic  areas  with  the  aid  of  modern  space 
technologies.  Development  of  advanced  instrumentation  to  localize  and  detect 
earthquakes. 

Development of advanced automatic sensors for continuous monitoring and control 
of earthquake-related phenomena including effects on human habitat in tectonically 
strategic zones, appearing either during or before seismic activity.  Integration  and 
validation  of  warning  systems  and  the  systems  referred  to  above,  to  forecast 
earthquakes  and  tsunamis.  Improvement  and  harmonization  of  structures  and 
technological  devices  for  the  acquisition,  transmission,  storage  and  exchange  at 
European  level of earthquake  data. 

3. 

Improvement  of  European  data  bases in the field of seismic risk. 

(3) 

Volcanic risk 

1. 

Development  of  and  experimentation  with  automatic  sensors  for  monitoring 
geophysical  and  geochemical  phenomena.  Development  and  validation  of 
Development  of  and 
automatic  systems 
experimentation  with  remote  sensing  techniques  to  monitor  eruption  clouds. 
Development  of  data  processing  methods  to  integrate  these  diverse  sources  of 
information  (e.g. monitoring data  and in situ geophysical and geochemical  data). 

to  monitor  volcano  activity. 

2. 

Development  of  mobile warning systems. 

(4) 

Forest fires 

1. 

Mapping  of fire risk and  assessment  of fire damage by means of remote sensing; 
modelling of fire  behaviour;  improvement of the scientific  base necessary  for  the 
development  of  tools  to  manage  and  reduce  forest  fires.  Improvement  of  risk 
ratings, collection  and  analysis of statistical  data  on  forest  fires. 

ENV/REVl/PG/a</10 March  1994 

28 

&A& 

C. 

SPACE TECHNIQUES APPLIED TO ENVIRONMENTAL  MONITORING 
AND  RESEARCH 

Area  I : 

Methodological research  and  pilot  projects 

As a  relatively  new techniques,  Earth observation  (EO) will require further  research 
and  development,  as well as practical application,  in order  to reach  its full  potential 
to deliver benefits  in the  public interest  commensurate  with the ongoing  investment 
in the space  segment 

— objectives — 

a) 

b) 

To  improve  the  European  technical  capability  in EO  data  treatment  and 
interpretation. 

To develop  applications  of  EO data  of  European  interest,  and  to  improve 
the  quality and  cost-effectiveness  of  the derived  information. 

— research  tasks — 

Research  projects  should focus  on application  areas which are  relevant  to  the 
policies and  interests  of the European  Union. Projects  may be directly linked  and/or 
support  other  research  activities of the Framework  programme,  particularly in  the 
fields of  the  Environment  and  Marine Science. 

A  programme  of cost-shared  research will complement  the  direct  action  of  the  JRC 
by fostering  improved  cooperation  between  environmental  researchers,  EO 
scientists, value-added  companies  and  the  providers  of  space  data. 

(1)  Methodological research  should  aim to overcome  specific  problems  currently 
inhibiting the use of EO  data  in a specific  application,  or  should  address 
basic scientific  and  technical  problems  relevant  to  a broad  group  of  EO 
applications. Projects will involve the participation  of  both  EO scientists  and 
application  specialists as  appropriate. 

The  following  technical  themes will be  addressed: 

1. 

Development  of new techniques  and  improvement  of existing techniques  to 
obtain  useful  geophysical  information  from  EO  data  provided  by new or 
existing sensors.  Research  projects  will relate  to specific  applications, 
notably  in the fields of  climate change, environmental  management, 
environmental  protection,  forestry  and  fisheries. 

29 

I  to 

2. 

3. 

(2) 

Development of  generic tools and techniques for automated pre-processing, 
interpretation  and integration of data. Projects will be coordinated with 
research into expert systems, neural networks, parallel processing and 
integrated  (geographical  information systems) GIS undertaken at the JRC. In 
particular, appropriate data models and structures for GIS will be developed 
with a view to facilitating  the integration into the statistical  information 
systems of data derived from Earth observation. 

Support towards the planning of field  measurements  and ground data 
gathering campaigns, and development  of improved procedures for 
calibrations and validation. 

Pilot projects are to test the cost-effectiveness  in an operational  environment 
of selected applications for which the basic technical feasibility has already 
been demonstrated. 

Pilot projects will normally consist of the following  elements: analysis of the 
operational needs of cooperating user (or users), and the value of the EO-
dérived information  as a function of information  quality; identification  of a 
suitable data supply chain and suitable processing schemes to derive the 
required information; preparation of an implementation  plan, showing the 
close involvement of a collaborating user; establishment of a pre-operational 
pilot system. 

Where appropriate links will be sought with relevant actions of the JRC, 
notably in the domains of environmental monitoring, tropical forest 
assessment, biomass burning, agricultural monitoring, and ocean colour. 

Pilot projects may also be established within the framework  of the 
implementation of the CEO (Research Area III) in order to test 
infrastructures  for data handling and to help establish coherent user 
communities. 

Area II : 

Research and development work on advanced sensor 
technologies 

The Commission acts both as a major customer itself,  and as a proxy for other 
users, with a special concern to encourage the development of continuing 
operational services. The completion of the development  of the instruments 
VEGETATION and AMAS, based on activities from Member States agencies, will 
be considered  as test cases. 

30 

— objective — 

To ensure that space instruments of relevance to European  Union policy are 
defined  and developed to meet the requirements of  existing and potential users. 

— research tasks  — 

Instruments of  relevance to EU  policy could be developed  according to needs 
expressed by users. Technical support will be provided as appropriate by the JRC. 

Area  m  : 

Centre for earth observation 

An effective  ground infrastructure is needed to enable the growing community of  users 
to make optimum use of the available data,  and to allow the emergence of 
operational applications. 

— objective — 

To.encourage the use of EO data through the development  of a European 
decentralised  network for space data management  and access. 

— research tasks — 

A  programme of work for the implementation of a Centre for Earth Observation will 
be executed on the basis of the results of  the Pathfinder  Phase to be completed by the 
end of  1994. The CEO will aim to improve the distribution and access to the data and 
derived products, increase the user-base and improving co-operation  among users, 
encourage standards and provide certification  and quality assurance, provide long-term 
archive, and ensure access to foreign space data networks. 

Cost-shared research will complement related initiatives of  the JRC and Member 
States. Specific  topics may include the following: 

development  of data and archive systems; 

establishment of services to provide high-level  data products to routine 
users of EO data (ie. a publishing service aimed at a large number of 
users); 

establishment of  libraries of robust, well-documented  and  transferable 
data processing algorithms to service specific  communities of users; 

actions designed to assist different  user communities  to coordinate and 
specify  their evolving needs. 

ENV/REVl/PG/a(/10 March 1994 

31 

lït 

In addition, pilot projects undertaken under section  theme A, may contribute to the 
implementation  and testing of the CEO. 

ENV/R£Vl/PG/a«/10 March 1994 

32 

£i3 

ANNEX II 

INDICATIVE BREAKDOWN OF THE AMOUNT 

Areal 
Natural  environment,  environmental 
quality  and  global change 

Area  2 
Environment  technologies 

Area  3 
Space  techniques  applied  to 
environmental  monitoring and  research 

TOTAL 

% 

46-52 

24-30 

20-25 

lOO1 2 3 45 

The  breakdown  between  different  areas  does  not exclude  the  possibility that  projects 
may cover  several areas. 

1 

2 

3 

4 

5 

Including  3.8% for  staff  expenditure  and  3.6%  for  administrative  expenditure. 

Including ECU  5 million for  the  dissemination  and  utilization  of  results. 

Including  15% for  basic research  activities and  2%  for  training. 

A  sum  of  ECU 320  million,  representing  the  difference  between  the  amount 
deemed  necessary for  this programme  and  the amount  provided  for  in the  fourth 
framework  programme  of  RTD  for  environment  and  climate,  is allocated  to  the 
"specific research and technological development  programme to be carried out by 
means  of  direct  action  and  scientific  and  technical  support  activities  in  the 
framework  of a competitive  approach". 

Including 5-9% for socio-economic research (Area  III, theme A and Area  I, theme 
B) 

ENV/REVl/PC/aim March 1994 

33 

ANNEX  III 

DETAILED  RULES FOR  IMPLEMENTING THE  PROGRAMME 

1. 

The  detailed  rules for  the Community's  financial  contribution  are laid down in 
Annex  IV to the Decision on the fourth  framework  programme. 

The  detailed  rules for  the  participation  of  undertakings, research  centres  and 
universities and  for  the dissemination  of  results will be laid  down as provided  for 
in Article  130j of  the Treaty.  However,  for  the  purpose of  implementing this 
programme,  the following  exceptions shall apply: 

(1.1)  Participation  in this programme  is open, with financial support from the 

Community: 

a. 

b. 

to all legal entities, established  and  regularly carrying out RTD  activities 
in the  Community, or 
in a  third  country associated, wholly or  in part, with the implementation of 
;  the  relevant  programme  through  an  agreement  concluded  between  the 
Community and the said third  country 
to the Joint Research  Centre 

(1.2)  Participation  in this programme  is open, without  financial  support  from  the 

Community, and  on condition  that  their  participation  is in the interests of 
Community policies: 

a. 

b. 

for  part A "Research  on the natural  environment, environmental  quality 
and  global change" to any legal entity 

for  part B "Environmental  technologies" and  C "Space techniques  applied 
to environmental  monitoring and  research" 

i 

ii 
iii 

to legal entities established  in a country which has concluded  a 
scientific and  technical cooperation  agreement with the  Community 
relating to activities covered  by the programme, provided  the 
participation  accords with the  terms of  the  agreement 
to legal entities established  in a  European  country 
to international  research  organisations 

(1.3)  The  participation  of  European  international  organisations  may be financed on 

the same  basis as that  for  Community  organisations  in duly specified  cases. 

(1.4)  The  programme will include assessment  of the socio-economic  impact  of  the 

research  results.  Where  necessary,  proposals will also have to provide  for 
assessment  of  the  potential  risks to the environment  posed  by the  proposed 
research  activity.  The studies to assess socio-economic  impact will be carried  out 
in close collaboration  with the  programme  on Targeted  Socio-economic  Research 

ENV/REVt/PG/a</10 March 1994 

34 

so  as  to  ensure  optimum  exploitation  and  continued  use  of  their findings. 

2. 

This  programme will be  carried  out  in the  form  of  indirect  actions,  namely 
the  financial  participation by the  Community  in RTD  activities  carried  out  by 
third  parties  or by JRC institutes  in association  with  third  parties: 

(2.1)  Shared-cost activities covering the  following  possible  procedures: 

RTD  projects  carried  out  by undertakings,  research  centres  and 
universities,  including  consortia  for  integrated  projects  with  a  common 
theme; 
technology  stimulation  to encourage  and  facilitate  the  participation  of 
SMEs  by means  of  awards covering  the  exploratory  phase,  including  the 
search  for  partners, of  RTD  activity and  through  cooperative  research. 
Such  awards will be  granted  following  selection  of  draft  proposals,  which 
may be  submitted  at any time.; 
support  for financing the  infrastructure  or  installations  necessary  for 
coordinated  action  (closer  coordination). 

(2.2)  Concerted  action, which involves  the  coordination,  particularly  in the  form  of 
concertation  networks, of  RTD  projects  already  funded  by  public  authorities 
or  private  bodies.  Concerted  action  can also  include  the  requisite 
coordination  of  thematic  networks  bringing together  manufacturers,  users, 
universities  and research  centres to work  on  the same  technological  or 
industrial  objective  through  shared-cost  RTD  activities  (cf.  first  paragraph  of 
Section  2.1). 

(2.3)  Preparatory,  accompanying  and support  measures 

— objective — 

To  improve  coordination,  cooperation  and  the  exchange  of  information 
between  European  researchers; to  assist  the  smooth  running  of  the  national 
and  international  programmes  by encouraging the  rational  use  of  research 
infrastructures  and the  transfer  of  expertise  and  knowledge;  to  develop 
international  cooperation. 

— activity  themes — 

studies  in support  of  this  programme  and  in  preparation  for  future 
activities; 
conferences,  seminars, workshops  or other  scientific  or  technical 
meetings,  including  intersectoral  or  multidisciplinary  coordination 
meetings; 
use  of  external  expertise,  including  access  to  scientific  databases; 
scientific  publications  including  dissemination,  promotion  and  utilization 
of  results; 

* 

ENV/REV1/PG/X/Z3 man 1994 

35 

studies  to  assess  the  socio-economic  consequences  and  any  technological 
risks  associated  with  all  the  projects  under  this  programme; 
training  activities  related  to  research  covered  by  this  programme; 
independent  evaluation  of  programme  administration  and  of  the 
implementation  of  the  activities; 
development  of  international  scientific  cooperation,  in  particular  in  the  area 
of  research  into  global  change,  including  with  the  developing  countries, 
measures  in  support  of  the  operation  of  networks  to  provide  information 
and  decentralised  assistance  to  SMEs  in  coordination  with 
Euromanagement  - auditing  activity  of  RTD. 

With  a  view  to  focusing  the  Community's  research  effort  and  giving  it  a  higher 
profile  in  the  context  of  world  research  into  global  change,  the  research 
activities  envisaged  in  this  area  will  be  carried  out  within  the  framework  of  the 
European  Network  for  Research  into  Global  Change  (ENRICH).  Such  activities 
will be  pointed  in  a  direction  which  ensures  that  the  research  effort  will  help 
meet  the  objectives  of  the  International  Geosphere-Biosphere  Programme 
(IGBP),  the  World  Climate  Research  Programme  (WCRP)  and  the  Human 
Dimensions  of  Global  Environmental  Change  Programme  (HDP),  and  that  the 
results  can  be  used  in  the  implementation  of  the  fifth  framework  programme  of 
action  for  the  environment.  Account  will  also  be  taken  of  the  scientific 
requirements  expressed  in  the  setting-up  of  the  Global  Climate  Observing  System 
(GCOS)  and  the  Global  Terrestrial  Observing  System  (GTOS).  In  addition, 
programme  activities will be  coordinated  with  those  of  the  Marine  Science  and 
Technology  programme. 

Finally,  programme  implementation  will include  close  linkage  with  the 
corresponding  JRC  activities  and  collaboration  with  the  other  Community 
research  programmes, wherever  necessary,  and  with  the  European  Environment 
Agency.  Appropriate  collaboration  will  also be  set  up  with  the  corresponding 
activities  of  the  Eureka  programme. 

The  activities  relating  to  dissemination  and  utilization  of  results  carried  out  under 
this  programme  will complement  those  of  the  third  activity  and  will  be  closely 
coordinated  with  them.  The  RTD  project  partners  constitute  privileged  networks 
for  the  dissemination  and  utilization  of  results.  They  will  be  enhanced  by  means 
of  publications,  conferences,  promotion  of  results,  studies  of  technical  and 
economic  potential,  etc.  In  order  to  ensure  optimum  exploitation,  account  must 
be  taken  from  the  outset  in  RTD  projects  of  factors  that  can  encourage 
subsequent  utilization  of  results. 

(2.4)  Specific  measures  such  as  action  to  promote  standardization,  and  measures  to 
provide  general  tools  to  research  centres,  universities  and  undertakings.  The 
Community's  contribution  covers  up  to  100%  of  the  cost  of  these  measures. 

ENV/REVl/PG/aC/22 March 1994 

36 

2Vf 

ANNEX  IV 

DESCRIPTION  OF THE JOINT RESEARCH  CENTRE'S  (JRC)  RESEARCH 
ACTIVITIES  CORRESPONDING  TO THE AREAS  COVERED  BY THIS 
SPECIFIC PROGRAMME  AND THE SUBJECT OF THE  PROPOSAL  FOR 
A COUNCIL  DECISION  FOR  THE JRC PROGRAMME  (COM(94)68 
FINAL - 94/0095 (CNS)). 

The  JRC will contribute  to  the  promotion  of environmental  protection  in close 
co-operation  with  the corresponding  shared  cost action  programme  and  through 
the following  three sectors: 

•  Natural  environment,  environmental  quality and  global  change 

•  Technologies  for  environmental  protection 

•  Applied  space  techniques  for  environmental  monitoring  and  research 

The European Community should make a major  contribution  to international research into 
global change, in particular by participating in major  initiatives undertaken  by the  scientific 
community,  such  as  the  International  Geosphere  Biosphere  Programme  (IGBP)  -  the 
activities  of  the  European  IGAC  (International  Global  Atmosphere  Chemistry)  Project 
Office  (EIPO)  will  be  continued  at  Ispra  for  IGBP  - 
the  World  Climate  Research 
Programme  (WCRP)  and  the  Human  Dimension  Programme  (HDP). 

In this context, the Joint Research  Centre will concentrate  its research  on: 

- 

the  surveillance  and  study -  particularly  using  remote  sensing  technology  - 
of 
biosphere-atmosphere  interactions and interactions between the processes taking place 
on  land  and  in the ocean  and  the  related  parameters  affecting  climate  change; 

-  physical  and  chemical  analyses  of  atmospheric  processes  (in  particular  the  study  of 
sulphur  in  the  atmosphere),  including  the  behaviour  of  biogenic  and  anthropogenic 
emissions.  This should  include both  measurements  and  modelling; 

ICNV/RMVl/|>C.7a(/23 mm  19<H 

37 

- 

the  surveillance  of  global  change  by  remote  sensing  through  the  development  of 
advanced  earth  observation  techniques.  This  should  include  research  into  the 
development  of techniques for  using space data obtained  from  satellite observation  for 
the surveillance of the  marine environment  and  of  changes in the  terrestial  ecosystem. 
A number of advanced  techniques  (including those of a statistical  nature)  for  using the 
new earth  observation  system should  also be  developed. 

In addition the JRC will make a significant contribution to the implementation of the Centre 
for  Earth  Observation  (CEO). 

The  scientific  community  and  decision-makers  need  accurate  and  consistent  earth 
observation  data  spanning  a  long  period.  To  meet  this  urgent  need,  the  European 
Community should set  up the Centre  for  Earth  Observation  in close cooperation  with the 
Member  States  and  in  association  with  the  European  Space  Agency.-  This  project  is 
designed to guarantee users continuous and long-term availability of consistent data relating 
to earth  observation.  It will set up a decentralized  network  of interested  European  bodies 
and  thus  bring  users,  the  bodies  responsible  for  thematic  analysis  and  data-processing 
centres  together  in  a  single  forum.  The  role  of  focal  point  of  such  a  network  should  be 
performed  by the JRC, while the programmes of shared-cost action will provide support for 
the national  components  of the  network 

The  JRC will also contribute to the ENRICH  network by making its scientific  research on 
global  change available. 

The  JRC  will  continue  to  contribute  to  improving  environmental  quality,  mainly  through 
research  on  air  and  water  quality  and  the  evaluation  of  the  risks  arising  from  chemical 
products and waste.  Research into air quality inside buildings will also be continued, as will 
the study of  pollution  caused  by metals in trace quantities. 

Research  into innovative technologies  for  environmental  protection  will aim to: 

- 

improve industrial safety and environmental management by providing industry, research 
bodies  and  the  public  authorities  with  innovative  methodologies  (in  particular  design 
tools) for  evaluation  of the safety  of chemical  installations; 

-  developing  mechanisms  for  the  control  of  chemical  reactions  which  might  become 
uncontrollable, tools for predicting the dispersion of toxic or flammable products and the 
consequences  of combustion  and  explosion. 

fCNV/RJiVWa/irf/O aura  I9W 

38 

SPECIFIC PROGRAMME OF RESEARCH AND TECHNOLOGICAL 
DEVELOPMENT AND  DEMONSTRATION 
IN THE AREA OF ENVIRONMENT 

FINANCIAL STATEMENT 

ICNV/RKVI/W/al/ZJ  man  1994 

-' 

) 

stye 

FINANCIAL  STATEMENT 

1.  TITLE OF  OPERATION 

Environment. 

2.  BUDGET  HEADING  INVOLVED 

B6-7131. 

3.  LEGAL BASIS 

Article  130i of  the Treaty on  European  Union. 
Decision of the Council and the European Parliament concerning a fourth framework 
programme  of  Community  activities  in  the  field  of  research, 
technological 
development  and  demonstration  (1994-98). 

4.  DESCRIPTION  OF  OPERATION 

4.1 

General  objective 

The  purpose  of  this  programme  is  to  help  implement  activity  1  of  the  fourth 
framework  programme  of  research  and  technological  development  (1995-98).  It 
continues  the  work  of  the  previous  environment  programme,  though  with  updated 
form and content, in order both to pursue earlier developments and to meet current 
objectives. 

4.2 

Areas  covered by the  programme 

A 

Natural  environment,  environmental  quality and  global  change 

Research  area  I:  Climate change  and  impact  on  natural  resources 

Research  area  II:  Atmosphere  physics  and  chemistry,  biosphere  processes  and 

consequences 

Research  area  HI: The  human  dimension  of  environmental  change 

B. 

Environmental  technologies 

Research  area  I:  Sustainable  development  and  technological  change 

Research  area  II:  Instrument, 
environment 

techniques  and  methods  for  monitoring 

the 

I^NV/UirVl/PG/WU rnara 199* 

40 

tM 

Research  area  III: Technologies  and  methods to protect  the  environment 

Research  area  IV:Technologies  to forecast,  prevent  and  reduce  natural  risks 

C. 

Space  techniques  applied  to environmental  monitoring  and  research 

Research  area  I:  Methodological  research  and  pilot  projects 

Research  area  II:  R&D  on  advanced  sensor  technology 

Research  area  III: Centre  for  Earth  Observation  (CEO) 

4.3 

Period  covered 

1995-98 

5.  CLASSIFICATION OF EXPENDITURE OR REVENUE 

Non-compulsory  expenditure/differentiated  appropriations. 

6.  TYPE OF EXPENDITURE OR REVENUE 

Studies/subsidies 

In  principle, the direct activities will be  100%  funded. 

The  concerted  activities may qualify  for  a contribution  of up to  100% of  the 
coordination  costs. 

Subsidies for  co-financing with other public and/or private sector sources 

The  shared-cost  activities  comprising  RTD  projects  will  qualify  for  a 
contribution  of  not more than 50%. 

Universities  and  other  research  centres  participating  in  RTD  projects  and 
unable to substantiate their total costs in sufficient  detail for the Commission, 
based on an analytical accounting system, will qualify  for 100% funding of the 
additional costs. 

Other shared-cost activities (for example, networks, training, feasibility awards 
or accompanying measures) will qualify for up to 100% of the additional costs 
or  of  the  costs of  the  measuic. 

KNV/Rf-rVl/KJ/WZJ m*i» 1994 

41 

t3t 

Staff,  administrative and operating costs 

These also cover the costs of personnel covered by the Staff Regulations and other 
staff,  studies,  meetings  of  experts,  conferences  and  congresses,  information  and 
publications, administrative, technical and operating costs, and certain other internal 
infrastructure  and operating costs for attainment of the objective of the activity of 
which they are an integral part. 

7.  FINANCIAL IMPACT 

7.1  Method of calculating total cost of operation 

* Staff costs: ECU 20.22 million (3.80% of the ECU 532 million deemed necessary) 

The  1994 staff  levels will be maintained, i.e. 48 posts.  These posts break down as 
follows: 28A  +  4B  +  16C. 

New  posts will be added  progressively  in  1995,  1996 and  1997, depending  on the 
budget available each year.  These new posts are warranted by the configuration of 
the  programme,  which  includes  new  areas  of  activity  not  covered  by  the  third 
framework  programme: space technology applied to environmental monitoring and 
research, impact on natural resources. 
N.B. The staff of this specific programme will also be responsible for the scientific 
and  contractual  follow-up  to  the  activities  begun  under  the  third  framework 
programme as well as to earlier activities. 

* Administrative  costs,  including  staff  not  covered  by  the  Staff  Regulations: 
ECU  19.15 million (3.60% of the ECU 532 million deemed necessary). 

* Operating  costs: ECU 492,63  million (92.60% of  the  ECU 532 million  deemed 
necessary),  including  the  cost  of  accompanying  measures,  evaluations  and 
concertation activities. 

7.2 

Itemized breakdown of cost (ECU million) 

Natural environment, environmental 
quality and global change 

244,72-276,64 

46-52% 

Environmental technologies 

127,68-159,60 

24-30% 

GNV/REVWO/WZJ  man  199* 

42 

2^3 

Space techniques 
applied to environmental  monitoring 
and research 

106.40-133.00 

TOTAL 

532 1234 

20-25% 

100% 

7.3 

Indicative schedule of  appropriations 

The  schedule  is  established  on  the basis  of  the global  amounts  for  the fourth  framework 
programme  adopted  indicatively  for  the  periods  1995-1996  and  1997-1998  during  the 
conciliation meeting on the 21 March 1994. The RTD appropriations for each financial year 
will be proposed and adopted each year  on the basis of the resources available in the context 
of the financial  perspective. 

Commitment 
appropriations 

1995 

1996 

1997 

1998 

155,00 

122,00 

128,00 

127,00 

Payment  appropriations 

1995 

1996 

1997 

27,76 

51,55 

46,68 

30,28 

38,88 

29,91 

1998 
et seq. 

45,41 

36,44 

98,09 

TOTAL 

155,00 

122,00 

128,00 

127,00 

127,00 

TOTAL 

532,00 

27,76 

98,23 

99,07 

306,94 

532,00 

8.  WHAT ANTI-FRAUD MEASURES  ARE PLANNED? 

Numerous administrative and financial controls have been introduced at every stage of 
the procedure for awarding and implementing  research contracts.  These include: 

Prior to the conclusion of the contract: 

Shortlisting  of  the proposals  on  the basis  of  their  scientific  merit and of how 
realistic  the research  costs  are,  considering  the nature,  duration  and potential 
impact of the project. 
Analysis of the financial data submitted by the proposers in the negotiation form. 

After signature of the contract: 

Examination  of the statements of expenditure before payment at various levels 
(financial  control and scientific  manager). 

Including ECU 20.22 million (3.80%) for staff costs and ECU 19.15 million (3.60%) 
for administrative costs. 
Approximately  5  MioEcu of  the total amount deemed necessary  covers  the cost of 
dissemination  and application of results. 
5-9% of the total for socio-economic research  (Area III, theme A; Area I, theme B) 
To this amount has been added 294 MioECU for the EC programme of the JCR and 
26 MioECU  for scientific  support and technical cooperation. 

43 

l^ 

On-the-spot inspections of the supporting documents to detect any errors or other 
irregularities.  To tighten up these controls, the Commission  has set up a central 
audit  unit  which  is  responsible  for  all  the  inspections.  The  inspections  are 
carried  out either  by  members  of  the audit unit or,  under  their  supervision,  by 
firms  of  auditors  with  which  the  Commission  has  concluded  framework 
contracts. 

9.  ELEMENTS  OF COST-EFFECTIVENESS  ANALYSIS 

9.1 

Specific  and  quantifiable  objectives;  target  population 

The specific  objectives  are as  follows: 

1.  To observe the characteristics  and understand  the basic processes  of the climate and of 
natural,  continental,  oceanic  and  atmospheric  systems,  and  identify  and  assess  the 
effects  of human activity on them.  Industrial activity, transport,  tourism,  uncontrolled 
disposal  of  waste,  urbanization,  misuse  of  water,  land  use  and  management  and 
agricultural  and forestry  practices  will be taken into account. 

Detailed analysis of human and social behaviour and of the more traditional  processes 
of  economic development  responsible  for  adverse  effects  on the environment  will  be 
carried  out in parallel  with the study  of  natural processes. 

2.  To  assess  the  consequences  of  climatic  and  environmental  change  for  ecosystems 
features,  man,  society  and  economic  activities,  and  the  consequences  for  natural 
resources  (availability,  geographical  distribution,  etc.),  especially  water  resources, 
agricultural  and forestry  production  and coastal resources. 

3.  To contribute to the technological  development necessary  for  observation,  monitoring 
and  environmental  research, 
to  methodological  development  in  relation  to  its 
applications  (observation  of  the  state  of  the  environment;  diagnosis  and  forecast  of 
change),  including  in  the field  of  space technology.  This  effort  is  also planned  as a 
support  for  the other  Community policies. 

4.  To contribute to the development of original and cost-benefit  effective  technologies to 
treat effluent  (waste water, gases emitted by fixed or mobile sources), and to contribute 
to the development of  technologies  relating  to industrial  waste so as to encourage the 
development of technologies to recycle products and industrial  materials.  To develop 
clean  technologies  and  methodologies  to  analyse  the  life  cycles  of  synthetic  and 
industrial  products. 

44 

x% 

Impact  on  natural  resources and on energy consumption  will of course be  taken  into 
consideration,  as  will  the  impact  of  products  on  the  environment  at  the  various 
stages  of  their  existence,  from  the  stage  of  raw  materials  incorporated  into  these 
products  up 
Similarly, 
to  their  final  use,  recycling,  recovery  or  disposal. 
methodologies to assess the impact of industrial processes will be tackled, as will  the 
development of effective  technologies to restore the components of the  environment 
and  the development of methodologies and technologies for the monitoring, warning 
and  management  of  natural  risks. 

Target  population 

The  beneficiaries  of  Community  action  will  be  universities,  research  centres  and 
institutions,  and  undertakings  associated  within  research  consortia.  In  accordance 
with  the  general  objective,  research  results  will  assist  the  policies  of  the  European 
Union  and  of  the  Member  States. 

9.2  Grounds  for  the  operation 

The  implementation  of  the  Fifth  Community  Programme  of  Policy  and  Action  in 
relation  to the Environment  and  Sustainable Development  will, in a spirit of  shared 
responsibility,  allow us to reverse environmentally  harmful  trends and  practices  and 
so  improve  the  quality of life  of  the  people  of  Europe  and  create  conditions  which 
will  favour  economic  recovery  based  on  a  sustainable  development  model.  This 
strategy  will  help  make  businesses  more  competitive  and  improve  employment 
prospects  in  the  Union. 

Identification  and  assessment  of  the  impact  of  human  activity  on  natural  resources 
and  the  environment  will  enable  us  to  formulate  a  scientific  base  for  this  policy. 
Observation  and  accurate  knowledge  of  the  way  the  different  components  of  the 
environment  work and  how they respond  to human  intervention,  and  understanding 
of  the  socio-economic  factors  responsible  for  environmental  change  and  of  the 
impact  of  that  change on  natural  resources, society  and  economic  activity are  basic 
conditions  for  framing  a  policy  of  protection. 

The prenormative and prelegislative aspects of environmental research are  therefore 
closely  linked  to  the  observation  and  understanding  of  basic  natural  processes  and 
to  knowledge  of  the  socio-economic  implications  of  environmental  change. 

ICNV/RJJVI/lf ;/a|/23 mar* !<*M 

45 

<t% 

In addition, the complexity and interdependence of these processes and changes and 
the multidisciplinary nature and globalization of environmental  research mean that 
the  European  Union  must  focus  its  research  effort  on  areas where  the  pooling  of 
infrastructure  and national  research potential  and the coordination  and  integration 
of  Member  States'  own  efforts  are  essential  to  make  the  most  of  and  highlight 
Europe's  contribution  to  the  world  research  effort.  This  is particularly  true  in the 
field of research into global change.  In this area, therefore,  action by the European 
Union  is  in  full  accord  with  the  principle  of  subsidiarity. 

Research  into  the  natural  environment  and  global  change  calls  for  considerable 
effort  in  certain  technological  areas.  Detailed  study  of  natural  processes  and 
environmental change will require substantial progress to be made in the instrument 
technologies  linked  to  observation  and  monitoring  of  the  environment.  These 
technologies  allow  accurate  diagnosis  to  be  made  of  changes  and  disturbances 
arising  from  natural  causes  or  from  human  activity.  Similarly,  stimulation  of  the 
application of space technology  in the field of Earth observation by means of  some 
support for the development  of space sector instrumentation and a more  significant 
contribution  to  the  ground  sector  and  to  data  use  would  improve  our  capacity  to 
diagnose environmental change and assess its consequences.  The scale of the  effort 
involved  and  the  need  to  coordinate  the  activities  of  the  Member  States  clearly 
justify  action  by the  European  Union  in  this area,  too.  The  value  of  RTD  in  the 
field  of  Earth  observation  is  not  confined  to the  environment,  but will also  enable 
us  to  strengthen  the  logistics  needed  for  the  implementation  of  the  other 
Community  policies,  e.g.  the  common  agricultural  policy. 

As  in  the  past, arrangements  will  take  the  form  of  a  close  combination  of  shared-
cost activities, concerted actions and corresponding JRC activities.  These combined 
actions will be made even more effective  by the establishment  of thematic  networks 
of  excellence,  participants  in  which  will  be  selected  on  the  basis  of  general 
framework  programme  criteria. 

9.3  Monitoring  and evaluation  of  the  operation 

The  following  indicators  of  performance  will be  selected: 

internal  and external  programme  evaluations; 
the  number  of  scientific  conferences,  workshops  and  symposia  which  are 
organized; 
scientific  publications  by the  Commission  and  others; 
the  results  of  the  scientific  evaluation  of  the  programme  or  of  particular 
projects,  and  evaluation  of  the  transfer  of  new  knowledge  generated  within 
the  programme  towards  the  policies  concerned, 
in  particular  on  the 
environment,  and  to  businesses; 

VJNVWCVVlKlhim mar,  |<*M 

46 

93? 

the programme's contribution to the world programmes on global change. 

In order to contribute to the overall assessment of Community  activities provided 
for in Article 4(2) of the Decision adopting the fourth framework  programme, the 
Commission will, in due course, have an assessment made by independent experts 
of the activities carried out in the field directly covered by this programme, and of 
its management during the five years preceding the assessment. 

At the end of this programme, the Commission will instruct independent experts to 
conduct a final evaluation of the results achieved compared with the objectives set 
out in Annex  III to the fourth framework programme and Annex I to the Decision 
on the programme.  The final evaluation report will be  forwarded  to the Council, 
the European Parliament and the Economic and Social Committee. 

IiNV/RiiVl/PG/aK/23 man  \¥H 

47 

\'0 218 

Proposal  for  a 

COUNCIL DECISION 

94/0085(CNS) 

adopting a specific  research  and 

technological development  programme  in the 

field of marine sciences and  technologies 

(1994-1998) 

ZW 

SPECIFIC PROGRAMMES  1994-98 
ENVIRONMENT AND CUMATC 
AND 
MARINE SCIENCE AND TECHNOLOGY 

GENERAL  EXPLANATORY 
MEMORANDUM 

The implementation  of the Fifth  Community Programme  of Policy and Action  in relation 
to the Environment and Sustainable Development will, in a spirit of shared responsibility, 
allow us to improve the quality of life of the people of Europe and create conditions which 
will favour the transition to lasting and sustainable economic development.  This strategy will 
help make businesses more competitive and improve employment prospects in the Union. 

Accurate  knowledge  of  the  way  in  which  the  various  components  of  the  environment 
function and react to man's influence will enable us build up the scientific base we need in 
order to frame and implement an integrated strategy for the environment aiming at a high 
level  of  protection.  In  order  better  to  define  and  implement  a  lasting  and  sustainable 
development strategy, we must also understand the socio-economic factors responsible for 
environmental change and assess the impact of that change on natural resources, society and 
economic activity.  The prenormative and prelegislative aspects of environmental research 
are therefore closely linked to the observation and understanding of basic natural processes 
and to knowledge of the socio-economic implications of environmental change. 

Our  chief  aim  in  the  thematic  area  of  the  Environment  is  therefore  to  observe  the 
characteristics  and understand  the  basic processes  of  the  climate  and of  natural  systems 
(continental,  oceanic  and atmospheric),  identify  and assess  the  adverse  effects  of human 
activity on them and identify ways of preventing such effects  or remedying* them where this 
proves necessary.  The elements  to be  taken into account  include, most  particularly, the 
effects of industrial activity, transport, tourism, uncontrolled disposal of waste, urbanization, 
misuse of water, types of land use and management, and agricultural and forestry practices. 

In  view  of  the  interactions  between  the  climate,  the  oceans,  the  atmosphere  and  the 
biosphere, we need not only to study each of these systems in detail, but also to examine the 
way they interact. 

ENV/RUVVPG/al/lO March  19W 

1 

Within  each  of  these  systems, major processes  such  as  matter and energy fluxes  and  the 
mechanisms which control them will be taken into consideration, given that we must be able 
to understand, model and predict the way in which they are disturbed by human activity on 
the European scale if we are to attain our research goals on a planetary scale and construct 
the  scientific  base  on  which  to  implement  the  Fifth  Programme  of  Action  on  the 
Environment. 

We shall also study fluxes and interactions between systems, since to understand the global 
system and its regional and local components we must quantify these fluxes and understand 
the interactions. 

In accordance  with  the  principle  of  subsidiarity,  Community  research  will  focus  on  areas 
where  the  existence  of  European  networks,  the joint  use  of  infrastructures  and  national 
research capabilities and the coordination  and integration  of Member States' research are 
liable  to be  most effective  and highlight  Europe's  contribution  to world research.  This is 
particularly  true in the fields of global change and oceanography research, where the sum 
of the national, Community and global research  effort  is greater than the individual parts. 

The growing requirements of research into the natural environment and global change call 
for considerable effort  in certain technological areas.  If the study of natural processes and 
environmental change is to be broadened, substantial progress will have to be made in the 
instrument technologies linked to observation and monitoring of the continental and marine 
environments.  These  technologies  allow  accurate  diagnosis  to  be  made  of  changes  and 
disturbances arising from natural causes  or from human activity.  Similarly, stimulation  of 
the  application Of space  technology  in  the field of  Earth  observation  by means  of  some 
support  for  the. development  of  space  sector  instrumentation  and  a  more  significant 
contribution to the ground sector and to data use would improve our capacity to diagnose 
environmental  change and assess its consequences. 

The programmes will also contribute to the development of new and profitable technologies, 
which it will be possible to apply to the design of industrial products whose manufacture and 
use  are  likely  to  have  a  reduced  impact  on  the  environment.  This will  in  turn  promote 
technologies to recycle materials and products.  Where it is not possible to recover or recycle 
waste,  efforts  will  be  made  to  promote  technologies  for  processing  it  or  disposing  of  it 
without  risk  to  human  health  or  the  environment.  Research  is  also  planned  into 
technologies  to reduce and process industrial waste and effluent.  Finally, the programme 
will  try to  develop  methodologies  for  assessing  industrial  risks, as well  as technologies  to 
forecast,  prevent and reduce natural risks. 

l:.N"V,K|-:vi/l"C;/al/IO  Marvh  19*1 

£^-f 

As in the  past, we shall, ensure  that  the  programme  objectives  are  met  by networking  the 
research  potential of the Member States, on a competitive basis, and by coordinating RTD 
activity undertaken  at  Union  level with the corresponding  activities in the Member  States, 
the effect  of which will be to reinforce  the overall  RTD  effort  in  Europe. 

ENV/RRVl/PG/ac/IO March  J99-1 

IIIÏ 

PROPOSAL FOR A COUNCIL DECISION 
of ..... 

adopting a specific programme of 
research and technological development  (1994-98) 
in the field of marine science and technology 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130i(4)  thereof, 

Having regard  to the  proposal from the Commission,(1) 

Having regard  to  the opinion  of the European  Parliament/2* 

Having regard  to the opinion  of the Economic  and Social Committee,(3) 

Whereas,  by  Decision  ../../EC,(4) the  Council  and  the  European  Parliament  adopted  a  fourth 
framework  programme  of  Community  activities  in  the  field  of  research,  technological 
development and demonstration (RTD) for the period 1994-98 specifying inter alia the activities 
to  be  carried  out  in  the  field  of  marine  science  and  technology; whereas  this  Decision  takes 
account  of  the grounds  set out  in the preamble  to that  Decision; 

Whereas  Article  130i(3)  of  the  Treaty  specifies  that  the  framework  programme  is  to  be 
implemented through specific programmes developed within each activity under the framework 
programme; whereas each specific programme must define  the detailed rules for  implementing 
it, fix its duration  and  provide for  the means deemed  necessary; 

Whereas this programme may contribute appreciably to increased growth, competitiveness and 
employment  in  the  Union,  as  indicated  in  the  White  Paper  on  growth,  competitiveness  and 
employment;(5) 

Whereas  this  programme  will  be  carried  out  mainly through  shared-cost  activities,  concerted 
actions and  preparatory,  accompanying and  support  measures; 

(1)  OJ  L ..,...,  p. .. 

(2)  OJ  L ..., ..., p. .. 

(3)  OJ  L  ...,...,  p. .. 

(4)  OJ  L  ...,...,  p. .. 

(5)  COM(93)700. 

J? l /} 

Whereas,  in  accordance  with  Article 130,(3),  an  estimate  should  be  made  of  the financial 
resources  needed  to  carry out  this  specific  programme;  whereas  the  final  amounts  will  be 
decided upon by the budgetary authority in accordance with the relative priority assigned to the 
areas covered by this programme within activity I under the fourth framework programme; 

Whereas Decision ../../EC (fourth framework programme) specifies  that the overall maximum 
amount of the fourth framework programme will be reexamined by no later than 30 June 1996 
with a view to its being increased; whereas, as a consequence of that reexamination, the amount 
deemed necessary to carry out this programme could increase; 

Whereas it is necessary to promote knowledge of the marine environment and its interaction 
with  the  other  components  of  the  biosphere,  with  a  view  to  forecasting  change,  and  to 
strengthen  the  technological  basis  of  European  industry  with  regard  to  the  exploration, 
monitoring and sustainable exploitation of mankind's inheritance, the oceans; 

Whereas the content of the fourth framework programme for Community RTD activities was 
established  in  accordance  with  the  subsidiarity  principle;  whereas  this  specific  programme 
specifies the content of the activities to be carried out in accordance with this principle in the 
field of marine science and technology; 

Whereas Decision ../.TEC (fourth framework programme) lays down that Community action is 
justified  if, inter alia, the research helps to reinforce  the economic and social cohesion of  the 
Union  and  to  encourage  its  harmonious  development  while  at  the  same  time  meeting  the 
objective of scientific and technical quality; whereas this programme is intended to help meet 
these objectives; 

Whereas this programme will help to strengthen synergy between the RTD activities carried out 
in the field of marine science and technology by research centres, universities and undertakings, 
in particular small and medium-sized enterprises, in the Member States and between these and 
the corresponding Community RTD activities; 

Whereas the rules for the participation of enterprises, research centres (including the JRC) and 
universities  and  the  rules  governing  the  dissemination  of  research  results  provided  for  in 
Article  130j of the Treaty apply to this specific programme; 

Whereas, in accordance with Article  130m of the Treaty, it may be appropriate  to engage in 
international  cooperation  activities with international  organizations  and third countries  other 
than  the  countries  covered  by  the  EEA Agreement  for  the  purpose  of  implementing  this 
programme; 

Whereas this programme also comprises activities for the dissemination and utilization of RTD 
results, in particular vis-à-vis small and medium-sized enterprises, and especially those located 
in the Member States or regions which participate least in the. programme, as well as activities 
promoting the mobility and training of researchers within this programme to the extent necessary 
for the proper implementation of the programme; 

Whereas provision should be made for measures to encourage the involvement of SMEs in this 
programme, in particular through technology promotion measures; 

SLHH 

Whereas  basic  research  in  the  field  of  marine  science  and  technology  should  be  encouraged 
owing to  the  need  to understand  the fundamental  processes  governing global  change  and  the 
climate; 

Whereas  an  assessment  should  be  made  of  the  economic  and  social  impact  and  any 
technological risks associated with  the activities carried  out under  this programme; 

Whereas progress with this programme should be continuously and systematically monitored with 
a  view to  adapting  it, where  appropriate,  to  scientific  and  technological  developments  in  this 
area; whereas  in  due  course  there  should  be  an  independent  evaluation  of  progress  with  the 
programme  so as to provide all the background  information  needed  in order to determine  the 
objectives of the fifth RTD framework programme; whereas at the end of this programme there 
should be a final evaluation of the results obtained  compared with the objectives  set out in this 
Decision; 

Whereas  the JRC may participate  in the indirect activities  covered  by this programme; 

Whereas  the  JRC will also  contribute,  through  its own  programme  of  direct  activities, to  the 
attainment  of the  Community RTD objectives  in the  areas covered by this programme; 

Whereas the Scientific  and Technical Research  Committee  (Crest) has been  consulted, 

HAS ADOPTED THIS DECISION: 

Article 1 

A specific programme of research and technological development in the field of marine science 
and technology, as set out in Annex  1, is hereby adopted  for  the period from {date of adoption 
of this programme) to 31 December  1998. 

Article 2 

1. 

2. 

3. 

4. 

The  amount  deemed  necessary  for  carrying  out  the  programme  is  ECU  228 million, 
including 6.7% for  staff  and  administrative  expenditure. 

An indicative breakdown  of this amount  is given  in Annex II. 

The amount deemed necessary for carrying out the programme, as indicated above, could 
increase as a result of and in accordance with the Decision referred  to in Article  1(3) of 
Decision  ../../EC (fourth  framework  programme). 

The budgetary authority shall determine  the appropriations  available for  each  financial 
year  in  accordance  with  the  scientific  and  technological  priorities  set  in  the  fourth 
framework programme^ 

Detailed  rules for  implementing  this programme, in addition  to those referred  to  in Article 5, 
are  set out  in Annex III. 

Article 3 

- ^s 

Article 4 

1. 

2. 

3. 

The Commission shall continually and systematically monitor, with appropriate assistance 
from  independent, external experts, the progress within this programme in relation to the 
objectives set out in Annex I. It shall in particular assess whether the objectives, priorities 
and  financial  resources  are  still  appropriate.  Where  appropriate,  it  shall  submit 
proposals  to  adapt  or  supplement  this  programme  depending  on  the  results  of  this 
monitoring process. 

In order to contribute to the overall assessment of Community activities provided for in 
Article 4(2) of the Decision adopting the fourth framework programme, the Commission 
shall, in due course, have an assessment made by independent  experts of the  activities 
carried out in the fields directly covered by this programme, and of their management 
during the five years preceding the assessment. 

At  the  end  of  this programme,  the  Commission  shall  instruct  independent  experts  to 
conduct a final evaluation of the results achieved compared with the objectives set out 
in Annex III to the fourth framework programme and Annex I to this Decision.  The 
final  evaluation report shall be forwarded to the Council, the European Parliament and 
the Economic and Social Committee. 

Article 5 

1. 

A  work  programme  shall  be  drawn  up  by  the  Commission  in  accordance  with  the 
objectives set out in Annex I and shall be updated where appropriate.  It shall set out 
in  detail  the  scientific  and  technological  objectives  and  specify  the  stages  in  the 
implementation of the programme and the proposed financial arrangements. 

The work programme  may also  provide for participation in certain  actions within  the 
framework  of  EUREKA 

2. 

The  Commission  shall  issue  calls  for  proposals  for  projects  on  the  basis  of  the  work 
programme. 

Article 6 

1. 

2. 

3. 

The Commission shall be responsible for the implementation of the programme. 

In the cases provided for in Article 7(1) the Commission shall be assisted by a committee 
of an advisory nature composed of representatives of the Member States and chaired by 
the representative  of the Commission. 

The Commission representative  shall submit to the committee a draft  of  the  measures 
to  be  taken.  The  committee  shall  deliver its opinion  on the  draft within  a  time  limit 
which the chairman may lay down according to the urgency of the matter, if  necessary 
by taking a vote. 

4. 

The opinion shall be recorded in the minutes; in addition, each Member State shall have 
the right to ask to have its position recorded in the minutes. 

l yk 

5. 

The  Commission  shall  take  the  utmost  account  of  the  opinion  delivered  by  the 
committee.  It shall inform the committee of the manner in which its opinion has been 
taken into account. 

1. 

The procedure laid down in Article 6(2) shall apply to: 

Article 7 

the preparation and updating of the work programme referred to in Article 5(1); 

the evaluation  of RTD projects put forward  for  Community funding  and of the 
estimated amount of project funding where this exceeds ECU 0.35 million; 

the measures to be taken to evaluate the programme; 

any adjustment to the indicative allocation of the amount appearing in Annex II 
which has not been the subject of a budgetary decision. 

2. 

The Commission shall inform the committee, at each of its meetings, of progress with the 
implementation  of the programme as a whole. 

Article 8 

The  Commission  is  hereby  authorized  to  negotiate,  in  accordance  with  Article 228(1), 
international agreements with European third countries with a view to involving them in all or 
part of the programme. 

This Decision is addressed to the Member States. 

Article 9 

Done at Brussels, 

For the  Council 
The President 

2W 

SPECIFIC PROGRAMME 1994-98 

MARINE SCIENCE  AND 
TECHNOLOGY 

ANNEXI 

SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES AND  CONTENT 

INTRODUCTION 

The specific RTD programme on Marine Science and Technology (MAST HI) fully reflects the 
approach  embodied  in  the  fourth  framework  programme,  applying  its  selection  criteria  and 
specifying  its scientific  and technological  objectives. 

Chapter  3  (introduction  and  paragraphs  A  and  B)  of  Annex IE, Activity  1 of  the  framework 
programme forms  an integral part  of this programme; 

The MAST III programme extends, develops and refocuses  the activities carried out under the 
first two MAST programmes, i.e. the pilot phase of 1989-92 and the MAST II programme 1991-
94.  For the period  considered, it is a step in a longer term  strategy which will enable  Europe 
to make  a  full  contribution  to the knowledge and management  of the oceans. 

The programme comprises four  areas of activity: (1) marine science - while this topic generally 
covers all the seas surrounding the EEA (including the Arctic ocean), much of the research will 
be organized in a multidisciplinary approach to problems which are specific to each regional sea 
and to some extreme marine environments, (2) strategic marine research, with emphasis on the 
coastal zone, on socio-economic impact and on risk, (3) marine technology and  (4) supporting 
initiatives. 

The  programme  implements  various  provisions  of  the  Commission's  working  document 
COM(93)459 and the White Paper on Growth, Competitiveness and Employment COM(93)700. 

1. 

It specifically addresses a number of problems, such as global change and coastal 
zone protection, which are considered to be priorities on a European scale.  Close 
linkage  with  corresponding  activities  under  the  Environment  and  Climate 
programme and in the JRC should produce the necessary synergies and  serve to 
highlight interactions  between  the  major  compartments  of  the  biosphere  (land, 
atmosphere  and sea). 

£«<S 

2. 

3. 

In  the  section  on  marine  technology,  the  programme  acknowledges  the 
importance of research into generic technologies and takes account of the gradual 
emergence  of  new  needs,  particularly  in  the  sector  of  ocean  and  coastal 
observation and monitoring, with the aim of helping to promote growth in Europe. 
Enhanced synergy will be  sought with Eureka, and especially with the  umbrella 
project  EUROMAR. 

Through its coordination activities and supporting initiatives, the programme will 
help to enhance  the profile  and  the cohesion  of Europe's  scientific  community, 
streamline  the integration  of  national  activities with those  undertaken  at  Union 
level  and  promote  coordinated  management  of  the  infrastructures  needed  in 
research. 

Whenever  necessary,  the  programme  will  be  implemented  in  close  collaboration  with  other 
actions hsted in the Framework Programme, i.e. the programmes and activities mentioned at 1. 
above, and also the programmes on "Agriculture and Fisheries", "Biotechnology", "Non-nuclear 
Energy",  "Measurement  and  Testing",  "Industrial  and  Materials  Technologies",  'Telematics", 
'Transport", and 'Targeted Socio-economic Research". 

2H?> 

CONTENT 

— general objective — 

To foster the scientific Imowledge and technological development necessary to understand how 
marine systems function  at basin  scales, in order to  prepare  for  sustainable  use  of the  oceans 
and determine  their  role in global change. 

Research  Area  I:  Marine science 

— objective — 

To study the fundamental  processes determining the dynamics of marine systems in the 
seas  and  oceans  around  Europe  with  a  view  to  a  better  understanding  of  the  marine 
environment  and improved  capability to forecast  change. 

(1)  Marine Systems Research 

— objective — 

To study the physical, chemical, biological and geological processes and their interactions 
at basin scales, with emphasis  on scientific  problems  relevant  at the European  level. 

— research  tasks — 

1. 

2. 

3. 

4. 

5. 

Circulation  and  exchange  of water  masses: formation  and  spreading  of ventilated  and 
non-ventilated  water  masses  on  the  continental  slopes  and  in  the  deep  basins  of  the 
eastern North Atlantic, its northern marginal seas and the Mediterranean; change of the 
physical, geochemical  and biological properties  of these water masses during  spreading 
and mixing. 

Pelagic  and  benthic  ecosystems  of  marginal  seas  and  ocean  basins:  structure  and 
functioning  of  their  living communities;  energy  and  element  cycling through  foodwebs; 
biodiversity patterns  in relation  to biotic and  abiotic  factors. 

Biogeochemical  processes  and  fluxes  across the  air/sea  interface:  linkage  of  water  and 
atmospheric processes and quantification  of fluxes of organic matter, nutrients, gases and 
metals involved in air/sea  exchange. 

Flux  of  heat  and  organic  and  inorganic  matter  across  the  water/sediment  interface: 
influence  on ocean  dynamics, energy balance, diagenesis  of  sediments  and  benthic  and 
pelagic ecosystems. 

Sedimentary  processes  in  the  deep  sea  and  on  the  continental  slope:  transport  and 
deposition  on various time scales. 

£so 

(2) 

Extreme  marine  environments 

— objective — 

To  understand  the  functioning  of  ecosystems  in  extreme  marine  environments  and  to 
determine  their role  in the  global  environment by studying their  characteristic  physical, 
chemical,  biological  and  geological  processes. 

— research  tasks — 

1. 

2. 

3. 

The  deep  sea  floor  in  the  North  Atlantic  and  the  Mediterranean: 
Interdisciplinary studies at the base of the water column, of the sea-floor-water  interface 
and  of  the  subseafloor:  quantification  and  long-term  investigation  in  the  spatial  and 
temporal  variability  of  biological,  chemical  and  biogeochemical  processes  and  fluxes 
(including  hydrothermalism);  geological  and  geophysical  processes  at  active  plate 
boundaries. 

Thé  ice-covered  seas  in the  northern  hemisphere: 
Physical  dynamics  of  sea  ice;  deep  water  formation;  large-scale  circulation,  eddies  and 
shelf  processes  in the Arctic; biological  dynamics  of  sea-ice-systems  and  their  particular 
role  in  the  Arctic  food  webs,  life  cycle  strategies  of  marine  organisms  in  polar  seas; 
vertical  biogeochemical  transfer  processes  and  the  impact  of  variability  in  pack  ice 
coverage  on  the  sea  floor  communities;  sediment  formation  in ice-covered  regions  and 
the  geological  record  as  indicator  of  long-term  ice  cover  change. 

The  surf and  swash  zone  of  European  coasts: 
Study  of  sub-  and  intertidal  ecosystems  in  relation  to  the  dominating  physical  forcing 
factors;  morphological,  physiological  and  ontogenetic  adaptations  of  organisms; 
interactions of biological  with physical, chemical and sedimentological  factors which are 
relevant for formation, stabilization and alteration processes of the immediate shore line. 

(3) 

Regional  Seas  Research 

— objective — 

To combine comprehensive, interdisciplinary large-scale process studies under a common 
objective in order to understand the functioning of entire inland seas or specific sub-areas 
of  the  eastern  North-Atlantic. 

— research  tasks — 

1. 

The  Mediterranean  Sea: 
Investigation  of  the  physical, geochemical  and biological  processes which  determine  the 
evolution  of  the  Mediterranean  ecosystem;  exchanges  between  the  continental  margin 
and the open sea as well as through straits and channels; contribution  of various  sources 
(e.g.,  atmosphere,  rivers,  upwellings)  of  organic  and  inorganic  matter,  transport  in  the 
water  column  and  sediment  record;  modification  of  biogeochemical  equilibria  by 
anthropogenic  influences;  influence  of  physio-chemical  environment  on  biological  and 
microbiological  processes. 

< % >/ 

2. 

3. 

4. 

The Baltic Sea: 
Quantification  of contemporary fluxes of matter and energy for a better understanding 
of the susceptibility of the Baltic Sea to global changes; assessment of evidence for past 
and  present,  natural  and  anthropogenic,  changes  of  the  Baltic  ecosystem  in  order  to 
achieve a balance between exploitation of resources and sustainability and conservation 
of  the  entire  system; development  of  general  strategies  and  tools  for  integrated  (i.e., 
scientific, technical and socio-economic) coastal zone management. These research tasks 
will be carried out in close cooperation with the Environment and Climate programme. 

The Canary-Azores region and Alboran Sea: 
Analysis  and  simulation  of  the  exchange  of  energy,  water,  particulate  and  dissolved 
matter and organisms between the North Atlantic and the Mediterranean; work on the 
Strait of Gibraltar and adjacent seas will focus on analyses and simulations of fluxes and 
their climatic, geochemical and biological implications. 

The Northeastern Atlantic continental margin: 
Determination  of  the  principal  processes  controlling  fluxes  of  water  and  particles  in 
geombrphologically  contrasting  shelf  edge  systems;  study  of  water  masses,  currents, 
productivity,  sedimentation  processes,  sediment  transport  and  biogases  at  the  ocean 
margin; determination of the sensitivity of these processes in response to global climatic 
change and sea-level rise and vice versa. 

Research Area II:  Strategic Marine Research 

— objective — 

To  study  the  dynamics  of  marine  systems  for  application  in  the  management  of  the 
marine environment as a resource.  Consideration will be given to the impact of socio 
economic factors on the marine environment in coordination with the Environment and 
Climate programme. 

(1) 

Coastal and Shelf Sea Research 

— objective — 

To understand the complex interactions of the physical, biological and chemical processes 
in shelf  seas  and coastal  environments; to  enhance  medium  and long-term  predictive 
capacity of coastal zone evolution with a view to sustainable use of the coastal and shelf 
environments. 

— research tasks — 

1. 

Coastal physical processes and morphodynamics: 
Processes  and  their  interactions  in  the  shelf  sea  and  coastal  zone  mostly  related  to 
sediment  (cohesive  and  non-cohesive)  transport  and  morphodynamics;  dynamics  of 
estuaries  and  of  inter-tidal  zones  and  salt  marshes  in  their  role  as  shore  protection 
mechanisms; development of  integrated models for medium and long-term predictions 
of the coast and implementation of large-scale experiments for model formulation and 
evaluation. 

10 

2. 

Structure and dynamics of shelf and coastal sea ecosystems: 
Interactions between the shelf and the various components of the coastal zone  (neritic 
zone,  estuaries,  inter-tidal  zone,  lagoons  and  salt  marshes);  relative  importance  of 
autochthonous  and  allochthonous  sources  of  matter  for  different  types  of  near-shore 
ecosystems; origin, transformation and fate of organic matter in the coastal sea; the role 
of coastal biogeochemical cycling in global change; integrated process modelling with a 
view  to  providing  tools  for  management  of  shelf  sea  resources  (research  under  this 
heading  will  be  coordinated  with  IGBP-LOICZ  activities  and  with  those  of  the 
Environment and Climate programme). 

3.  Methods for monitoring, forecasting and management  of shelf seas and coastal zones: 
Methods for the operation of forecasting and monitoring systems for physical and non-
physical properties in coastal waters and shelf seas; methods for integrating subsystems 
and for evaluating information fluxes and management options. 

(2) 

Coastal engineering 

— objective — 

To  provide  the  scientific  and  technical  basis  which  will  enable  the  development  of 
innovative  design  tools  and  will  lead  to  laying  down  authoritative  design  guidelines 
regarding the various shore protection structures. 

— research tasks — 

1. 

2. 

Design of man-made coastal structures and maintenance of natural coastal structures: 
Hydrodynamic  processes  affecting  the  dynamic  behaviour  and  stability  of  coastal 
structures,  especially  3-D  effects,  and  numerical  models  for  their  simulation. 
Morphological changes in the vicinity of the structures. 

Development  of new spaceborne  techniques, increased use of satellite imagery for the 
detection,  monitoring  and  analysis  of  coastal  processes  (research  in  this  area  will  be 
coordinated with the Environment and Climate programme). 

(3)  Risk and impact evaluation 

— objective — 

To identify, estimate and forecast risks and adverse impacts on the marine environment 
resulting from the use of: (a) current and future marine technologies as well as research 
and  monitoring  techniques  and  instruments,  and  (b)  methods  of  ocean  use  and 
management.  Risks and impacts on the marine environment resulting from commercial 
activities such as mineral, ofl and gas extraction, fishing, and transportation are not included. 

— research tasks — 

1. 

Risks and impacts associated with the installation of coastal structures and the use and 
management of coastal seas. 

11 

«"3 

2. 

3. 

4. 

5. 

Risks and impacts associated with the use and management of the sea floor. 

Risks and impacts on the marine environment associated with the exploitation of coastal 
resources. 

Risks and impacts on marine life  resulting from the  apphcation  of  current  and  future 
technologies for ocean observation. 

Risks and impacts on the marine environment resulting from the use of intrusive methods 
for marine research. 

6. 

Socio-economic impacts resulting from the adverse effects identified in tasks 1-5 above. 

Research Area III:  Marine Technology 

— objective — 

To promote research on generic technologies and on advanced systems (platforms and 
instruments), in order to improve or create new capabilities for observing, monitoring and 
managing  the  marine  environment  and  for  exploiting  marine  resources.  A  crucial 
objective  of  this research  is  to  help  make  European  industry  more  competitive.  This 
objective must be achieved in a manner which will preserve the environment. 

(1)  Generic Technologies 

— objective — 

To provide the marine community with the generic technologies for the future by 
the  development  of  innovative  technologies,  further  development  of  existing 
technologies or adaptation to the marine environment of technologies from other 
fields. 

— research tasks — 

1. 

2. 

3. 

Non-disturbing techniques: 
Research  on  non-disturbing  techniques  for  océanographie  observations  (biological 
communities, three dimensional physical structure of the oceans), including sound signal 
modelling and analysis. 

Underwater communication and orientation: 
Development of precise underwater positioning, navigation and communication systems 
for large-scale research, surveying and monitoring which are effective over distances large 
compared with water depth. 

Underwater viewing: 
Development of advanced underwater imaging and vision systems for biological, chemical, 
physical and geological/geophysical research. 

12 

4. 

Exploitation of marine biological resources other than fisheries and aquaculture: 
Development  of  techniques  for  the  identification  and  cultivation  of  marine  organisms 
capable  of  producing  bioactive  substances;  extraction,  purification,  structural 
characterisation  and  analysis  of  bioactive  compounds;  evaluation  of  the  application 
potential  of  these  substances  for  basic  research  in  ecology,  marine  engineering,  food 
technology and medicine. 

(2)  Advanced Systems 

— objective — 

To design and develop advanced systems and subsystems for measuring océanographie 
parameters and sea floor characteristics, taking samples, and implementing technologies 
used  in  support  of  exploration,  monitoring  and  marine  exploitation  activities.  These 
advanced systems will make it possible to monitor regional,  global, seasonal  and long-
term changes in the seas and oceans. 

— research tasks — 

1. 

2. 

Unmanned platforms for the deep sea and the Arctic: 
Development of advanced equipment  and subsystems for unmanned platforms  such as 
ROVs or untethered free swimming vehicles, benthic landers, benthic laboratories and 
buoys for the deep sea and arctic ocean; this includes research on advanced materials, 
power  sources  and  propulsion  systems  as  well  as  mission  management  systems  and 
research vessel based handling systems. 

Océanographie measurement and sampling equipment: 
Development  of sensors, instruments and samplers with good  long-term characteristics 
for  use  in  harsh  environments  both  in  the  water  column  and  on  the  sea  floor.  The 
research  will  take  into  account  the  needs  of  the  future  GOOS(1)  and  of  other  major 
international  programmes,  and  the  requirement  to  support  deep  sea  exploration  and 
exploitation activities.  The transfer of existing sensors from other domains to the marine 
environment will be encouraged. 

3. 

Biosensors: 
Development of biosensors for brackish and marine waters, especially for the monitoring 
of natural and artificial  organic compounds and their degradation  processes 

(1)  Global Ocean Observing System. 

13 

Area  IV: 

Supporting Initiatives 

— objective— 

To  improve  coordination,  cooperation  and  the  exchange  of  information  amongst 
European  scientists and to help increase the effectiveness  of national and  international 
programmes  through  better  use  of research  facilities  and  the transfer  of  expertise  and 
knowledge. 

— topics for  action — 

Advanced  training (fellowships,  courses). 

Standards  for  training  and  work  in specialized  fields  of  ocean  sciences  (e.g.,  scientific 
diving, marine technicians). 

Coordination  of  modelling,  ocean  data  exchange  and  quality  control  for  research  and 
operational  applications:  initiation  of  European  activities  in  the  fields  of  modelling 
marine systems, ocean data and information exchange and of quality control.  To provide 
assistance so that specialized centres, national institutions and undertakings, in particular 
SMEs, can participate in a  coordinated  manner. 

Coordinated  use of  heavy experimental  equipment  and  large computing  facilities  on  a 
regional  and European  scale. 

Design  of  components  and  systems for  heavy  advanced  experimental  and  operational 
equipment. 

Calibration  techniques  and  standards  for  marine  instrumentation  and  observation 
methods. 

1. 

2. 

3. 

4. 

5. 

6. 

14 

ANNEXE 

INDICATIVE BREAKDOWN OF THE AMOUNT 

Area I 
Marine  science 

Area II 
Strategic marine research 

Area m 
Marine technology 

Area  IV 
Supporting initiatives 

TOTAL 

% 

33-37 

20-25 

33-37 

5-10 

100%(1)(2)(3) 

The breakdown between different  areas does not exclude the possibility that projects may cover 
several  areas. 

Community funding for the utilization of heavy sea equipment will be limited to a maximum of 
5%  of the total programme  budget 

(1)  Including 3.3% for  staff  expenditure  and  3.6% for  administrative  expenditure. 

(2)  Including ECU  2 million for  the dissemination  and  utilization  of results. 

(3)  Including 20% for  basic research  activities and  2% for  training. 

15 

2Ç  & 

ANNEXAI 

DETAILED RULES FOR IMPLEMENTING THE PROGRAMME 

1. 

The detailed rules for the Community's financial contribution are laid down in Annex  IV 
to the Decision  on the fourth  framework  programme. 

The detailed rules for the participation of undertakings, research centres and universities 
and for the dissemination of results will be laid down as provided for in Article  130j of the 
Treaty.  However, for the purpose of implementing this programme, participation in the 
programme within  the  meaning of Article 2(2)  of the  Council Decision  on  the rules  for 
participation in programmes is restricted to international organizations located in Europe 
International 
and  to  the  entities  referred  to  in  Article 2(2)(c)  of  that  Decision. 
laboratories  located  in  Europe  may  exceptionally  be  funded  on  the  same  basis  as 
Community  organizations. 

The following will apply in the implementation  of this programme: 

Generally speaking, proposals will have to provide for  assessment  of  the  potential 
risks to the  marine environment  posed by the  proposed  research  or  technological 
development  activity. 

In order to step up the international cooperation necessary in oceanography and the 
major  international  environment  programmes,  the  supporting  initiatives  and  the 
accompanying measures may, with the exception of the advanced training, be carried 
out in cooperation with third  countries. 

2. 

This programme will be carried  out in the form  of: 

2.1  Financial participation by the Community in RTD  activities carried  out by third  parties 

or by JRC institutes in association with third  parties: 

(a)  Shared-cost activities 

RTD  projects  carried  out  by  undertakings,  research  centres  and  universities, 
including consortia  for  integrated  projects with  a  common  theme; 

technology  stimulation  to  encourage  and  facilitate  the  participation  of  SMEs  by 
means  of  awards  covering  the  exploratory  phase  of  RTD  activity,  including  the 
search for partners, and through cooperative research.  Such awards will be granted 
following  selection  of draft  proposals, which may be  submitted  at  any time.; 

support  for financing the  infrastructure  or  installations  necessary  for  coordinated 
action  (closer  coordination). 

16 

(b)  Concerted  action,  which  involves  the  coordination,  particularly  in  the  form  of 
concertation  networks,  of  RTD  projects  already  funded  by  public  authorities  or 
private  bodies.  Concerted  action  can  also  include  the  requisite  coordination  of 
thematic networks bringing together manufacturers, users, universities and  research 
centres to work on the same technological or industrial objective through shared-cost 
RTD  activities (cf. first paragraph  of Section  2.1(a)). 

(c)  Specific  measures  such  as  action  to  promote  standardization,  and  measures  to 
provide  general  tools  to  research  centres,  universities  and  undertakings.  The 
Community's  contribution  covers up to  100% of  the  cost of these  measures. 

With a view to focusing  the Community's research  effort  and giving it a higher profile  in 
the context of world research  into global change, the research  activities envisaged in this 
area will be carried  out within the framework of the ENRICH network.(1)  Such  activities 
will be  pointed  in  a  direction which  ensures that  the  research  effort  will help  meet  the 
objectives  of  the  IGBP,(2)  the  WCRP(3)  and  the  HDP,(4)  and  certain  aspects  of  the 
development  of the  GOOS.(5) 

Programme  implementation  will  include  close  linkage  with  the  corresponding  JRC 
activities  and  collaboration  with  the  following  Community  research  programmes: 
agriculture and fisheries, non-nuclear energy, environment and climate, measurement and 
testing,  industrial  and  materials  technologies,. information  technology.  Appropriate 
collaboration  will also be  set  up with  other  international  bodies  such  as  the  IOC,w  the 
ICES™ and  the ICSCM(t° and  the  corresponding  activities of the EUREKA  programme 
(EUROMAR)  and  the  NATO(9) research  centres. 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

European  Network  for  Research  in Global  Change. 

International  Geosphere-Biosphere  Programme. 

World  Climate Research  Programme. 

Human  Dimensions  of  Global  Environmental  Change  Programme. 

Global  Ocean  Observing  System. 

Intergovernmental  Océanographie Commission,  Unesco. 

International  Council for  the  Exploration  of the  Sea. 

International  Commission  for  the Scientific  Exploration  of the  Mediterranean. 

North Atlantic Treaty  Organization. •• -

17 

is s 

2.2  Preparatory, accompanying and support measures 

studies in support  of this programme  and in preparation  for  future  activities; 
conferences, seminars, workshops or other scientific or technical meetings, including 
intersectoral  or multidisciplinary  coordination  meetings; 
use of  external  expertise, including access to scientific  databases; 
scientific  publications,including  dissemination,  promotion  and  utilization  of  results 
(in coordination with the activities conducted  under  the third  area  of activity); 
studies  to  assess  the  socio-economic  consequences  and  any  technological  risks 
associated with all the projects  under this programme; 
training activities related  to research  covered  by this programme; 
independent evaluation (including studies) of programme administration  and of the 
implementation  of the activities; 
coordination  and  support for  heavy infrastructure  and  equipment; 
measures  in  support  of  the  operation  of  networks  to  provide 'information  and 
decentralized assistance to SMEs in coordination with the Euromanagement auditing 
activity of RTD. 

The  activities  relating  to  dissemination  and  utilization  of  results  carried  out  under  this 
programme will complement those of the third activity and will be closely coordinated with 
them.  The RTD project partners constitute privileged networks for the dissemination and 
utilization  of  results.  They  will  be  enhanced  by  means  of  publications,  conferences, 
promotion of results, studies of technical and economic potential, etc.  In order to ensure 
optimum exploitation, account must be taken from the outset in RTD projects  of  factors 
that  can encourage  subsequent  utilization of results. 

These  implementing  arrangements  for  the  preparatory,  accompanying  and  support 
measures will apply, in particular, to Area  IV of the programme. 

18 

FINANCIAL STATEMENT 

1.  TITLE OF OPERATION 

Marine science. 

2.  BUDGET HEADING  INVOLVED 

B6-7132. 

3.  LEGAL BASIS 

Article  130i of the Treaty on European  Union. 
Decision  of  the  Council  and  the  European  Parliament  concerning  a  fourth  framework 
programme of Community activities in the field of research, technological development and 
demonstration  (1994-98). 

4.  DESCRIPTION OF OPERATION 

4.1  General objective 

The  purpose  of  this  programme  is  to  help  implement  the  framework  programme  of 
research and technological development  (1995-98).  It continues the work of the  previous 
programmes (MAST and MAST H), though with updated form and content, in order both 
to pursue earlier developments and to meet current  objectives. 

4.2  Areas covered by the programme 

Research  area  I:  Marine science 

Research  area  II:  Strategic marine  research 

Research  area  III: Marine technology 

Area  IV: 

Supporting  initiatives 

43 

Period  covered 

1994-98 

5.  CLASSIFICATION OF EXPENDITURE OR  REVENUE 

Non-compulsory  expenditure/differentiated  appropriations. 

19 

6.  TYPE OF EXPENDITURE OR  REVENUE 

Studies/subsidies 

In principle, the  direct activities will be  100%  funded. 

The  concerted  activities  may  qualify  for  a  contribution  of  up  to  100%  of  the 
coordination  costs. 

Subsidies for  co-financing with other public and/or private sector sources 

The shared-cost activities comprising RTD projects will qualify for a contribution of 
not more than 50%. 

Universities and other research centres participating in RTD projects and unable to 
substantiate  their  total  costs  in  sufficient  detail  for  the  Commission,  based  on  an 
analytical accounting system, will qualify  for  100% funding  of the additional costs. 

Other  shared-cost  activities  (for  example,  networks,  training,  feasibility  awards  or 
accompanying measures) will qualify for up to 100% of the additional costs or of the 
costs of the  measure. 

Staff,  administrative and operating costs 

These  also cover the  costs of personnel covered by the Staff  Regulations  and  other  staff, 
studies,  meetings  of  experts,  conferences  and  congresses,  information  and  publications, 
administrative, technical and operating costs, and certain other internal infrastructure  and 
operating costs for attainment of the objective of the activity of which they are an integral 
part. 

7.  FINANCIAL IMPACT 

7.1  Method of calculating total cost of  operation 

* Staff  costs: ECU  7.52 million  (3.30% of the ECU  228 million deemed  necessary) 

The  1994 staff  levels will be maintained, i.e. 20 posts.  These posts break down as follows: 
12A  +  2B  +  6C. 

N.B. The  staff  of  this  specific  programme  will  also  be  responsible  for  the  scientific  and 
contractual follow-up to the activities begun under the third framework programme as well 
as to earlier  activities. 

* Administrative  costs,  including  staff  not  covered  by  the  Staff  Regulations:  ECU  8.21 
million  (3.60% of the ECU  228 million deemed  necessary). 

* Operating costs: ECU  212.27 million (93.10% of the ECU  228 million deemed necessary), 
including the cost of  accompanying measures, evaluations and  concertation  activities. 

20 

cftp A 

(l 

7.2 

Itemized breakdown of cost (ECU million) 

Marine  science 
Strategic marine  research 
Marine  technology 
Supporting  initiatives 

70.05-78.54 
45.60-57.00 
70.05-78.54 
11.40-22.80 

TOTAL 

228 

33-37% 
20-25% 
33-37% 
5-10% 

100% 1 +  2 

1 

2 

Including ECU  7.52 million  (3.30%)  for  staff  costs  and  ECU  8.21 million  (3.60%) 
for  administrative  costs. 

ECU 2 million of the amount deemed necessary covers the cost of dissemination and 
application  of the results. 

73 

Indicative schedule of  appropriations 

The  schedule  will  be  established  on  the  basis  of  the  overall  amounts  for  the  fourth 
framework  programme  adopted  indicatively  for  the  periods  1995-96  and  1997-98 at  the 
conciliation  meeting  on 21 March  1994. The  RTD  appropriations  for  each financial year 
will be  proposed  and  adopted  each  year  on  the  basis  of  the  resources  available  in  the 
context of the financial perspective. 

Commitment 
appropriations 

1995 

1996 

1997 

1998 

70.00 

55.00 

52.00 

51.00 

Payment  appropriations 

1995 

1996 

1997 

19.52 

17.36 

17.90 

13.25 

15.44 

15.24 

1998 
et seq. 

19.87 

21.66 

36.76 

51.00 

TOTAL 

70.00 

55.00 

52.00 

51.00  J 

TOTAL 

228.00 

19.52 

35.26 

43.93 

129.29 

228.00 

8.  WHAT ANTI-FRAUD MEASURES ARE PLANNED? 

Numerous administrative and financial controls have been introduced at every stage of the 
procedure  for  awarding and  implementing  research  contracts.  These include: 

Prior to the conclusion of the contract: 

Shortlisting of the proposals on the basis of their scientific merit and of how realistic 
the research  costs are, considering the nature, duration  and potential impact of the 
project. 

Analysis of the financial  data  submitted  by the  proposers  in the  negotiation  form. 

21 

%&<L 

After signature of the contract: 

Examination  of  the  statements  of  expenditure  before  payment  at  various  levels 
(financial  control and scientific manager). 

On-the-spot inspections of the supporting documents to detect any errors or other 
irregularities.  To tighten up these  controls, the  Commission  has set  up a  central 
audit unit which is responsible for all the inspections.  The inspections are carried 
out  either  by members  of  the  audit  unit  or,  under  their  supervision,  by firms of 
auditors with which the Commission has concluded framework contracts. 

9.  ELEMENTS OF COST-EFFECTIVENESS ANALYSIS 

9.1 

Specific and quantifiable  objectives: target population 

(1) To foster the scientific knowledge and technological development which are necessary 
to  understand  how  marine  systems  function  at  basin  scales  in  order  to  prepare  for 
sustainable use of the oceans and determine their role in global change. 

(2) To understand the fundamental processes determining the dynamics of marine systems 
in  the  seas  and  oceans  around  Europe;  to  understand  how  these  ecosystems  work  in 
extreme marine environments and to determine their role in the global environment;  to 
understand the functioning of inland seas in Europe and particular areas of the northern 
Atlantic; to enhance medium and long-term predictive capacity of coastal zone evolution 
with a view to the sustainable use of coastal and shelf environments; to provide the basis 
for innovative designs in the engineering of coastal protection structures; to develop the 
generic technologies  and advanced  systems  (platforms,  instruments,  sensors)  needed  to 
observe, monitor and manage the marine environment; forecasting of the risks and adverse 
effects  of the use of marine technologies or methods to manage the ocean space. 

Target  population:  natural  and  legal  persons  established  in  the  Community,  such  as 
universities, research organizations and industrial companies, including SMEs and EEIGs 
(European Economic Interest Groupings). 

' 

9.2  Grounds for the operation 

The  sea  is  of  vital  importance  to  the  European  Union.  Put  to  such  intense  use,  the 
regional seas and coastal waters of Europe require balanced management and exploitation. 
Given  the  range  and  economic  importance  of  the  uses  of  the  marine  environment 
(navigation, fishing, extraction of fossil fuels, leisure activities, etc.), some of which clash, 
it is essential that we have at our disposal a basis of knowledge and forecasting techniques 
with which  to frame long-term  management  strategies.  In  addition,  certain  large-scale 
transboundary problems, such as the circulation of substances from one sea to another, call 
for international research. Finally, research over the last decade has shown that in the next 
twenty  years  it  will  be  possible  to  design  and  implement  a  global  system  of  ocean 
observation.  The Union must be ready to play its part in this major development, which 
is expected to bring considerable economic benefits. 

22 

93  Monitoring and evaluation of the operation 

Internal  and  external programme  evaluations. 
1995 and  1998: joint  MAST-Eureka/Euromar days. 
Participation in various international conferences, organization of numerous seminars 
and workshops. 
Cooperation  with  other  international  bodies. 
Publication  of  contract  results in the  quality international  scientific  press. 
Application  for  patents at the  end  of  certain  technology  projects. 
Joint  university/industry  projects. 
Efforts  to  improve  the  participation  of  outlying  or  less  favoured  regions  of  the 
Union. 
Efforts  to integrate  into a number  of large-scale  projects. 

In  order  to  contribute  to  the  overall assessment  of  Community  activities provided  for  in 
Article 4(2) of the Decision  adopting the fourth  framework  programme, the  Commission 
will,  in  due  course,  have  an  assessment  made  by  independent  experts  of  the  activities 
carried out in the field directly covered by this programme, and of its management  during 
the five years preceding the  assessment. 

At the end of this programme, the Commission will instruct independent experts to conduct 
a final evaluation of the results achieved compared with the objectives set out in Annex  III 
to the fourth framework programme and Annex I to the Decision on the programme.  The 
final evaluation report wfll be forwarded  to the Council, the European Parliament and the 
Economic and  Social Committee. 

23 

26 </ 

Proposai for a 

COUNCIL DECISION 

adoptmg a specific  research, 

94/0086(CNS) 

technological  development and demonstration programme  in the 

field  of biotechnology 

(1994-1998) 

«265» 

LIFE SCIENCES AND  TECHNOLOGIES 

EXPLANATORY  MEMORANDUM 

RELATING  TO  THREE  SPECIFIC  PROGRAMMES  IMPLEMENTING  THE 
4TH  FRAMEWORK  PROGRAMME  FOR  COMMUNITY  RESEARCH  AND 

TECHNOLOGICAL  DEVELOPMENT 

(1994-1998): 

-  BIOTECHNOLOGY 
-  BIOMEDICINE  AND  HEALTH 
-  AGRICULTURE  AND  FISHERIES  (INCLUDING  AGRO-INDUSTRY, 
FOOD  TECHNOLOGIES,  FORESTRY,  AQUACULTURE  AND 
RURAL  DEVELOPMENT) 

The proposed  specific programmes  fully reflect  the orientations  of the fourth  Framework 
Programme,  apply  its selection  criteria  and  further  define  its scientific  and  technological 
objectives.  The  sector  of life  Sciences  and Technologies  is characterized  today  by a vast 
diversity  of potential  innovations  and  applications  within agriculture,  fisheries,  industry, 
health  and  the  environment,  preceded  by effective  breakthroughs,  which still increase  in 
number.  Despite  the  fact  that  small  research  companies  are  not  as  widely established  in 
Europe  as  they  are  in  the  US,  it  remains  a  genuine  European  strength  that  large 
chemical,  agro-chemical,  pharmaceutical  and  seed  companies  give  to  life  sciences  and 
technologies  a  substantial  share  of  their  research  budget,  comparable  if not  superior  to 
that  given by equivalent  US companies.  In general,  the private  effort  may now exceed  the 
public  effort  financially.  The  level  of  industrial  expectations  stems  from  the  value  of 
markets  to  be preserved,  as well as  markets  to be  gained.  The  most  likely  biotechnology 
products  with the  highest  relative  growth  before  2000 are  vaccines,  new drugs and  seeds. 
It  is  vital  that  European  companies  which  are  in  the  front  line  can  draw  upon  an 
adequate  science  base  that  is both  innovative  and  responsive  to  problems. 

The  White  Paper  recommends  funding  biotechnology  research  because  of  its  potential 
applications  favouring  growth, competitiveness  and employment.  In particular,  the  White 
Paper  recommends 
in  those  sectors  where 
biotechnology  can  maximize its impact  on the  Community's competitiveness:  agriculture, 
agro-food,  pharmaceutical  products,  chemistry  and  industrial  equipment". 

the  concentration  of  R&D  expenses 

The  new  mission  of  the  research  programmes  within  Life  Sciences  and  Technologies 
consists of harmonizing  scientific  progress  with industrial  expectations  and  social demand, 
with respect  to biological  processes  which affect  the largest  number  of European  citizens. 
This  necessary  harmonization  points  to  specific  requirements. 

St 6 6 

In the  field  of Life Sciences  and Technologies,  the  European  research  potential  is  fairly 
well developed.  National  programmes  have become  bigger and numerous  Member  States 
have  started  to organize  intensively  their  networks  of excellence,  to  reinforce  their  pilot 
research  centres  and  to upgrade  the quality of their infrastructures.  In the  framework  of 
EUREKA,  the  effort  to bring new biological products  or processes  closer  to the  market 
has  been  growing  significantly  over  recent  years. 

The corresponding  previous  Community  programmes  raised  the level of awareness  of the 
opportunities  across  national  boundaries  very early  on.  They  contributed  to  setting  up 
research  projects  which were attractive  to industry. Community  research  in Life  Sciences 
is  thus  about  to  add  a  second  phase,  one  which  will  stress  the 
and  Technologies 
exploitation  of acquired  benefits  and  promote  the  returns  to  interested  socio-economic 
participants. 

These  Community  programmes  will encourage  global approaches  rather  than  reductionist 
the  integration  of  disciplines  against  excessive  specialization,  a  careful 
approaches, 
attention 
to  users'  needs  such  as  those  expressed  through  consumer  groups,  the 
regulatory  levels,  and  from  industrial  platforms  or  professional  associations.  These 
programmes  establish  the  need  to restrict  the  number  of  selected  topics  to  those  where 
all the above  conditions  for an integration  process  at Community  level are  met. Particular 
attention  will be  given to the  needs  of Small and Medium-sized  Enterprises  (SMEs)  and 
to  the  effective  use  of fellowships.  For  SMEs, a specific  procedure  will be  implemented 
aiming at increasing  their participation  in the programme  (technology  stimulation),  based 
on  the  experience  of  CRAFT  activities  and  feasibility  awards. 

Outline  proposals  may be submitted  at any time  (a continuously  open  call for proposals) 
and  those  proposals  selected  will receive  a  feasibility  award  to  search  for  partners  and 
to  prepare  a detailed  proposal.  That  proposal  will then  be  evaluated  in order  to  decide 
on  the  funding  of  the  research  project  itself. 

Attention  will be  given  to  three  programmes  with promising  developments  under  way, 
namely: 

biotechnology 
biomedical  and  health  research 
agriculture  and  fisheries  (including  agro-industry,  food  technologies, 
aquaculture  and  rural  development). 

forestry, 

In  each  of  these  programmes  efforts  will focus  on  certain  topics.  For  other  topics,  a 
Community  added  value will be created  through  Community  concertation  networks  based 
on  existing  national  activities. 

Europe  has  not  been  able,  unlike  the  US  with their  Presidential  initiatives,  to  spell  out 
an  explicit  priority  for  biotechnology.  Its  specific  weakness 
lies  in  a  dispersion  of 
responsibilities  and  a  lack  of  social  consensus  on  scientific  missions.  This  reticence  in 
identifying  and  mobilizing  relevant  activities  must  be  overcome  by  a  more  systematic 
consideration  of  the  range  of  scientific  opportunities  which  can  be  set  against  present 
societal  needs.  Biotechnology  can  remain  at  the  source  of  innovation  if  it  concentrates 

Stef 

on the understanding  and control of the mechanisms  which determine  the functioning  and 
productive  performance  of living matter.  It is a fact  that  it has been  possible  to  mimic 
successfully living processes  for applied  purposes  and it will be  more  so in the  future  if 
the blueprints  of these  processes  become  accessible. 

Optimal  operational  conditions  will be created  which can best  help lift this limiting step. 
Biotechnological  research  will be promoted  in so far as creating  the links by which certain 
basic disciplines  and  new emerging  technical  skills enter  a real  partnership  towards  the 
understanding  of biological  phenomena. 

In  the  case  of  biotechnology,  the  focused  activities  will concern  : 

cell  factories,  with  contributions  from  cellular  biology,  biochemistry,  process 
engineering  and  computer  science; 
sequencing  of  model  genomes  with  a  view  to  more  effective  exploitation  of 
biological  resources,  with  special  attention  being  paid  to  the  development  of 
methodologies; 
plant  molecular  and  cellular  biology, and  animal  physiopathology,  targeted  on 
technologies  generating  new agricultural  productions  and  preserving  the health  of 
domesticated  animals  and  plants; 
cell communication  in neurosciences,  in order better  to understand  the  functioning 
of nerve  cells and  the  networks  formed  by them.  The  research  in question  will 
help  to design  new drugs  to  remedy  certain  cellular  and  organic  dysfunctions. 

Concertation  networks  will be  set  up  to bring together  the  scientific  communities  in the 
following  areas  : 

immunology  and  transdisease  vaccinology; 
structural  biology; 
prenormative  research,  biodiversity  and  social  acceptance; 
infrastructures  (bioinformatics,  etc.). 

Links  between  certain  basic  disciplines  and  new  emerging  technical  skills will also  be 
sought  in biomedical  and  health  research,  which  is in  need  of  more  knowledge  of  the 
basic  mechanisms  which  maintain  normal  functions  in  an  healthy  body  and  whose 
the  pathways  is  a  necessity  prior  to 
disruption  results  in  diseases.  Understanding 
identifying  novel drug targets.  The key to progress  is interdisciplinary  research  involving, 
for  example,  pharmacologists,  cell biologists, molecular  biologists  and  medical  chemists. 
In view of the  limited  contribution  which the  EU  will add  to  national  governments'  and 
industrial  R &D  expenditures,  an  emphasis  will be  put  on  larger  ambitious  long-term 
projects  which will contribute  to keeping  the social burden  of health  care  tolerable,  while 
laying the ground  for a single European  market  for pharmaceuticals,  medical  devices and 
health  services.  Attention  will be  given  to  research  related  to  prevention  and  public 
health,  in  support  of  the  new  Community  policy  on  Public  Health  (Article  129 of  the 
Treaty  on  European  Union). 

nn 

In  the  case  of  biomedical  and  health  research,  the  activities  will concern: 

research  on AIDS, tuberculosis  and other infectious  diseases,  involving integration 
of basic  and  clinical research  including  epidemiology; 
research  on  cancer,  with the  same  breadth  of  approaches; 
pharmaceuticals  research,  mainly on pharmacotoxicology,  pharmacovigilance  and 
clinical trials; 
brain  research  which, while  taking  into  account  other  international  cooperation 
programmes,  will include  a  wide  range  of  activities  focusing  on  improvement  in 
the  treatment  of  neurological  and  cerebrovascular  disorders; 
human  genome  research; 
research  on  other  diseases  with  major  socio-economic 
impact;  cardiovascular 
diseases; chronic diseases  and age-related  problems,  e.g. chronic arthritis, diabetes 
mellitus,  asthma  and  other  respiratory  problems;  and  orphan  illnesses; 
research  on  occupational  and  environmental  health; 
public  health  research,  including  health  services  research; 
biomedical  technology  and  engineering  research; 
research  on  biomedical  ethics. 

The  advances  in life  sciences  will, together  with innovations  in other  disciplines  such  as 
engineering  or  chemistry,  form  the  scientific  basis  for  developing  new  processes  and 
applications  in agriculture,  fisheries  and  related  processing  industries.  Special  attention 
will be given to research  activities  supporting  the evolving Community  policies  (Common 
Agricultural  Policy  -  CAP  -  and  Common  Fisheries  Policy  -  CFP  -  especially)  and 
responding  to  t^e  needs  of  society  for  a wide  range  of  healthy  and  nutritious  foods  and 
environmentally  friendly  non-food  products,  by  bringing  together 
the  necessary 
multidisciplinary  skills. 

In  the  case  of  agriculture  and  fisheries  (including  agro-industry,  food  technologies, 
forestry,  aquaculture  and  rural  development),  the  focused  activities  will concern  : 

integrated  production  and  processing  chains,  in  order  to  obtain  products  with a 
higher  added  value; 
scaling-up  and  processing  methodologies,  with  a  view  to  the  use  of  new 
methodologies  in agro-industrial  processes; 
generic  science  and  advanced  technologies  for  nutritious  foods; 
activities  to  complement  Community  policies  in  the  agriculture  and  fisheries 
sectors, together  with the identification  of new prospects  for the sectors  concerned 
further  to  their  restructuring.  Priority  should  be  given  to  : 

within  the  agriculture,  forestry  and  rural  development  sectors: 

optimization  of  methods  and  systems; 
product  quality; 
production  diversification; 

St  to 

plant  and  animal  health  and  animal  welfare; 
multifunctional  management  of  forestry; 
rural  development; 

within  the fisheries and  aquaculture  sectors: 

impact  of environmental  factors  on  marine  resources; 
environmental  impact  of fisheries  and  aquaculture  activities; 
biology of species  for  aquaculture; 
socio-economic  aspects  of the fishing industry; 
improved  methodology. 

Concertation  networks  will be  implemented 
production,  food  processing,  and  development  of rural  and  coastal  zones. 

to  support  research  concerning  primary 

Life  Sciences  and  Technologies  constitute  a  rapidly  expanding  field.  However,  the 
utilization  of  new  technologies  by  European 
industries  and  services  continues  to  be 
hampered  by specific  hurdles,  such  as  the  existence  of  strong  competing  technological 
alternatives,  a sometimes  negative public perception,  the need  to demonstrate  compliance 
with constraining  regulatory  requirements  and  the need  to deploy  costly interdisciplinary 
resources  with  adequate  critical-mass  for  project  implementation. 
The  European 
scientific community  active in Life Sciences has an outstanding  productivity  and maintains 
a strong competitive  position  at international  level. However, due to the above-mentioned 
hurdles  and  also to the lack of adequate  instruments  in Europe  to cover the funding  gap 
between  the  R&D  phase  and  the  investments  phase,  utilization  of new  biotechnologies 
in Europe  lags behind  that  achieved  by the  US and  Japan.  In the  US the  availability  of 
risk capital  has  been  instrumental  for  the  launching  of  innovative  SMEs, and  in Japan 
established  policies  provide  for  the  public  funding  of  long-term  private  ventures  based 
on  the  development  of  new  technologies.  Action  must  be  taken,  therefore,  within  the 
new  mission  of these  specific  programmes,  to allow better  application  of the  innovative 
results  of  the  research  in Life  Sciences  carried  out  in the  Community. 

To address  adequately  these  problems,  well-targeted  and  precompetitive  demonstration 
activities will be introduced  into the proposed  Life Sciences  specific programmes  with the 
objectives  of  : i)  fostering  the  adoption  of  new  technological  concepts  by reducing  the 
techno-economic  uncertainties  and  risks  associated  with  Life  Sciences  innovations,  and 
ii)  enhancing  the  attractiveness  of  new  technological  options  based  in  Life  Sciences, 
contributing  to the  message  that  scientific  knowledge  and  technologies  are  produced  for 
the  benefit  of  society  as a whole. 

together  with,  as  appropriate, 

The  main  goal of precompetitive  demonstration  is to prove  the  technical  viability of new 
technologies 
their  economic  advantage;  moreover, 
demonstration  should  only be executed  once that  the new technology  has been  developed 
to a sufficient  level of maturity,  in order  to  minimize  the risks involved  in the assessment 
of  its performance  under  close  to  real  operating  conditions. 

SYt 

Synergies  amongst  the  three  Life  Sciences  programmes  can  be  achieved  by integrating 
an mterdisciplinary  critical mass in demonstration  teams. The required joint participation 
in demonstration  activities  of  technology  producers  and  technology  users  will ensure  an 
effective  transfer  of  new  technologies  to interested  industries  and  services; these  teams 
will  serve  as  a  further  incentive  for  the  establishment  of  European  concerns  able  to 
formulate  solid strategies  to  share  risks and  fully exploit the market  opportunities  arising 
from  these  technologies. 

Research  potential  and industrial  expectation  within life  Sciences  and Technologies  also 
elicit strong  social demands.  This is expressed  through  ethical  concerns,  consideration  of 
safety  principles,  food  habits  and  acute  needs  for health  care  which are  adapted  to  ways 
of  living and  demographic  evolution.  A  lack of public  acceptability  is one  of the  limiting 
factors  for  both  research  and  its  successful  commercialisation. 

Wherever  possible, experimentation  and testing on animals  should be replaced  by in vitro 
or  other  methods. 

' 

No  research  modifying,  or  seeking  to  modify,  the  genetic  constitution  of  human  beings 
by alteration  of germ cells or of any stage of embryo development  which may make  these 
alterations  hereditary,  nor  research  seeking  to  replace  a  nucleus  of  a cell  of  an  embryo 
with a  nucleus  taken  from  a  cell  of  any person,  embryo  or  subsequent  development  of 
an  embryo,  known  as  cloning,  will  be  carried  out  under  any  of  these  three  specific 
programmes. 

The  preparation  of  these  programme  proposals  has  been  based  on  advice  from  many 
sources,  both  national  and  transnational,  including  a  meeting  on  the  relevant  prospects 
in Life  Sciences  and  Technologies  in response  to  the  socio-economic  needs  of  society. 

&Ï 

PROPOSAL  FOR  A COUNCIL  DECISION 

of... 

adopting  a specific  research,  technological  development 
and demonstration  programme 
in the field of biotechnology  (1994-1998) 

THE  COUNCIL  OF THE  EUROPEAN  UNION 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130 1(4)  thereof, 

Having  regard  to  the  proposal  from  the  Commission  ', 

Having  regard  to  the  opinion  of the  European  Parliament  2, 

Having  regard  to  the  opinion  of the  Economic  and  Social  Committee  \ 

Whereas,  by its Decision.../.../EC4, the  Council  and  the  European  Parliament  adopted 
a  fourth  Framework  Programme  for  Community  activities  of  research,  technological 
(hereinafter  RTD),  for  the  period  1994  to  1998, 
development  and  demonstration 
specifying,  in particular,  the  activities  to be pursued  in the field of Biotechnology  ; and 
that  the present  decision  is taken  in the light of the reasons  given in the preamble  of the 
aforesaid  decision  ; 

Whereas  Article  130 I (3) foresees  that  the framework  programme  is to be  implemented 
through  specific  programmes  developed  within  each  activity;  and  that  each  specific 
programme  shall define  the detailed  rules for implementing  it, fix its duration  and  foresee 
the  means  deemed  necessary; 

OJ  N° 

.  .  .  , 

.  .  .  ,  p. 

OJ  N° 

. . ., 

.  . ., 

p. 

OJ  N° 

. . ., 

. . ., 

p. 

OJ  N° 

.  . ., 

. . ., 

p. 

7 

W 

Whereas  this  programme  is  implemented  mainly  through  shared  cost  and  concerted 
actions  and  accompanying  and  support  measures; 

Whereas  in accordance  with  Article  1301 (3), it is appropriate  to  make  an  estimate  of 
the  means  deemed  necessary  for the realization  of this specific  programme;  and  that  the 
funds  effectively  available  shall be  determined  by the budgetary  authorities  according  to 
the  relative  priorities  given within the  First Action  of the  fourth  framework  programme; 

Whereas  the  decision  .../.../EC(fourth  framework  programme)  foresees  that  the  overall 
maximum  amount  available  for  the  fourth  framework  programme  will be  reviewed  no 
later  than  30 June  1996 in view of being  increased,  and  that  as a result  of this review, the 
amount  deemed  necessary  to implement  the present  programme  could  be  supplemented; 

in  agricultural  and 
in  biotechnology  may  lead  to  improvements 
Whereas  research 
industrial  efficiency  and  viability, greater  protection  of  the  environment  and  health  and 
a  better  quality  of  consumer  products  ; 

Whereas  this programme  is able  to  contribute  usefully  to  the  relaunch  of  the  growth,  to 
strengthening  of  competitivity  and  the  development  of  employment  in  the  Community, 
as  indicated  in  the  White  Paper  on  "Growth, Competitivity  and  Employment"  5; 

Whereas  the contents  of the fourth  framework  programme  for  Community  RTD  activities 
have  been  defined 
this 
programme  sets out  detailed  contents  of activities  in conformity  with this principle  in  the 
field  of  biotechnology  ; 

in  conformity  with  the  principle  of  subsidiarity;  and 

that 

the  decision 

.../.../EC  (fourth 

Whereas 
that  a 
Community  activity is required  if,  among  other  reasons,  the  research  contributes  to  the 
economic  and  social cohesion  of the  Community  and  encourages  the  overall  harmonious 
development  of the quality  of its science and  technology  and  that  the present  programme 
is supposed  to  contribute  to  the  realisation  of  these  objectives  ; 

framework  programme) 

foresees 

Whereas  this  programme  and  its implementation  contributes  to  improving  the  synergies 
between  the  RTD  activities  in the  field  of biotechnology,  by research  centres,  universities 
and  industry,  in particular  small  and  medium  sized  enterprises  (SME),  established  in  the 
Member  States,  and  between  these  and  the  corresponding  Community  RTD  activities; 

Whereas  the  rules  for the participation  of firms, research  centres  (including  the  JRC)  and 
universities,  as  well as  the  rules  governing  the  dissemination  of  research  results,  are  laid 
down  in  the  measures  foreseen  by  Article  130 J  ; 

5 

C O M ( 9 3 ) 7 00 

f i n al 

of 

5 . 1 2 . 1 9 93 

ft* 

Whereas  for  the  implementation  of  this  programme,  besides  associating  with  the 
European  Economic  Area  (EEA)  countries  other  international  cooperation  activities 
might  be  necessary,  in  accordance  with Article  130 M, with  other  third  countries  and 
international  organizations; 

the  implementation  of  this  programme  also  implies 

Whereas 
activities  for  the 
dissemination  and  exploitation  of RTD  results,  in particular  towards  SMEs  (small  and 
medium  sized enterprises),  and  notably  those located  in Member  States  or regions which 
have the  lowest participation  in the programme,  as well as activities  to promote  mobility 
and  training  of researchers  carried  out  within this programme  and  in so far as necessary 
for  its adequate  implementation; 

Whereas  the  implementation  of  this  programme  requires  the  provision  of  measures 
technology  stimulation 
intended 
measures  ; 

to  encourage  participation  of  SMEs,  in  particular 

•» 

Whereas  basic research  in biotechnology  must be encouraged  throughout  the Community 
because 
it  provides  a  source  of  innovation  offering  a  large  range  of  scientific 
opportunities  to  meet  the  real  needs  of society  ; 

Whereas  an  assessment  should  be  made  of  the 
technological  risks,  of the  activities  undertaken  in this programme  ; 

socioeconomic  impact  and  of  any 

Whereas,  on the one hand, this programme's  state  of implementation  should  be reviewed 
in a permanent  and  systematic  way, in order  to adapt  it, where necessary,  to the  scientific 
and  technological  developments  in  this  field;  and  on  the  other  hand,  an  independent 
evaluation  should  be conducted,  in due  time, on the  results  achieved  by the  programme, 
in  order  to  provide  every  appropriate  information  as  necessary  to  determine  the  goals 
of  the  fifth  RTD  framework  programme;  and  that,  a final evaluation  will be  necessary 
at  the  end  of  the  programme  to  assess  the  results  obtained  in  terms  of  the  objectives 
defined  in this Decision  ; 

Whereas,  on 23 April  1990, the  Council adopted  Directive  90/219/EEC on the  contained 
use  of  genetically  modified  micro-organisms  6  and  Directive  90/220/EEC  on  the 
deliberate  release  into  the  environment  of  genetically  modified  organisms  7 ; 

Whereas  the  JRC  may participate  in  the  indirect  actions  covered  by this programme  ; 

Whereas  the  Scientific  and  Technical  Research  Committee  (Crest)  has  been  consulted. 

6  O . J.  N°  L  117  of  8 . 5 . 1 9 9 0,  p. 

1. 

7  O . J.  N°  L  117  of  8 . 5 . 1 9 9 0, 

p.  15 

HAS  ADOPTED  THIS  DECISION: 

Article  1 

A  specific  programme  of research,  technological  development  and  demonstration  in the 
field of biotechnology  as defined  in Annex  1 is hereby  adopted  for a period  beginning  on 
(date  of  adoption)  and  ending  on  31  December  1998. 

Article  2 

1- 

2- 

3- 

4- 

The  funds  estimated  as necessary  for the execution  of the  programme  amount  to 
552  MECU,  including  7.5  % for  staff  and  administrative  expenditure. 

An  indicative  allocation  of  funds  is set  out  in Annex  II  . 

The  funds estimated  as necessary  as indicated  above  may be increased.  As a result 
of  and  in conformity  with the  decision  mentioned  in article  1 of  paragraph  3  of 
the  decision  .../.../EC  (4th  framework  programme). 

for  each 
The  budgetary  authority  shall  lay  down  the  available  appropriations 
financial year in agreement  with the scientific  and  technological  priorities  fixed  by 
the  fourth  framework  programme. 

Article  3 

Detailed  rules  for the  implementation  of  the  programme,  besides  those  provided  for  in 
Article  5, are  set  out  in  Annex  III. 

Article  4 

1- 

2- 

The  Commission  shall  review  in  a  permanent  and  systematic  way,  with 
appropriate  assistance  from  independent  external  experts,  this programme's  state 
of implementation,  considering  the objectives  set out in Annex  I, and  in particular 
whether  the  objectives,  the  priorities  and  the  funds  are  still  adequate  to  the 
changing  situation.  Where  necessary,  this  review  shall  be  accompanied  by 
proposals  to  adapt  or complete  this programme,  in accordance  with  the  review's 
conclusions. 

In  order  to  contribute  to  the  global  assessment  of  the  Communities  activities 
provided  for  in  Article  4  (2)  of  the  Decision  adopting  the  Fourth  Framework 
Programme,  an  evaluation  of  the  management  and  the  results  achieved  by  the 
activities  undertaken  in the  fields covered  by this programme,  during  the  five years 
preceding  the  evaluation,  shall  be  conducted  in due  time  for  the  Commission  by 
independent  experts. 

10 

2y<r 

3- 

1- 

At the  end  of this programme,  the  Commission  shall conduct  a final evaluation 
by independent  experts  of the results obtained  concerning  the objectives  defined 
in  Annex  HI  of  the  Fourth  Framework  Programme  and  in  Annex  I  of  this 
Decision. It shall submit the final evaluation  report  to the Council, the European 
Parliament  and  the Economic  and  Social Committee. 

Article 5 

A work programme  shall be drawn  up by the Commission  in accordance  with the 
aims set out in Annex I and updated  where necessary.  It shall set out the detailed 
scientific  and  technical  objectives  and  define  the  implementation  stages  of  the 
programme,  as well as the financial arrangements  for each  type of implementation 
to  be  undertaken. 

The  work programme  can  also  allow participation  in some  activities  originating 
from  the  EUREKA  framework. 

2- 

The  Commission  shall make  calls for proposals  of RDT  projects,  on  the  basis of 
the  work programme. 

Article  6 

1- 

2- 

The  Commission  shall be responsible  for the implementation  of the programme. 

For  measures  foreseen  in  Article  7(1),  the  Commission  shall  be  assisted  by  a 
committee  composed  of representatives  of the Member  States  and  chaired  by the 
representative  of  the  Commission. 

The representative  of the Commission  shall submit to the committee  a draft  of the 
measures  to be taken.  The  committee  shall deliver  its opinion  within a time limit 
which  the  chairman  may  lay down  according  to  the  urgency  of  the  matter.  The 
opinion  shall be  delivered  by the  majority  provided  for  in  Article  148 (2)  of  the 
Treaty  as regards  adoption  of decisions  which the Council  is required  to adopt  on 
a proposal from the Commission. The votes of the representatives  of the  Member 
States  within  the  committee  shall  be  weighted  in  the  manner  set  out  in  that 
Article. The  chairman  shall  not  vote. 

The Commission  shall adopt  the measures  envisaged  when they are  in accordance 
with  the  opinion  of  the  committee. 

When  the measures  envisaged  are not in accordance  with the committee's  opinion, 
or  if no  opinion  is delivered,  the  Commission  shall  without  delay  submit  to  the 
Council  a proposal  relating  to the  measures  to be  taken.  The  Council  shall act by 
qualified  majority. 

11 

stye-

If,  on  the  expiry of  a period  of  one  month from referral  of  the  matter  to  the 
Council, the latter  has not acted,  the proposed  measures  shall be adopted  by the 
Commission. 

1- 

The  procedure  laid down in Article  6 (2)  shall apply to: 

Article  7 

the  preparation  and  updating  of  the  work  programme  referred 
Article  5(1), 

to  in 

the  assessment  of  the  RTD  projects  proposed 
for  a  Community 
contribution  and  of the estimated  amount  of this contribution  on a project 
basis, where  this amount  exceeds  ECU  0.5 million, 

the  measures  to be  undertaken  to evaluate  the  programme, 

any adaptation  of the indicative breakdown  of the amount  set out in Annex 
II, not  having been  decided  through  the  budgetary  procedure. 

2- 

The  Commission  shall  inform  the  committee,  for  each  of  its  meetings,  of  the 
current  state  of implementation  of the  programme  as a whole. 

Article  8 

The  Commission  is  authorized 
in  accordance  with  Article  228  (1), 
international  agreements  with European  third countries  with a view to involving them  in 
all or  part  of  the  programme. 

to  negotiate, 

Article  9 

This  Decision  is addressed  to  the  Member  States. 

Done  at  Brussels, 

For  the  Council 
The  President 

12 

2W 

ANNEX I 

SCIENTIFIC AND TECHNICAL OBJECTIVES AND  CONTENT 

This  specific  programme  fully reflects  the  approach  embodied  in  the  fourth  framework 
programme,  applies  its  selection  criteria  and  specifies  its  scientific  and  technological 
objectives. 

Paragraph  4. A of Annex  IH, first activity of the above-mentioned  framework  programme, 
is an  integral  part  of  this programme. 

The  Background 

The  Commission  has  presented 
in  its  White  Paper  on  growth,  competitivity  and 
employment,  an  analysis  of  the  potential  of  biotechnology  to  present  certain  promises 
based  on  the  omnipresence  of  the  bioprocesses  and  the  competitiveness  of  sectors  of 
application,  but identifying  weaknesses  on which Community  efforts  should  have priority. 
The  economic  sectors  whose  competitiveness  significantly  depends  on  biotechnology 
(pharmaceuticals,  chemicals,  agriculture,  food)  account  for  the  employment  of  16.4 
million people  in Europe  and  exports  worth  132.8 billion ECU.  Europe  has  roughly  600 
companies  involved  in  some  aspect  of  modern  biotechnology,  including  a  number  of 
world-class  chemical  and  pharmaceutical  companies.  The  sustained  growth  of  these 
sectors  depends  on  a  strong  and  innovative  science  base  ; a  highly  trained  and  skilled 
workforce  ; the  efficiency  of  technology  transfer  from  the  science  base  to  industry  ; the 
rapidity  with  which  novel  and  innovative  techniques  are  incorporated 
into  established 
practices  ; the adoption  of a multidisciplinary  approach  to biotechnology-based  processes; 
the  validation  of  scientific  principles  to  underpin  a  unified  market  of  biotechnology-
derived  products;  and  the  harmonious  application  of  bioprocesses  as  beneficial 
alternatives  to promote  the environment,  human  health  and welfare.  Progress  along  these 
lines  will ensure  that  the  estimated  sales  of  non-food  biotechnology  products  of  26-41 
billion  ECU  by the  year  2000 can  be  realized  with a prominent  European  participation 
and  a high  degree  of  social  acceptance.  This  situation  is historically  unique,  as  it  brings 
biotechnology  into  the  present  reality  of  scientists,  policy  makers  and  industry,  whereas 
earlier  research  programmes  had  been  based  on  future  promise. 

Particularly  relevant  to bringing  the  life sciences  to play  an increasing  role  in the  society 
will be  the  arrival  on  the  market,  under  the  period  covered  by  the  IVth  Framework 
Programme,  of  the  first  generation  of  transgenic  plants  endowed  with  useful  new 
properties,  of  safer  and  more  efficient  vaccines  deriving  from  rDNA  work  or of  natural 
antimicrobial  substances  preventing  microbial  spoilage  of  food  products. 

13 

jty% 

While  two  other  programmes,  on  Biomedical  and  Health  research  and  on  Agriculture 
and  Fisheries  research,  shall  promote  the  applications  of  biotechnology  within  their 
respective  sectoral  activities  linked  to  the  provision  of  goods  and  services,  the 
itself  shall  create  further  opportunities  by  deliberately 
Biotechnology  programme 
penetrating  the  heart  of living systems. The flow of information  between  those  three  will 
be  the  key to  success. 

It will be  the  responsibility  of the  Community  to promote  under  this programme  further 
research  work  where  the  society  would  expect  the  highest  returns.  This  points  to 
privileged  areas  for  the  exploitation  of  new  knowledge,  all  of  which  do  experience  in 
common  an acute  need  for cross-linking connected  topics and/or integrating  large groups 
of  experts  on  an  international  scale.  The  same  integrative  effort  will be  required  for 
putting  safely  living cells to work, for raising the profile  of  the  European  contribution  to 
the  international  genome  projects,  for achieving  the new deal  of modern  agriculture  and 
environment  via  the  genetic  design  of  crops  or  animal  health  control,  or  overcoming 
academic  distinctions  between  neurobiology,  endocrinology  and  immunology  until  the 
principles  of  cell and  molecular  interactions  are  unravelled.  International  collaboration 
with  the  Human  Frontier  Science  Programme  will be  strengthened,  as  will be  the  links 
with  EUREKA  projects  and  national  programmes  within  the  Community.  Throughout 
the  programme,  careful  attention  will be given to the delicate  step  which brings research 
results  in  the  context  of  socio-economic  needs.  In  specific  instances,  demonstration 
projects  may  be  established,  and  competent  monitoring  of  the  ethical  and  social 
parameters  of  public  acceptance  will be  pursued. 

This  programme 
in  coordination  with  the  specific 
programmes  Information  technologies,  Measurement  and  Testing,  Environment,  and 
Targeted  Socio-economic  research. 

is  implemented,  as  appropriate, 

intended 

to  encourage  participation  of  SMEs,  in  particular 

technology 
Measures 
stimulation  measures  and  links  between  science  parks  and  biotechnology  SMEs,  as 
recommended  by  the  White  Paper  on  Growth,  Competitiveness,  Employment,  will be 
implemented. 

The  Proposed  RDT  Activities 

The  centre  of  any  biological  process  in  nature  or  in systems  domesticated  by  man  really 
is the  living cell, which  functions  as  a  minute  factory. 

Each  cell consumes  its raw  materials,  converts  energy,  produces  high  value  molecules  as 
well  as  wastes,  and  has  learned  through  evolution  how  to  carry  out  those  constructive 
processes 
in  equilibrium  with  its  environment.  An  infinite  number  of  cells  in  living 
organisms  bred  for  agricultural  purposes,  or  in  fermenters  conducted  for  the  industrial 
supply  of  valuable  molecules,  all behave  as  populations  of  clean  productive  units  which 
can  be  exploited  in a  sustainable  manner.  In  an  attempt  to  focus  biotechnology  where  it 
genuinely  differs  from  alternative  technologies,  all  efforts  must  start  with  a  thorough 
understanding  of  how  the  cell  manages  to  be  so  successfully  industrious. 

14 

£¥5 

OBJECTIVES  REQUIRING  CONCENTRATED  MEANS 

-  Area  1 : Cell  factories 

Industrial  and  environmental  exploitations  of  living cells would  hardly  be  achievable 
without  a  global  approach 
from  biological  disciplines, 
integrating  contributions 
computer  science  and  process  engineering  which  they  have  to  depend  on.  New 
interfaces  between  biotechnology  and  advanced  technologies  offer  opportunities  for 
the  integration  of  biology  also  with  other  sciences  and  technological 
fields.  A 
multidisciplinary  vision  of  cell  factories  must  be  promoted,  with  the  intertwined 
participation  of  academic  and  industrial  laboratories. 

The  primary  objective 
is  to  reach  an  understanding  of  how  living  cells, 
particularly  microorganisms  and  animal  cells, manage  to  be  productive  and  how 
industry  can  learn  «from  cellular  processes  in  order  to  design  and  operate  safe, 
specific  and  sustainable  bioprocesses. 

from 
Optimal  use  should  be  made  of  relevant  biological  knowledge  generated 
studies  on  :  cell  biology  and  signalling,  macromolecular 
interactions,  protein 
folding  and  secretion,  post-translational  modifications,  genetic  stability, microbial 
fluxes,  extremophily, 
physiology  and  biodiversity,  the  control  of  metabolic 
antimicrobials,  etc.  Support  will be  given  where  the  combination  of  this  biology 
with  engineering  approaches 
the  biotechnological 
potentials  of cell factories,  particularly  in fields  such as  : the  fundamental  aspects 
of fermentation,  biotransformation,  biocatalysis,  biosensors,  process  control  with 
neural  networks,  of  technologies  cell  culture  and  co-culture,  downstream 
processing,  etc. 

is  most  likely  to  realize 

The  research  tasks  will be  concentrated  on  relevant  generic  topics  of  interest  to 
industry  and  other  end-users  of  biotechnology.  A  typical  project  will require  the 
integration  of  biological  and  bioengineering  disciplines  and  will  be  aimed  at 
solving  gaps  in  basic  knowledge  as  well as  technological  barriers  which  prevent 
the  full  exploitation  of  the  cell's  capability  as  a  factory  for  the  conversion  or 
production  of  useful  biomolecules. 

The  biosafety  of  vector  systems,  cell  lines  and  microbial  cultures  will  be  an 
important  consideration  of  any  project  selected  for  this  action. 

In  order  to  optimize  Community  resources  and  exploitation  of  research  results, 
bioprocess  engineering  activities  will be  synergistically  and  closely  coordinated 
with  the  contributions  invited  under  the  programme  on  Industrial  Technologies, 
the  Agriculture  and  Fisheries  research  programme  which  covers 
or  under 
technologies 
interrelated  work  applying  processing,  end-use  and  scaling-up 
adapted 
is  in  the 
to  industrial  conditions.  The  emphasis  of  cell  factories 
development  and  optimization  of  generic  technologies  potentially  applicable  to 
a  large  number  of  sectors. 

15 

tie 

Area  2  : Genome  analysis 

The  participation  of European  networks  in the  worldwide genome  programmes  will 
be  facilitated  via  the  further  analysis  and  sequencing  of  model  genomes,  such  as 
Bacillus subtihs,  Saccharomyces cerevisiae and Arabidopsis  thaliana. The mapping  and 
sequencing  projects  will combine  efforts  to unravel  new genes  with attempts  to  study 
genetic  function;  they will make  a new effort  to encourage  the development  of  novel 
software  and  other  bioinformatic  tools  and,  where  appropriate,  to  integrate  the 
development  and  extension  of  the  methodological  and  instrumentation  basis.  Also 
relevant  transcriptional  and  replicative  mechanisms  will be  investigated,  as  well  as 
higher  levels of organisation  of  the  genomes,  such  as  now made  possible  by the  new 
knowledge  of  complete  chromosome  composition  and  structure  becoming  gradually 
available. 

the 

associated 

Methodologies  will  be  set-up  and  applied 
to  render  possible  the  association  of 
detailed  biological  functions  with newly unravelled  genes from any appropriate  model 
genome.  A  systematic  approach  to function  search  will be  allowed  through  networks 
of specialized  laboratories  which on the  basis of mutated,  deleted  or over-expressing 
strains carrying uncharacterized  genes, will rely on standardized  tests pointing  the  way 
towards 
to 
functions.  Conversely, 
biotechnologically  important  functions  will be  encouraged  through  the  submission  of 
proposals  by  consortia  willing  to  screen,  in  yeast  for  example,  the  collection  of 
disrupted  mutants  against  pre-defined  phenotypic  alterations  with  a  view  to 
identifying  sets  of  genes  coding  for industrially  relevant  pathways.  Special  attention 
(i.e.: based  on  mRNAs,  gene 
will  be  given  to  additional  innovative  approaches 
structure  or  promoter  similarities,  etc.)  exploitable  for  harvesting  the  maximum 
biological  benefits  from  existing  genome  projects.  By  bridging  the  gap  between 
sequencing  activities  and  the  functional  characterisation  of  sequences,  another  entry 
into  the  cell  factory  concept  will be  provided  from  the  specific  angle  of  the  genetic 
control  of  metabolic  pathways. 

approaches 

targeted 

Comparative  methods  will be exploited  across different  genomes  including  the  human 
genome.  These  approaches  will include  the development  of new  mapping  procedures 
based  on  the  use  of  homologous  DNA  probes  from  model  genomes,  heterologous 
expression  through  cDNAs  in bacteria  or  fungi  and  development  of  new  informatic 
improve  detection  of  functional  or  structural  homologies.  The 
software 
development  and  sharing  of  advanced 
technologies  and  a  decentralized  pool  of 
exchangeable  clones,  probes  and  data  will be  organized. 

to 

With  a  view  on  possible  medical  applications,  work  on  the  human  genome  will  be 
concentrated 
in the  Biomedical  and  Health  research  programme.  However,  compa 
rative  approaches  and  related  technology  developments  will include  human  DNA 
and,  with  respect  to  human  cells, the  same  limitations  will be  applied,  i.e. alteration 
of  germ  cells or  any  stage  of embryo  development  with  the  aim  of  modifying  human 
genetic  characteristics 
is  excluded  from  the  programme 
objectives.  The  coordination  with  accompanying  measures  on  the  ethical,  social  and 
legal  aspects,  executed  elsewhere  in  the  programme,  will be  emphasized. 

in  a  hereditary  manner 

16 

£54 

Area  3  : Plant  and  animal  biotechnology 

Plant  molecular  and  cellular  biology 

Plant  molecular  and  cellular  biology, including  protein  engineering,  physiology  and 
pathology,  at  the  crossroads  of agricultural,  industrial  and  environmental  issues,  will 
be  developed  by  stressing  the  need  for  an  integrated  research.  Particular  attention 
will be  given  to  the  molecular  understanding  and  eventual  modification  of  relevant 
plant  processes  as  an  approach 
tailor-made  market-relevant 
agricultural  or  forestry  products,  and  to  production  methods  compatible  with  the 
environment,  health  and  consumers'  demand,  which  areas  are  included  within  the 
Agriculture.  and  Fisheries  research  programme. 
Identifying,  characterising  and 
exploiting  useful  biological  traits  of agricultural  and  industrial  relevance,  in  terms  of 
quality improvement  and greater  environmental  acceptability,  and  their  corresponding 
genes  would  be  the  main  target  for  such  activity. 

to  new 

leading 

u 

These  include  : pest  and  disease  resistance;  stress  tolerance;  quality  and  quantity  of 
starch,  oils, valuable  protein,  pharmaceuticals  in leaves,  seeds,  roots,  etc., at  the  cell 
level;  developmental  pathways,  reproduction  and  regeneration;  improved  enzymes 
and  macromolecules  for  processing. 

Underpinning  science  will have  to  be  considered,  such  as  that  allowing  control  of 
heterologous  expression  and  of  stability  of  expression,  cell  structural  analyses  (to 
understand  and  regulate  the  traffic  of  molecules),  or  identification  of nutritional  and 
health  properties  of  food  and  feed  components  (to  fine  tune  molecular  breeding 
objectives  towards  crops  displaying healthy  attributes),  which is complementary  to  an 
important  objective  of  the  Agriculture  and  Fisheries  research  programme.  A  typical 
level  of  integration  of  plant  science 
project  will attempt  to  achieve  the  appropriate 
research  with  those  areas  of 
with  end-user 
from  (genome  analysis, 
eukaryotic  biology  where  key  knowledge 
structural 
signalling  pathways, 
bioinformatics,  etc.). 

technology,  and  of  target-oriented 

analysis  of  macromolecules 

is  stemming 
and 

enzymes, 

Animal  physiopathology 

linkage  maps  of  the  genomes  of  farm  animals  have  already  been 
Genetic 
completed,  in particular  under  the  earlier  BRIDGE  programme.  Gene  mapping 
will be  very  useful  to  select  animals  for  traits  which  are  under  the  control  of 
many  genes  (quantitative  trait  loci or  QTL)  such  as  the  resistance  to  diseases,  to 
eliminate  genes  with  harmful  effects  or  to  transfer  new  genes  of  interest  from 
various  strains  of  animals  by appropriate  breeding.  European  networks  will  be 
to  map  the  genomes  of  animals  chosen  for  their 
established  or  extended 
importance.  Such  studies  will  greatly  advance  our 
agricultural  or  industrial 
knowledge  on  QTL  analysis. Research  activities  on  reproductive  mechanisms  of 
the  farm  animals  will also  be  supported  due  consideration  being  given  to  animal 
welfare  and  animal  genetic  diversity  principles. 

17 

JH81 

It  is  essential  for  the  understanding  and  control  of  severe  human  and  animal 
diseases  to  develop  transgenic  and  other  animal  models.  Studies  will  be 
conducted  to allow  the  development  of  new  techniques  to  raise  animal  models 
with precise and predicted  genetic characteristics  designed to provide  information 
of high quality and  specificity  in relation to pathological  disorders.  Research  will 
be  encouraged  where  it  produces  evidence  on  the  physiological  roles  of 
regulated/deregulated  pathways,  or  genetically-encoded 
factors  during  the 
evolution  of  any particular  disease. 

An  equally  important  objective  will be  the  development  of  new  methods  for 
somatic  gene  therapy,  particularly  vectors  complementing  weakened  or  missing 
gene  functions  potentially  of  medical  importance.  The  programme  will  also 
consider  other  associated  techniques  to overcome  barriers  precluding  the  general 
applicability  of  somatic  gene  therapy  protocols,  with  regard  to  recipient  cells. 
Models  which  could  be  used  for  the  evaluation  of  the  method  will  also  be 
considered. 

Concerning  the  last  two  subjects  which  might  impinge  on  future  medical  and 
veterinary  applications,  the  emphasis  of  this  programme  will  remain  on  the 
design  and  development  of  experimental  tools  giving  rise  to  possible  synergies 
research 
with 
programmes. 

the  Biomedical  and  Health  or  Agriculture  and  Fisheries 

Area  4  : Cell  communication  in  neurosciences  : 

Cellular  biology, molecular  biology including molecular  genetics  and  biochemistry, 
pharmacology  will be  combined  with  genetic  engineering  in  order  to  promote 
multidisciplinary  studies  on cell physiology and  cell communication  of the  nervous 
system  and  with  a  view to  promoting  neurosciences  using  the  support  of  these 
disciplines.  Special  attention  will be  paid  to  the  physiology  of  the  development 
of  the  nervous  system,  the  management  of  information  (intra-  and  intercellular 
events)  by  the  nervous  cells,  possible  cellular  dysfunctions  such  as  those 
associated  with  human  and  animal  degenerative  diseases,  the  design  of  neuro-
drugs  taking  advantage  of biotechnology,  the  development  of in vitro tests  for  the 
pharmaco/toxicology  of  such  substances. 

Projects  including  definite  steps  towards  a  medical  or  a  veterinary  application 
would  be  regarded  as  better  placed  within  the  Biomedical  and  Health  or  the 
Agriculture  and  Fisheries  research  programme,  whereas  this  programme  tends 
to  concentrate  on  approaches 
the 
development  of  tools  necessary  for  such  detailed  investigations. 

at  molecular  and  cellular 

levels  and 

18 

S!K> 

The  four  actions  above  will benefit  from  a  range  of  specific  measures  aiming  at  the 
achievement  of  increased  harmony  between  scientific  progress  and  realities  of  the 
economic  world, namely  : the systematic combination  of advanced  biotechnology  with the 
whole  spectrum  of established  disciplines  and  techniques,  to  increase  the  control  which 
the  practitioner  may  have  over  biological  processes;  the  close  interaction  of  scientific 
teams  with  the  users  of  research  results  and  with  expert  groups  looking  into  new 
indicators  of welfare; the accompanying  assessment  of lateral  effects  which arise  with the 
recognition  of  economic  and  social  constraints  (provisions  for  safety,  ethical  issues, 
education,  public  information,  targeted  training  to  link research  and  industry). 

OBJECTIVES ADDRESSED BY CONCERTATION 

Four  other  activities  will be  approached  by setting  up  research  projects  or  concertation 
networks.  The  objective  in this case will be to share  work and  information  in fast-moving 
fields, and  to  pool  data  or methods  which may provide  useful  bases  upon  which  science 
policy and  regulatory  measures  could  be  developed  further. 

Area  5  : Immunology  and  transdisease  vaccinology 

In  immunology,  new  biotechnology-derived  substances  in  relation  with  the  immune 
system  (monoclonal  antibodies,  cytokines,  growth  factors,  receptors,  adhesion 
molecules  etc.) may reveal  a range of effects  preventing  or controlling  major  human 
and  animalvpathologies.  Special  attention  will be  given  to  the  possibility  to  initiate 
mechanistic  studies  of the  interaction  of  these  substances  with the  physiology  of  the 
organism,  in  order  to  develop  new  pharmacological  concepts  which  should  be 
relevant  to  specific  interests  of  the  Biomedical  and  Health  research  programme. 

Research  on  transdisease  vaccinology  will be  organized  across  Europe  (live  vectors 
for vaccines, their ability to induce  immunity  to normal  or pre-immunised  organisms, 
their  safety  in normal,  immunocompromised  hosts  and  in other  species  likely to  be 
in  contact  -  antigen  delivery  systems,  particularly  those  giving  the  possibility  to 
administer  a  unique  dose  - mucosal  and  peroral  vaccination  - induction  of  T  and/or 
B  immune  responses,  etc.).  Model  diseases  used  for  the  demonstration  of  the  new 
methods  will  have  to  be  chosen  for  their  importance 
in  human  or  veterinary 
medicine. 

Area  6  : Structural  biology 

The systematic  determination  of the three-dimensional  structures  of biomolecules  will 
contribute  to  the  knowledge  of the  relationships  between  primary  structures  and  the 
tertiary  structures  of  biologically  active  macromolecules  and,  even  more,  the 
quaternary  structures  of  the  multi-subunit  complexes  which  mediate  most  biological 
activities. The accelerating  accumulation  of structural  information  underlines  the need 
to  store,  retrieve  and  analyze  this  information  (see  Infrastructures). 

19 

2Sf 

The  objective  is  the  understanding  of  the  structural  basis  of  biomolecules  and 
complexes  (proteins,  DNA,  RNA,  carbohydrates  and  lipids)  which is essential  to the 
discovery  and  refinement  of  new  biochemical  entities.  The  improvement  of  the 
resolution  of  the  techniques  and  the  growing  size of  structures  that  they  can  assess 
will be crucial. Such technical  developments  will allow work on subcellular  structures, 
e.g.,chromosomes,  splicesomes,  replisomes,  with  further  implications  for  biological 
understanding. 

Biological  macromolecules 
that  catalyze  chemical  reactions  (enzymes,  abzymes, 
ribozymes)  are  particularly  of  interest  for industry.  To  obtain  biocatalysts  with  new 
properties,  two  different  and  complementary  ways are  to  be  considered.  The  first  is 
the  rational  design  of  biomolecules  which  requires  a detailed  understanding  of,  and 
control  over biomolecular  conformation  and  reactivity  (position  of functional  groups, 
folding  properties).  The  second  way  is  in  vitro  directed  molecular  evolution.  This 
technology  useful  alternative  to  true  design  consists  of  a  large,  heterogeneous  pool 
of biomolecules  subjected  to multiple  rounds  of selection,  amplification  and  mutation, 
and  leading  to  biomolecules  with  the  desired  properties.  RNA,  acting  as  both  a 
genetic  message  and  an  enzyme, are ideal  molecules  for the  type of in vitro evolution 
experiments  which  are  invited. 

Finally,  the  emerging  interface  of  biology  and  electronics  will be  stimulated  with  a 
view  to  allowing  the  integration  of  competences 
in  structural  biology,  molecular 
engineering  and  nanolithographic  patterning  towards  new  possibilities  of  designing 
functional  units which could  incorporate  modifications  at the  scale of the  nanometre. 

Area  7  : Pre-normative  research,  biodiversity  and  social  acceptance 

Community  efforts  will be brought  into closer harmony  with national  efforts  when  this 
leads  to  methods  or  data  that  would  consolidate  the  rational  basis  of  regulatory 
approaches  and  would support  the development  of internationally  accepted  standards 
and  systems  of  risk  assessment.  This  activity  will be  encouraged  in  three  fields:  the 
development  of  toxicological/pharmacological  in  vitro  tests,  the  biosafety  evaluation 
of  biotechnology-derived  products,  and 
solving 
environmental  problems. 

the  development  of  processes 

As  far  as  in  vitro  testing  is  concerned,  priority  interest  will  be  in  neurobiology, 
immunology  and  developmental  pharmaco/toxicology  as  well as  in  the  development 
of  cultures  or  co-cultures  of  cells  maintaining  their  normal  metabolism,  with  a  clear 
view  to  providing  methods  and  data  usable  as  alternatives 
to  animal  testing  and 
eventually  made  available  for  prevalidation  studies,  such  as  the  Biomedical  and 
Health  research  programme  has  planned. 

As  far  as  the  biosafety  evaluation  of  transgenic  organisms  and  derived  products  is 
concerned,  special  emphasis  will  be  given  to  the  risks  possibly  associated  with 
releases  of  genetically  modified  organisms,  including  recombinant  life  vaccines,  into 
the  environment  and 
of  the 
Community's  regulatory  framework  ensuring  safety  for  man  and  the  environment. 

to  the  scientific  support 

implementation 

to  the 

20 

l^ 

This should be approached  at two levels. First at the basic level of molecular  ecology 
and, second,  at the level of prenormative research, which gathers  data  of particular 
usefulness  to  regulatory  authorities  when  carrying  out  risk  assessments  under 
Community  legislation. 

Most  of  these  studies,  and  particularly  prenormative  research,  should  be  comple 
mented  by field tests  in order  to  take  into  consideration  environmental  factors. 

Microbial  ecology  does  not  only  serve  prenormative  research  but  it  is  an 
indispensable  element  for studies  on environmental  biotechnology  and microbial 
biodiversity. 

In  order  to  lead  environmental  biotechnology  to  useful  results,  knowledge 
acquired  from  microbial  ecology, microbial  diversity and bioprocessing  (see  cell 
factories)  should  be appropriately  combined,  aiming at the prevention,  detection 
of  hazardous  compounds  and  the  remediation  of the  environment. 

to 
Microbial  diversity  should  be  better  understood,  with  particular  attention 
microbial characterization  in extreme habitats,  isolation  strategies  and cultivation 
procedures,  direct  analysis of microbial  communities  through  DNA  sequencing, 
biosystematics  using molecular  techniques  and  markers,  screening  strategies  and 
conservation. 

Plant  and  animal  diversity studies  will also be part  of the more  general  approach 
in  using  molecular  and  cellular  biology  to  bring  about 
which  consists 
methodological  improvements  for  the conservation  of genetic  resources  or / and 
for  exploring  unexploited  diversity. 

Particular  emphasis  will be put  on  analyzing  lateral  issues such  as public  perception 
and  the acceptance  of biotechnology  in general,  in liaison with the horizontal  activity 
on  ethical,  social and  legal aspects  of the  life sciences  and  technologies,  taking  into 
account  the  European  Bioethics  Convention  and  environmental  aspects. 

Area  8 :  Infrastructures 

Development  of bioinformatics,  of information  infrastructures  and  resource  centres 
(databases,  biological  collections,  etc.)  as  a  service  and  support  to  wider  scale 
research  by the  Community  or  its Member  States.  The  services  shall aim  to  support 
and  underpin  the overall  objectives  of the  Biotechnology  programme,  particularly  in 
the areas  of genome  sequencing,  structural  biology and biodiversity. Special attention 
shall be paid  to ensure  that  these  services  match  the  research  needs,  including  those 
of  large  industry  and  SMEs. 

Necessary  actions  should  be  taken  as  to  ensure  proper  publicity  and  wide  spread 
distribution  of  collections  and  information  contained  in  databases.  In  the  case  of 
biological  collections,  coupling  of  specimen  distribution  channels  and  related 
Information  Systems will be fostered  in order  to ease  access  to repository  catalogues 
and  eventual  ordering  and  delivery. 

21 

* fVt 

Large  scientific and  technical  communities  should be able to have simple and, as far 
as possible, unique access to deposit  and retrieve information firom diverse source of 
data, including bibliographic  indexes. To achieve these objectives, following facilities 
should  be  provided  by  the  information  services:  user-friendly  interraces;  cross-
reference  and  navigation  mechanisms  between  data  entries;  interconnection  of 
diverse  national  and  Community-wide  databases  via European  networks;  extensive 
use  of  standards  and,  when  necessary,  definition  of  new  exchange  formats.  Close 
cooperation  with existing R&D programmes  in the field of Information  Technologies 
should  be encouraged  in order  to  benefit  of their findings and  achievements. 

Research  activities on novel bioinformatics  technics  will be supported  whenever  they 
could  contribute  to  improve  the  service aspect  of the  mentioned  tasks. 

OBJECTIVES TREATED  BY MEANS OF HORIZONTAL ACllVrilHS 

Demonstration  activities  in biotechnology 

i 

New biotechnologies  stemming  from  forefront  European  research  encounter  specific 
difficulties  and  socio-economic  barriers  which preclude  their  full exploitation  in the 
market  place. European  biotechnology  researchers  continuously  produce  a rich flow 
of opportunities  that  can benefit  society in many different  ways. However,  a variety 
of  techno-economic  uncertainties, 
to  the  adoption  of  these  complex 
interdisciplinary  processes  (which are  not easily understood  by the technology  users, 
or even, in some way or another,  feared  by the public), hamper  the  full exploitation 
of research  efforts  and increase  the time and risks involved in the market  penetration 
of well established,  new biotechnological  concepts.  Community  support  to  carefully 
selected  biotechnology  demonstration  activities  will encourage  European  concerns 
to deploy  the costly, critical-mass, interdisciplinary  resources  needed  for  overcoming 
those  hurdles  and  will, therefore,  facilitate  the  adoption  of  new  biotechnologies  by 
potential  users  in industry  and  services. 

inherent 

Biotechnology  demonstrations  can  be  linked  to  any  scientific  and  technological 
research  area  considered  within  this  specific  programme  and  will be  developed  in 
close cooperation  and synergy with the Agriculture  and Fisheries, and the Biomedical 
and  Health  Research  programmes,  integrating  resources  from all disciplines  relevant 
to  project  implementation.  A high  thematic  flexibility is needed  for  the  bottom-up 
identification  of  demonstration  activities  from  which  the  highest  impact  is  to  be 
expected,  both  in strengthening  the competitiveness  of European  industries,  and  in 
promoting  an objective  public understanding  of biotechnology.  Particular  focus areas 
might  include,  amongst  others  : novel  cell  technology  and  biochemical  engineering 
approaches  with  the  potential  to  maximize  benefits  from  the  cell  factories;  new 
vaccines;  use  of  transgenic  plants  and  animal  models;  bio-remedial  application  of 
microorganisms  for  the  removal  of  toxic wastes. 

22 

« ft 

Ethical,  social ?nd  legal aspects  (ESI.A) 

The  participation  of  the  Community  in  a  dialogue  embracing  all relevant  socio 
political and bioethical  positions, taking into account  cultural differences  and existing 
national  policies will be encouraged  and, where appropriate,  deliberately  organized. 
Whilst recognizing existing national  and international  points of view, scientific studies 
will focus  on transdisciplinary  approaches  of selected  topics, of  high relevance and 
possible impact within the biotechnology  programme,  and on the applications  of their 
results (e.g. genome research, biodiversity, intellectual  property, in particular research 
exemption  for patents,  introduction  of new biotechnology  products  for industry and 
environment,  transgenic  animals, neurosciences).  Where appropriate,  these activities 
will also contribute  to  identifying  areas  for the application  of common  principles  - the 
draft  European  Bioethics  Convention  of the  Council  of  Europe  will be  taken  into 
account  -and  for agreeing  their best possible interpretation.  The continuous  updating 
of  scientific  data  in support  to  regulatory  processes  will be  facilitated. 

Public  perception 

s 

Specialised  working  groups  will be  established  to  prepare  ad  hoc  initiatives,  like 
workshops,  conferences,  reports  and  surveys important  for  the  public  perception  of 
biotechnology.  Appropriate  and  timely  information  about  research  objectives, 
scientific breakthroughs,  knowledge  obtained,  obstacles  are the key elements  for the 
public  perception  of  biotechnology  which  must  be  reviewed  in  an  open  discussion 
about  possible  applications  and  implications  of the  results  of  this new technology.  It 
is  important  that  in  addition  to  information  dissemination,  in  particular  through 
that  suggestions  and  concern 
conferences  and  surveys, it  could  be  demonstrated 
expressed  from  the  public  side are  considered  in strategic  planning. 

Socio-economic  impacts 

An important  factor  for  the  competitiveness  of European  industry  and  employment 
will be the adoption  of up-to-date  and  sustainable  production  systems. Consequently 
the opportunities  offered  by biotechnology  will be promoted.  In large industrial  areas 
(agro-industry,  pharmacy,  fine  chemicals  etc.)  while  new  products  and  productions 
tend  to  be  based  on  biotechnological  research  (for  example  new  pharmaceuticals), 
the  actual  production  will rely in general  on  traditional  technologies.  Efforts  will be 
made  to  assess  these  indirect  effects  of  the  biotechnology  research  programme,  by 
which  new  tools  and  methods  get  amalgamated  with  an  existing  background  of 
established  practices,  to  the  benefit  of  industrial  branches  already  in  place.  At  the 
same  time,  questions  will be  asked  on  the  rise  of  new  industrial  sectors  based  on 
opportunities 
related 
handicaps/chances  experienced  in Europe. 

research  SMEs,  and  on 

specific 

offered 

the 

to 

*£> 

W 

ANNEX  H 

INDICATIVE  BREAKDOWN  OF  THE  AMOUNT 

Objectives  requiring  concentrated  means 

Area  1.  Cell  factories 
Area  2.  Genome  analysis 
Area  3.  Plant  and  animal  biotechnology 
Area  4.  Cell communication  in neurosciences 

Objectives  addressed  by concertation 

Immunology,  transdisease  vaccinology 

Area  5. 
Area  6.  Structural  biology 
Area  7.  Prenormative  research,  biodiversity, 

Area  8. 

social acceptance 
Infrastructures 

% 
15-21 
13 - 19 
22 - 30 
4 -8 

5 -9 
9 - 13 
10 - 16 

2 -4 

TOTAL 

100  %  (1)(2)(3) 

The  breakdown  between  different  areas  does  not  exclude  the  possibility  that  projects 
could  cover  several  areas. 

0) 

Including  3.5  %  for  expenditure  on  staff  and  4.0  %  for  administration  expenditures. 
Including  5.5  MECU  for  the  dissemination  and  exploitation  of  results 
Between  4  and  6%  of  the  funds  will  be  allocated  to  horizontal  demonstration  activities; 
between  1 and  2%  of  the  funds  will  be  allocated  to  horizontal  activities  on  ethical,  social  and  legal 
aspects;  between  1  and  2% of  the  funds  will  be allocated  to  horizontal  activities  on  public  perception 
and  socio-economic  impact  studies;  between  5  and  7%  of  the  funds  will  be  allocated  to  horizontal 
training  activities. 

25 

î°) / 

ANNEX  m 

RULES  FOR  IMPLEMENTING  THE  PROGRAMME 

1.  The  detailed  rules  for  the  Community's  financial  contribution  are  laid  down  in 

Annex  IV  to the  Decision  on  the  fourth  framework  programme. 

The  detailed  rules  for  the  participation  of  undertakings,  research  centres  and 
universities,  and  for  the  dissemination  of  results  will be  laid  down  in  the  measures 
provided  for  by Article  130j of the  Treaty. 

However,  for the purpose  of implementing  this programme,  the  following exceptions 
shall  apply: 

» 

Participation  in this programme  is open, with financial  support  from  the Community: 

a.  to  all legal entities,  established  and  regularly  carrying  out  RTD  activities 
- 
- 

in the  Community,  or 
in a  third  country  associated,  wholly or  in part,  with  the  implementation  of  the 
relevant  programme  through  an  agreement  concluded  between  the  Community 
and  the  said  third  country 

b.  to  the  Joint  Research  Centre. 

in  this  programme 

Participation 
the 
Community, and on condition  that  their participation  is in the  interests  of Community 
policies: 

is  open,  without  financial  support  from 

a.  to  legal  entities  established  in  a  country  which  has  concluded  a  scientific  and 
technical  co-operation  agreement  with  the  Community  relating  to  activities 
covered  by the  programme,  provided  the  participation  accords  with the  terms  of 
the  agreement, 

b. 
c. 

to  legal entities  established  in a  European  country, 
to  international  research  organisations. 

The  participation  of  European  international  organisations  may  be  financed  on  the 
same  basis  as  that  for  Community  organisations  in duly  specified  cases. 

27 

2.  This programme  will be carried out through indirect action, whereby the Community 
makes  a financial contribution  to  RTD  activities  carried  out  by third  parties  or by 
JRC  institutes  in association  with third parties: 

2.1 

Shared-cost  activities covering  the  following  means  of action: 

-  RTD  projects  carried  out  by  undertakings,  research  centres  and  universities, 

including  consortia  for integrated  projects  with a common  objective; 

-  basic  research  projects  within  thematic  networks  to  be  established,  based  on 
involving  industrial  companies, 

generic  technologies  of  strategic  importance, 
research  centres  and  universities; 

- 

technology  stimulation  to  encourage  and  facilitate  participation  by  SMEs  by 
granting  an  award  covering  the  exploratory  phase  of  an  RTD  activity, including 
the  search  of partners,  and  via cooperative  research.  The  award  will be  granted 
'  following the  selection  of outline  proposals  which may be  submitted  at  any time. 

-  support 

for  the  financing  of  infrastructure  or  facilities  necessary 
performance  of a coordination  action  (reinforced  coordination  activity) 

for  the 

-  demonstration  activities, as defined  in Annex  III of  the  Framework  Programme, 
which  may include  feasibility  awards  and  direct  grants  to  technologists,  intended 
to  overcome  specific  hurdles  preventing  utilization  of  new  technologies  and  to 
build  bridges  between  producers  and  technology  users. 

2.2 

2.3 

concerted  actions,  which  coordinate,  in  particular  through  concertation 
networks,  RTD  and  demonstration  projects  already  funded  by  public 
authorities  or  private  organisations.  The  concerted  actions  may  also 
perform  the  coordination  needed  for  thematic  networks  which,  through 
RTD  shared  cost  actions  (cf.  2.1, first indent),  bring  together  producers, 
users, universities  and  research  centres  to  focus  on the  same  technological 
or  industrial  goal. 

specific  measures,  such  as  those  encouraging  standardization,  and  those 
measures  intended  to  set  up  general  service  tools  for  research  centres, 
universities  and firms. The Community  contribution  may be up to  100% of 
the  costs  of these  measures. 

28 

â<33 

2.4 

Preparatory,  accompanying  and support  measures,  including the  following 
types: 

studies  in support  of this programme  and  in preparation  of possible  future 
actions; 

conferences,  seminars,  workshops  or other  scientific or technical  meetings, 
including  intersectorial  or  multidisciplinary  coordination  meetings; 

use of external  expertise,  including  access  to  scientific  data  bases; 

scientific publications,  including dissemination,  promotion  and  exploitation 
of results  (in coordination  with the activities carried  out  in the 3rd Action); 

assessment  studies  of  socio-economic  implications  and  also  of  possible 
technological  risks  associated  with  all  projects  of  this  programme 
in 
coordination  with  the  programme  Targeted  socio-economic  research; 

training  activities linked  to the  research  carried  out under  this programme; 

independent  evaluation  (including  studies)  of  management  and  results  of 
programme  activities. 

measures  in support  of  the  operation  of  networks  to provide  information 
and  decentralized 
the 
to  SMEs 
Euromanagement  auditing  activity of RDT. 

in  coordination  with 

assistance 

The  dissemination  and  exploitation  of results  obtained  in this programme  will be 
complementary  to  those  carried  out  by the  3rd  Action  and  will be  implemented 
in close  coordination  with it. The  networks  of  partners  of  RTD  projects  are  the 
principal  mechanisms  for  dissemination  and  exploitation  of  results.  They  will be 
reinforced  with  publications,  conferences,  promotion  of  results,  studies  of  the 
techno-economic  potential,  etc.. In order  to ensure  optimal  exploitation  all those 
factors  which may facilitate  the  utilisation  of results  will be considered  at  the  start 
of  the  RTD  projects  and  whilst they  are  in progress. 

29 

«V 

SPECIFIC  PROGRAMME  OF  RESEARCH,  TECHNOLOGICAL 
DEVELOPMENT  AND  DEMONSTRATION 
IN THE  FIELD  OF  BIOTECHNOLOGY 

FINANCIAL STATEMENT 

31 

&Ç 

FINANCIAL STATEMENT 

1.  TITLE  OF  THE  OPERATION 

Specific  Community  action  of research  and  technological  development  and  demonstration 
in  the  field  of  biotechnology  (1994-1998). 

2.  BUDGET  HEADING  CONCERNED 

B  6-7141 

'i 

3.  LEGAL  BASIS 

Article  1301 of  the  Treaty  on  the  European  Union. 
Council  and  European  Parliament  decision  relating  to  a  fourth  Framework  Programme 
for  Community  actions  of research,  technological  development  and  demonstration  (1994-
1998). 

4.  DESCRIPTION  OF  THE  OPERATION 

4.1  General  objective  of  the  operation 

The  programme  is established  to seize a broad  spectrum  of scientific  opportunities  arising 
from  the  accelerating  progress  of  molecular  and  cellular  biology, and  to  concentrate  the 
in  biotechnology  where  the  value-added  of  cooperation  can  readily  be 
joint  effort 
into  industrial  and  social  benefits.  It  will  invite  the  participation  of  those 
translated 
to  the  mechanisms  of  life, 
groups  capable  of  promoting  a  comprehensive  approach 
through  the  integration  of appropriate  disciplines  and  complementary 
techniques  of any 
origin, while considering  at  the  same  time  the  needs  and  expectations  of  user  groups.  It 
will help  implementing  the  concept  of  cell  factories,  in  view  of  the  possibility  which  is 
given  to  exploit  cellular  properties 
in  a  predictable,  specific  and  sustainable  manner 
across  very diverse  applied  fields  including  environment,  agriculture,  health  and  industry. 
It  is  viewed  therefore  as  the  underpinning  programme  providing  key  information  and 
know-how  from  which  new  technological  options  might  be  conceived  and  tested  in  the 
framework  of  other  specific  programmes  with  a  sectoral  scope  or  under  EUREKA. 

4.2  Duration  of  the  operation 

1994  -  1998 

5.  CLASSIFICATION  OF  THE  EXPENDITURE  AND  REVENUE 

NCE/DA 

33 

£% 

6.  TYPE  OF  EXPENDITURE  OR  REVENUE 

Studies/subventions 

-  Direct  actions  will be  financed  in  principle  at  100% 

-  Concerted  actions  may include  a participation  allowing up  to  100% of the  concertation 

costs. 

Subventions for  co-financing with participation  from  the public  and/or private  sector 

-  Shared-cost  actions  which  consist  in  RTD  projects 

include  a  participation  not 

exceeding  50%. 

-  Universities  and  other  research  centres  which  participate  in  RTD  projects  and  that 
according  to  the  Commission  cannot  justify  their  total  costs  with  sufficient  detail  by 
means  of  an  analytical  accounting  system  will  be  financed  up  to  100  %  of  the 
additional  <x>sts. 

-  Other  shared  cost  actions  (for  example,  networks,  training,  feasibility  awards  and 
accompanying  measures)  will be  financed  up  to  100  %  of  either  the  additional  costs 
or  the  total  costs  of  the  action. 

Personnel and  administration expenses 

This expenditure  includes expenditure  on statutory  and  other  personnel,  studies,  meetings 
of  experts,  conferences  and  congresses,  information,  publications,  administrative  and 
technical  operation  as  well  as  certain  other  expenses  on  internal  infrastructure  and 
operation  linked  to  the  realisation  of  the  action  of  which  they  are  an  integral  part. 

7.  FINANCIAL  IMPACT 

7.1.  Method  of  calculation  of  the  total  cost  of  the  operation 

*  Staff  expenditures  :  19.32 MECU  (3.5%  of  the  amount  deemed  necessary  at 

552  MECU) 

The  staffing  situation  of  1994  is  maintained,  namely  with  30  posts.  The  breakdown  of 
these  posts  is as  follows  :  15A  +  4B  +  11C. 

in  1995,  1996  and  1997, 
New  posts  will  be  gradually  added  to  the  staff  complement 
according  to  the  funds  made  available  by  each  budgetary  year.  The  new  posts  are 
justified  on  the  basis  of  the  programme  configuration  which,  as  compared  with  the  3rd 
F.P., encompasses  new  fields  of  activities  :  the  cell  factories,  cell  communication 
in 
neurosciences,  environmental  biotechnology,  transdisease  vaccinology. 

34 

It is worth  noting  that  the  staff  of this specific  programme  will also be given the  task  of 
monitoring 
the 
programme  of  the  3rd  F.P. 

the  scientific  and  contractual  aspects  of  actions  launched  under 

*  Administration  expenditures,  including  non-statutory  staff  : 22.08 MECU 

(4.00%  of the  amount  deemed  necessary  at  552 MECU) 

*  Intervention  expenditures  : 510.60 MECU  (92.50% of the amount  deemed  necessary 
at 552 MECU),  including expenditures  related  to accompanying  measures,  evaluations 
and  concertation  activities. 

7.2  Breakdown  by element  of the  operation  flMBCU  and  %\ 

Objectivés  requiring  concentrated  means 

Cell  factories 
Genome  analysis 
Plant  and  animal  biotechnology 
Cell communication  in  neurosciences 

Objectives  addressed  by concertation 

82.80-  115.92 
71.76-104.88 
121.44-  165.60 
22.08-  44.16 

15-21% 
13-19% 
22-30% 
4-8% 

Immunology  and  transdisease  vaccinology 
Structural  biology 
Prenormative  research,  biodiversity 

27.60-49.68 
49.68-71.76 
55.20-88.32 

5-9% 
9-13% 
10-16% 

and  social  acceptance 

Infrastructures 

11.04-22.08 

2-4% 

TOTAL 

552 (l, 2) 

100 % 

(1)  Including  19.32 MECU  (3.50%)  for staff  expenditures  and  22.08 MECU  (4.00%)  for 

administration  expenditures. 

w  This  amount  includes  expenditures  related  to  the  exploitation  and  dissemination  of 

results  at  5.5 MECU. 

35 

m 

7.3 

Indicative schedule of credits (MECU) 

The schedule will be established on the basis of the overall amounts for the fourth  framework 
programme  adopted  indicatively  for  the periods  1995-96  and  1997-98  at  the  conciliation 
meeting on 21 March  1994. The RTD appropriations for each financial year will be proposed 
and adopted each year on the basis of the resources available in the context of the  financial 
perspective. 

Commitment 
credits 

Payment credits 

1995 

1996 

1997 

1998 and 
beyond 

TOTAL 

1995 

1996 

1997; 

1998 

63.00 

24.82 

238.00 

126.00 

125.00 

16.94 

102.91 

10.62 

78.88 

55.70 

TOTAL 

552.00 

24.82 

119.85 

145.20 

10.62 

56.21 

70.30 

125.00 

262.13 

63.00 

238.00 

126.00 

125.00 

552.00 

8. ANTI-FRAUD  MEASURES 

There  are  many  administrative  and financial controls  at  each  stage  of  the  signature  and 
implementation  of research contracts.  Among these controls are the following  : 

At the stage prior to the conclusion 

-  Initial selection of proposals based on the scientific merit of the project and on the realism 
of  research  costs  relative  to  the  content,  duration  of  the  project  and  his  potential 
implications. 

-  Analysis of financial details submitted by the proposers in the contract negotiation  form. 

After signature of the contract 

-  Examination  of expenditure statements before  payments at a number  of levels  (financial 

officer,  scientific  officer). 

-  On site audit which should allow by examination of the supporting documents the detection 
of  errors  and  other  irregularities.  In order  to improve  the efficiency  of  these  controls 
Commission  services established an audit unit, which co-ordinates all controls which are 
taking  place.  These controls are carried  out either  by  members of  this audit  unit or by 
audit firms with which the Commission  has concluded  a contract,  under the supervision 
of personnel  from  this audit unit. 

36 

2<J9 

9.  BASIS  FOR  COST/EFFECTIVENESS  ANALYSIS 

9.1 

Specific  qnd  quantifiable  objectives,  tarw*  nonnlarinn 

The  first  objective  is  to  unravel,  with  all  sophisticated  means  provided  by  modem 
biotechnology,  the workings of living cells such that practitioners  might master,  mimic and 
eventually  reproduce  complex  cellular  processes  in  greater  numbers  and  with  higher 
efficacy,  for the production  or conversion  of a variety of substances  compatible  with life, 
the  treatment  of  diseases,  the  diagnostic  of  genetic  variation,  the  restoration  of  the 
environment,  etc. This general  aim  entails  two specific  objectives  which consist  in  : 

-  organizing  the  convergence  and  integration  of efforts  in areas  where  notable  benefits 
can  be  envisioned  only by  provoking  a  quantum  leap  through  the  mobilization  and 
temporary  alignment  of  national  elites  in the  required  disciplines; 

-  balancing  and  harmonizing  through  concertation-valuable  national  activities  offering 
leadership,  if  the  pool  of 

a  competitive  advantage  in  areas  of  potential  European 
shared  experience  is kept  sufficiently  large  and  accessible. 

The  areas  selected  for  having  in  place  a  concentrated  effort  come  down  to  four  (cell 
in 
factories,  genome  analysis,  plant  and  animal  biotechnology,  cell  communication 
neurosciences)  which, all of  them,  share  the  same  condition  for  success  : namely,  that 
none  of  the  key  players  should  be  left  outside  of  the  final  projects.  A  high  level  of 
integration  is to  be  achieved,  which  can  be  verified  at  proposal  evaluation  stage  and, 
again, by monitoring  subsequent  results  in the  light of the  contributions  made  by distinct 
disciplines  and  techniques  once  properly  combined  with each  other.  Integration  will be 
pursued  on  different  levels.  It  will be  multidisciplinary  and  will attempt,  wherever  an 
application  field  is  identified,  to  bring  together  producers  and  users  of  the  nascent 
technology  at  the  earliest  possible  stage.  The  capacity  of  the  programme  to  raise  the 
interest  of  professional  groups  of  intermediate  and  final  users  is  a  justification  for 
maintaining  its concentrated  efforts.  In the  four  identified  areas,  the expected  results  will 
be of the  enabling  type, meaning  that  the  benefits  will be amplified  by various  follow-up 
activities  with  national  programmes,  industry,  in a  EUREKA  project  or  under  another 
Community  programme 
looking  into  the  applications  of  the  life  sciences.  Another 
indicator  of success will be therefore  the  steps  made  for intensifying  the  flow of the  useful 
results  into  other  structures  for  the  exploitation  of  research  progress. 

37 

00 

The  areas  selected  for  the  optimum  concertation  of  national  and  Community  efforts 
(immunology  and  transdisease  vaccinology,  structural  biology, prenormative research, 
biodiversity  and  social acceptance,  and mfrastructures)  need  to be addressed  in a more 
flexible way to allow for a broader  diversity of systems, technical  solutions  and opinions 
about  their  utilization.  Participants  may need  to be  organized  in larger  networks,  also 
variable  in configuration  as knowledge  further  progresses. 

The population  of potential  users is not always fully identified,  so it is harder  to predict 
where  the  spin-off  is  to  be  received.  Results  will bring  about  new  knowledge  and 
knowledge  access  systems, needed  as a basis for science-policy  making or formulation  of 
regulatory  approaches.  In  each  area,  the  number  of  biological  systems  retained  after 
project  selections  willbe inventoried,  and the cases among  those ones where research  has 
allowed  to  move  from  unpredictability  to  predicted  scientific,  strategic,  regulatory  or 
social  interests  taken  as the  indicator  for  success. 

i 

9.2. 

' Justification  of the operation 

9.2.1  Need  for the  Community  intervention 

For all four  areas  requiring  concentrated  means, the need  for a Community  action  stems 
from  the  size and  all the complexity of the projects  which should be set up. They willbe 
highly  multidisciplinary  through  the  involvement  of  multiple  expertise  rarely  available 
from  a  single  country.  At  the  crossroads  of  science  push  and  technology  pull,  their 
potentials  can  be  realized  to  the  full  only  by  establishing  on  a  sufficiently  broad 
geographical  basis  the  market  of innovative  scientific  concepts,  compatible  with a lively 
entrepreneurial  attitude  in Europe. 

A particular  feature  of biotechnology  goes  with the  fact  that  the  engendered  economic 
activity cannot  be dissociated  from  the  world it is hosted  by. Any living system  is part  of 
this  world  and  exists irrespective  to  the  fact  that  it could  be  exploited  under  industrial 
conditions.  Hence,  the  wider  implications  on  health,  environment,  demography,  food, 
biodiversity,  ethics  and  social  behaviours,  etc. 
Some  of  these  implications  coincide  with  areas  of  Community  policies  and  regulatory 
activity. For  example,  biotechnological  processes  which share  with the  rest  of the  living 
world  many  of  their  functional  properties  are  easily  incorporated 
in  the  natural 
environment,  offer  conditions  of safe and  sustainable  operation  and  multiply the  number 
of options  leading  to agricultural  diversification,  environmental  repair,  health  promotion 
according  to  standards  defined  by  society. The  existence  and  support  of  transnational 
research  projects  is an indispensable  element  of the coherence  of the related  policies and 
actions,  which  the  Union  is willing to  enforce  throughout  the  Community. 

38 

Some  inherent  rate-limiting  steps  additionally justify that biotechnology  be addressed,  in 
a  project-specific  manner,  on  a  continental  scale. This  applies  to  situations  where  the 
scientific  strategy  is largely  influenced  by  international  agreements  (genome  projects, 
biosafety  assessments),  where  genuine  lack of resources  suggest  various forms of work-
sharing  (genetic  collections,  rare  expertise  such  as  biochemical  engineering),  where 
facilities  and  tasks  of  an  exceptional  scale  prevent  most  countries  from  having  a 
significant  leadership  (genome  mapping  and  sequencing,  primary  databases  of incoming 
sequences  or  structural  data). 

Finally, there  is an element  of cohesion  in the objective  of this programme  which consists 
in bringing together  technology  producers  and  users, with the  former  being concentrated 
by small numbers  in a limited part  of Europe,  while the  latter  find  themselves  dispersed 
through  all parts  of the continent  with a corresponding  diversification  of traditional  know-
how  which  could  well  become  the  adaptative  strength  of  the  Community  after  the 
necessary  cross-fertilization  with the  novel  technologies  of life which the  programme  is 
all about. 

9.2.2  Intervention  modalities 

The  activities  covered  by  the  three  levels  of  Community  interventions,  namely  by 
concentration  of  efforts,  by  concertation  and  via  horizontal  measures,  represent  a 
relatively  small  part  of  the  global  effort  of  the  Member  States  in  biotechnology.  A 
carefully  and  stringent  selection  of topics  was achieved  in consultation .with experts,  with 
a  view to  retaining  those  which are  likely to bring  about  the  greatest  value-added  from 
transnational  cooperation  and  sharing of key resources. The project  selection  criteria  will 
reflect  this primary  need  in the  following  way : 

-  concentration  of efforts  : 

projects  need  to critically arrange  the  whole complement  of expertise  for  the  objectives 
to  be  reached  in a  measurable  way. Impact  is being  sought  and  the timely mobilization 
of  the  right  actors  is a necessity. 

-  concertation  : 

projects  possibly  are  in a  more  exploratory  phase.  Many  directions  could  be  pursued  at 
the  same  time. The  state-of-the-art  in the  Member  State  will affect  any  further  progress 
at Community  level and  attention  should first be given to the pooling and  harmonization 
of existing  efforts. 

-  horizontal  measures  : 

studies  and  discussions  need  to  be  encouraged  to  bring  various  levels of  society  on  the 
same  level  of  understanding  of  the  needs,  opportunities  and  potential  risks  eventually 
associated  with  the  diffusion  of  biotechnology. 

39 

3r  i 

Modalities  will be  as  follows  : 

-  concentration  of  efforts  : 

shared-cost  research  contracts  to  support  large research  projects  entailing  a  high  level of 
integration.  The  project  size would  be  in general  superior  to any equivalent  set  up  of the 
largest  Member  States. 

-  concertation 

: 

a  combination  of  shared  cost  projects  of  a  small  size  (maximum  one  research  unit  per 
participating 
large  networks 
throughout  possibly  all  Member  States.  The  concerted  action  willbe  one  of  the  other 
privileged  modalities  for  the  areas  falling  under  this  category. 

laboratory)  with  a  view  to  organizing  and  coordinating 

• 
-  horizontal  measures  : 

workshops,  publications,  missions, studies,  small concerted  actions  to  deliver  reports  and 
activate  the  information  flow.  A  special  case  will be  the  training  activity,  based  on  the 
this 
attribution  of  individual  fellowships,  which  cuts  across  all  areas 
programme. 

listed  under 

9.2.3  Targeted  populations 

The  areas  for  concentrated  efforts  and  concertation  will  essentially  interest  research 
laboratories  of universities, institutes,  industrial  companies.  Additionally,  concertation  will 
imply specific  efforts  to reach  population  of intermediate  and  final  users  in the  regulatory 
field, on  the  side of consumer  organisation,  etc. The  horizontal  measures  would  invite the 
participation  of  all interested  groups  with  sufficient  expertise  and  representativity,  being 
affected  by, or  deliberately  affecting  themselves  the  future  of  biotechnology  research. 

9.3 

Follow-up  and  eval uation 

The  follow-up  will be  entrusted 
to  the  services  of  the  responsible  DG,  assisted  by  the 
programme  committee.  It  will be  guided  by  the  principles  laid  down  in  Article  4 of  the 
Council  decision,  as  outlined  below. 

-  Studies  or  reviews  will  be  carried  out  by  experts  towards  the  start  phase  of  the 
programme  with  a  view to  predicting  the  impact  of  the  operation  and  evaluating  the 
required  level  of  activities. 

the  interim 
its  adequate 

-  The  Commission  will review, after  a  reasonable  period  of  implementation, 

achievements  of  the  programme 
management. 

and 

the  provisions  made 

for 

-  Audits  will be  carried  out  in  specific  cases. 

40 

In order  to contribute  to the overall evaluation  of the  Community  activities envisaged  in 
Article  4.2 of the  decision  adopting  the  fourth  framework  programme,  the  Commission 
proceeds  in due time and  via independent  experts,  with the  evaluation  of  the  activities 
carried  out  in  the field directly  covered  by  this  programme  as  well as  its  management 
during  the five years prior  to  the  evaluation. 

When  this  programme  expires  the  Commission  proceeds  via  independent  experts  with 
the  final  evaluation  of  the  results  obtained  with  respect  to  the  objectives  defined  in 
Annex  m  of the  fourth  framework  programme  and  Annex  I of the  programme  decision. 
The final evaluation  report  is transmitted  to the Council, to the European  Parliament  and 
to  the  Economic  and  Social  Committee. 

41 

3c<t 

Proposal for  a 

COUNCIL  DECISION 

adopting a specific  research, 

94/0087(CNS) 

technological development  and demonstration  programme  in the 

field of biomedicine and  health 

(1994-1998) 

ÏOI 

LIFE SCIENCES AND  TECHNOLOGIES 

EXPLANATORY  MEMORANDUM 

RELATING  TO  THREE  SPECIFIC  PROGRAMMES  IMPLEMENTING  THE 
4TH  FRAMEWORK  PROGRAMME  FOR  COMMUNITY  RESEARCH  AND 

TECHNOLOGICAL  DEVELOPMENT 

(1994-1998): 

-  BIOTECHNOLOGY 
-  BIOMEDICINE  AND  HEALTH 
-  AGRICULTURE  AND  FISHERIES  (INCLUDING  AGRO-INDUSTRY, 
FOOD  TECHNOLOGIES,  FORESTRY,  AQUACULTURE  AND 
RURAL  DEVELOPMENT) 

The  proposed  specific programmes  fully reflect  the orientations  of the  fourth  Framework 
Programme,  apply  its selection  criteria  and  further  define  its scientific  and  technological 
objectives.  The  sector  of Life Sciences  and Technologies  is characterized  today  by a vast 
diversity  of  potential  innovations  and  applications  within  agriculture,  fisheries,  industry, 
health  and  the  environment,  preceded  by effective  breakthroughs,  which still increase  in 
number.  Despite  the  fact  that  small  research  companies  are  not  as  widely established  in 
Europe  as  they  are  in  the  US,  it  remains  a  genuine  European  strength  that  large 
chemical,  agro-chemical,  pharmaceutical  and  seed  companies  give  to  life  sciences  and 
technologies  a  substantial  share  of  their  research  budget,  comparable  if not  superior  to 
that  given by equivalent  US companies.  In general,  the private  effort  may now exceed  the 
public  effort  financially.  The  level  of  industrial  expectations  stems  from  the  value  of 
markets  to  be  preserved,  as well as  markets  to be  gained.  The  most  likely biotechnology 
products  with the  highest  relative  growth  before  2000 are  vaccines,  new drugs and  seeds. 
It  is  vital  that  European  companies  which  are  in  the  front  line  can  draw  upon  an 
adequate  science  base  that  is both  innovative  and  responsive  to  problems. 

The  White  Paper  recommends  funding  biotechnology  research  because  of  its  potential 
applications  favouring  growth, competitiveness  and employment.  In particular,  the  White 
Paper  recommends 
in  those  sectors  where 
biotechnology  can  maximize  its impact  on the  Community's  competitiveness:  agriculture, 
agro-food,  pharmaceutical  products,  chemistry  and  industrial  equipment". 

the  concentration  of  R&D  expenses 

The  new  mission  of  the  research  programmes  within  Life  Sciences  and  Technologies 
consists  of harmonizing  scientific  progress  with industrial  expectations  and  social demand, 
with respect  to biological  processes  which affect  the  largest  number  of European  citizens. 
This  necessary  harmonization  points  to  specific  requirements. 

'^>C4 

In  the  field  of  Life  Sciences  and  Technologies,  the  European  research  potential  is  fairly 
well developed.  National  programmes  have become  bigger and  numerous  Member  States 
have  started  to  organize  intensively  their  networks  of excellence,  to  reinforce  their  pilot 
research  centres  and  to  upgrade  the  quality  of their  infrastructures.  In  the  framework  of 
EUREKA,  the  effort  to bring  new  biological  products  or  processes  closer  to  the  market 
has  been  growing  significantly  over  recent  years. 

The  corresponding  previous  Community  programmes  raised  the  level of awareness  of the 
opportunities  across  national  boundaries  very  early  on.  They  contributed 
to  setting  up 
research  projects  which were  attractive  to industry. Community  research  in Life  Sciences 
is  thus  about  to  add  a  second  phase,  one  which  will  stress  the 
and  Technologies 
exploitation  of  acquired  benefits  and  promote  the  returns  to  interested  socio-economic 
participants. 

These  Community  programmes  will encourage  global approaches  rather  than  reductionist 
the  integration  of  disciplines  against  excessive  specialization,  a  careful 
approaches, 
to  users'  needs  such  as  those  expressed 
attention 
through  consumer  groups,  the 
levels,  and  from  industrial  platforms  or  professional  associations.  These 
regulatory 
programmes  establish  the  need  to  restrict  the  number  of  selected  topics  to  those  where 
all the  above  conditions  for an  integration  process  at  Community  level are  met.  Particular 
attention  willbe  given  to  the  needs  of Small  and  Medium-sized  Enterprises  (SMEs)  and 
to  the  effective  use  of  fellowships.  For  SMEs,  a  specific  procedure  will be  implemented 
aiming  at  increasing  their  participation  in the programme  (technology  stimulation),  based 
on  the  experience  of  CRAFT  activities  and  feasibility  awards. 

y 

Outline  proposals  may be  submitted  at  any  time  (a continuously  open  call  for  proposals) 
and  those  proposals  selected  will receive  a  feasibility  award  to  search  for  partners  and 
to  prepare  a  detailed  proposal.  That  proposal  will then  be  evaluated  in  order  to  decide 
on  the  funding  of  the  research  project  itself. 

Attention  will be  given  to  three  programmes  with  promising  developments  under  way, 
namely: 

biotechnology 
biomedical  and  health  research 
agriculture  and  fisheries  (including  agro-industry,  food 
aquaculture  and  rural  development). 

technologies, 

forestry, 

In  each  of  these  programmes  efforts  will  focus  on  certain  topics.  For  other  topics,  a 
Community  added  value willbe  created  through  Community  concertation  networks  based 
on  existing  national  activities. 

Europe  has  not  been  able,  unlike  the  US  with  their  Presidential  initiatives,  to  spell  out 
an  explicit  priority  for  biotechnology.  Its  specific  weakness 
lies  in  a  dispersion  of 
responsibilities  and  a  lack  of  social  consensus  on  scientific  missions.  This  reticence  in 
identifying  and  mobilizing  relevant  activities  must  be  overcome  by  a  more  systematic 
consideration  of  the  range  of  scientific  opportunities  which  can  be  set  against  present 
societal  needs.  Biotechnology  can  remain  at  the  source  of  innovation  if  it  concentrates 

^o± 

{2C 

on  the  understanding  and  control  of the  mechanisms  which determine  the  functioning  and 
productive  performance  of  living matter.  It  is a  fact  that  it  has  been  possible  to  mimic 
successfully  living processes  for  applied  purposes  and  it  will be  more  so  in  the  future  if 
the  blueprints  of  these  processes  become  accessible. 

Optimal  operational  conditions  will be  created  which  can  best  help  lift  this  limiting  step. 
Biotechnological  research  will be promoted  in so far as creating  the  links by which  certain 
basic  disciplines  and  new  emerging  technical  skills enter  a  real  partnership  towards  the 
understanding  of  biological  phenomena. 

In  the  case  of  biotechnology,  the  focused  activities  will concern  : 

from  cellular  biology,  biochemistry,  process 

cell  factories,  with  contributions 
engineering  and  computer  science; 
sequencing  of  model  genomes  with  a  view  to  more  effective  exploitation  of 
biological  resources,  with  special  attention  being  paid  to  the  development  of 
methodologies; 
plant  molecular  and  cellular  biology,  and  animal  physiopathology,  targeted  on 
technologies  generating  new agricultural  productions  and  preserving  the  health  of 
domesticated  animals  and  plants; 
cell communication  in neurosciences,  in order  better  to understand  the  functioning 
of  nerve  cells  and  the  networks  formed  by them.  The  research  in  question  will 
help  to  design  new  drugs  to  remedy  certain  cellular  and  organic  dysfunctions. 

Concertation  networks  will be  set  up  to  bring  together  the  scientific  communities  in  the 
following  areas  : 

immunology  and  transdisease  vaccinology; 
structural  biology; 
prenormative  research,  biodiversity  and  social  acceptance; 
infrastructures  (bioinfonnatics,  etc.). 

results  in  diseases.  Understanding 

Links  between  certain  basic  disciplines  and  new  emerging  technical  skills  will  also  be 
sought  in  biomedical  and  health  research,  which  is  in  need  of  more  knowledge  of  the 
in  an  healthy  body  and  whose 
basic  mechanisms  which  maintain  normal  functions 
is  a  necessity  prior  to 
disruption 
identifying  novel  drug  targets.  The  key to progress  is interdisciplinary  research  involving, 
for  example,  pharmacologists,  cell  biologists,  molecular  biologists  and  medical  chemists. 
In  view  of  the  limited  contribution  which  the  EU  will add  to  national  governments'  and 
industrial  R &D  expenditures,  an  emphasis  will be  put  on  larger  ambitious  long-term 
projects  which  will contribute  to  keeping  the  social  burden  of health  care  tolerable,  while 
laying the  ground  for  a single  European  market  for  pharmaceuticals,  medical  devices  and 
to  prevention  and  public 
health  services.  Attention  will  be  given  to  research  related 
health,  in  support  of  the  new  Community  policy  on  Public  Health  (Article  129  of  the 
Treaty  on  European  Union). 

the  pathways 

5o6 

In  the  case  of  biomedical  and  health  research,  the  activities  will concern: 

research  on AIDS, tuberculosis  and other  infectious  diseases,  involving integration 
of  basic  and  clinical  research  including  epidemiology; 
research  on  cancer,  with  the  same  breadth  of  approaches; 
pharmaceuticals  research,  mainly on pharmacotoxicology,  pharmacovigilance  and 
clinical  trials; 
brain  research  which,  while  taking  into  account  other  international  cooperation 
programmes,  will include  a  wide  range  of  activities  focusing  on  improvement  in 
the  treatment  of  neurological  and  cerebrovascular  disorders; 
human  genome  research; 
impact;  cardiovascular 
research  on  other  diseases  with  major  socio-economic 
diseases;  chronic diseases  and age-related  problems,  e.g.chronic arthritis, diabetes 
mellitus,  asthma  and  other  respiratory  problems;  and  orphan  illnesses"; 
research  on  occupational  and  environmental  health; 
public  health  research,  including  health  services  research; 
biomedical  technology  and  engineering  research; 
research  on  biomedical  ethics. 

The  advances  in life  sciences  will, together  with  innovations  in other  disciplines  such  as 
engineering  or  chemistry,  form  the  scientific  basis  for  developing  new  processes  and 
applications  in agriculture,  fisheries  and  related  processing  industries.  Special  attention 
willbe  given to research  activities  supporting  the evolving Community  policies  (Common 
Agricultural  Policy  -  CAP  -  and  Common  Fisheries  Policy  -  CFP  -  especially)  and 
responding  to  the  needs  of  society  for a wide  range  of  healthy  and  nutritious  foods  and 
the  necessary 
environ mentally^  friendly  non-food  products,  by  bringing  together 
multidisciplinary  skills. 

In  the  case  of  agriculture  and  fisheries  (including  agro-industry,  food  technologies, 
forestry,  aquaculture  and  rural  development),  the  focused  activities  will concern  : 

integrated  production  and  processing  chains,  in  order  to  obtain  products  with  a 
higher  added  value; 
scaling-up  and  processing  methodologies,  with  a  view  to  the  use  of  new 
methodologies  in agro-industrial  processes; 
generic  science  and  advanced  technologies  for  nutritious  foods; 
activities  to  complement  Community  policies  in  the  agriculture  and  fisheries 
sectors, together  with the identification  of new prospects  for the  sectors  concerned 
further  to  their  restructuring.  Priority  should  be  given  to  : 

within  the  agriculture,  forestry  and  rural  development  sectors: 

optimization  of  methods  and  systems; 
product  quality; 
production  diversification; 

^of 

plant  and  animal  health  and  animal  welfare; 
multifunctional  management  of  forestry; 
rural  development; 

within  the  fisheries  and  aquaculture  sectors: 

impact  of  fisheries  and  aquaculture  activities; 

impact  of  environmental  factors  on  marine  resources; 
environmental 
biology  of  species  for  aquaculture; 
socio-economic  aspects  of  the  fishing  industry; 
improved  methodology. 

Concertation  networks  will  be  implemented 
production,  food  processing,  and  development  of  rural  and  coastal  zones. 

to  support  research  concerning  primary 

field.  However,  the 
Life  Sciences  and  Technologies  constitute  a  rapidly  expanding 
utilization  of  new  technologies  by  European 
industries  and  services  continues  to  be 
hampered  by  specific  hurdles,  such  as  the  existence  of  strong  competing  technological 
alternatives,  a sometimes  negative  public perception,  the need  to demonstrate  compliance 
with  constraining  regulatory  requirements  and  the  need  to deploy  costly  interdisciplinary 
resources  with  adequate  critical-mass  for  project 
The  European 
scientific  community  active in Life Sciences  has an outstanding  productivity  and  maintains 
a strong  competitive  position  at  international  level. However,  due to the  above-mentioned 
hurdles  and  also  to  the  lack  of  adequate  instruments  in  Europe  to  cover  the  funding  gap 
between  the  R<^D  phase  and  the  investments  phase,  utilization  of  new  biotechnologies 
in  Europe  lags  behind  that  achieved  by the  US  and  Japan.  In  the  US  the  availability  of 
risk  capital  has  been  instrumental  for  the  launching  of  innovative  SMEs,  and  in  Japan 
established  policies  provide  for  the  public  funding  of  long-term  private  ventures  based 
on  the  development  of  new  technologies.  Action  must  be  taken,  therefore,  within  the 
new  mission  of  these  specific  programmes,  to  allow  better  application  of  the  innovative 
results  of  the  research  in  Life  Sciences  carried  out  in  the  Community. 

implementation. 

To  address  adequately  these  problems,  well-targeted  and  precompetitive  demonstration 
activities  willbe  introduced  into  the  proposed  Life Sciences  specific  programmes  with  the 
objectives  of  :  i)  fostering  the  adoption  of  new  technological  concepts  by  reducing  the 
techno-economic  uncertainties  and  risks associated  with  Life  Sciences  innovations,  and 
ii)  enhancing 
the  attractiveness  of  new  technological  options  based  in  Life  Sciences, 
contributing  to  the  message  that  scientific  knowledge  and  technologies  are  produced  for 
the  benefit  of  society  as  a  whole. 

together  with,  as  appropriate, 

is to  prove  the  technical  viability of  new 
The  main  goal  of  precompetitive  demonstration 
technologies 
their  economic  advantage;  moreover, 
demonstration  should  only be executed  once  that  the  new technology  has  been  developed 
to  a  sufficient  level  of  maturity,  in order  to  minimize  the  risks  involved  in  the  assessment 
of  its  performance  under  close  to  real  operating  conditions. 

5oS 

Synergies  amongst  the  three  Life  Sciences  programmes  can  be  achieved  by  integrating 
an  interdisciplinary  critical  mass  in demonstration  teams.  The  required  joint  participation 
in  demonstration  activities  of  technology  producers  and  technology  users  will ensure  an 
effective  transfer  of  new  technologies  to  interested  industries  and  services;  these  teams 
will  serve  as  a  further  incentive  for  the  establishment  of  European  concerns  able  to 
formulate  solid strategies  to  share  risks  and  fully exploit  the  market  opportunities  arising 
from  these  technologies. 

Research  potential  and  industrial  expectation  within  Life Sciences  and  Technologies  also 
elicit strong  social demands.  This  is expressed  through  ethical  concerns,  consideration  of 
safety  principles,  food  habits  and  acute  needs  for  health  care  which  are  adapted  to  ways 
of  living and  demographic  evolution.  A lack of public  acceptability  is one  of  the  limiting 
factors  for  both  research  and  its  successful  commercialisation. 

Wherever  possible, experimentation  and  testing  on animals  should  be  replaced  by in vitro 
or  other  methods. 

', 

No  research  modifying,  or  seeking  to  modify,  the  genetic  constitution  of  human  beings 
by alteration  of germ  cells or of any  stage  of embryo  development  which  may make  these 
alterations  hereditary,  nor  research  seeking  to  replace  a  nucleus  of  a  cell  of  an  embryo 
with  a  nucleus  taken  from  a  cell  of  any  person,  embryo  or  subsequent  development  of 
an  embryo,  known  as  cloning,  will  be  carried  out  under  any  of  these  three  specific 
programmes. 

The  preparation  of  these  programme  proposals  has  been  based  on  advice  from  many 
sources,  both  national  and  transnational,  including  a  meeting  on  the  relevant  prospects 
in  Life  Sciences  and  Technologies  in  response  to  the  socio-economic  needs  of  society. 

"*<s*3 

PROPOSAL FOR  A  COUNCIL  DECISION 
of 

adopting a specific  research, 
technological  development  and demonstration  programme  in the  domain 
Biomedicine and Health  [1994-1998] 

THE  COUNCIL OF T HE  EUROPEAN  COMMUNITIES 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130  1(4)  thereof, 

Having  regard  to  the  proposal  from  the  Commission1, 

Having  regard  to  the  opinion  of  the  European  Parliament2, 

Having  regard  to  the  opinion  of  the  Economic  and  Social  Committee3, 

Whereas,  by  itsT)ecision.../.../EC4,  the  Council  and  the  European  Parliament  adopted 
a  fourth  Framework  Programme  for  Community  activities  of  research,  technological 
development  and  demonstration  (hereinafter  RTD),  for  the  period  1994  to  1998, 
specifying,  in  particular,  the  activities  to  be  pursued  in  the  field  of  Biomedicine  and 
Health  research;  whereas  this  Decision  should  be  taken  in  the  light  of  the  grounds  set 
out  in  the  preamble  to  the  aforesaid  Decision; 

Whereas  Article  130  I,  paragraph  3  of  the  Treaty  stipulates  that  the  framework 
programme  is  to  be  implemented  through  specific  programmes  developed  within  each 
for 
activity;  whereas  each  specific  programme  shall  define 
implementing  it,  fix  its  duration  and  provide  for  the  means  deemed  necessary; 

the  detailed 

rules 

Whereas  this programme  is implemented  mainly through  shared  cost, concerted  actions, 
specific  and  preparatory  measures  as well  as  accompanying  and  support  measures. 

1 

2 

3 

OJ  N°  C . . ., 

. . . 1 9 9 4, 

p . .. 

OJ  N1  C.  .  .  , 

.  .  .  ,  p.  .  . 

O J  N °  C.  .  .  , 

.  .  .  ,  p.  .  . 

V 

OJ  N°  L . . ., 

1 9 9 4, 

p . .. 

7 

3^o 

Whereas in accordance with Article  130 I (3) of the Treaty, it is appropriate  to make an 
estimate of  the means deemed  necessary for the realization of this specific  programme; 
whereas the final amounts shall be decided by the budgetary authorities according to the 
relative  priority  gfven  to  the  domain  forming  the  subject  of  this  present  programme 
within the  First Action  of  the  fourth framework programme; 

Whereas the decision .../.../CE  (fourth framework programme) foresees  that the overall 
maximum  amount  available  for  the  fourth  framework  programme  will  be  reviewed  no 
later than 30 June  1996 in view of being increased, and that as a result of this review, the 
amount deemed necessary to implement the present programme could be supplemented; 

Whereas  the  research  activities  and  technological  developments  in  biomedicine  and 
health should be encouraged in order to improve efficiency  of political health within the 
Community; 

Whereas the contents of*the fourth framework programme for Community RTD activities 
have  been  defined  in  conformity  with  the  principle  of  subsidiarity;  whereas  this 
programme  further  sets out detailed  contents  of  activities  to achieve  in conformity  with 
this  principle; 

Whereas  the  decision  .../.../CE 
(fourth  framework  programme)  foresees  that  a 
Community  activity is required if, among  other reasons,  the  research  contributes  to  the 
economic and social cohesion of the Community and encourages the overall  harmonious 
development of the quality of its science and technology and that the present  programme 
is supposed  to  contribute  to  the  realisation  of  these  objectives; 

Whereas  this  programme  and  its  implementation  should  contribute  to  improving  the 
synergies  between  the  RTD  activities  in  biomedicine  and  health,  by  research  centres, 
universities and industry, in particular small and medium enterprises  (SME),  established 
in the  Member  States, and between  these  and the  corresponding  Community  activities; 

Whereas  the  rules  for the participation  of  undertakings,  research  centres  (including  the 
Joint  Research  Centre,  JRC)  and  universities,  as  well  as  the  rules  governing  the 
dissemination  of  research  results, are  laid down in the  measures  provided  for in  Article 
130 J; 

Whereas  for  the  implementation  of  this  programme,  besides  associating  the  countries 
which  are  members  of  the  European  Economic  Area  (EEA),  other  international 
cooperation  activities  might be  necessary,  in accordance  with Article  130 M, with  other 
third  countries  and  international  organizations; 

3-'M 

Whereas  the  implementation  of  this  programme  also  implies  activities  for  the 
dissemination  and exploitation  of  RTD  results,  in particular  towards SME,  as well  as 
activities  to  promote  mobility  and  training  of  researchers  carried  out  within  this 
programme and in so far as necessary for its adequate implementation; 

Whereas  the  implementation  of  this  programme  requires  to  provide  for  measures 
intended  to  encourage  participation  of  SME,  in  particular  technology  stimulation 
measures; 

Whereas basic research in biomedicine must be encouraged to re-enforce the  scientific 
and technological bases of the European health industry; 

Whereas  an  assessment  should  be  made  of  the  socio-economic  impact  and  of  any 
technological risks, of the activities undertaken in this programme; 

Whereas, on the one hand, this programme's state of implementation should be reviewed 
in a permanent and systematic way, in order to adapt it, where necessary, to the scientific 
and  technological  developments  in this field; and  on  the  other  hand, an  independent 
evaluation should be conducted, in due time, on the results achieved by the programme, 
in order to provide every appropriate  information  as necessary to determine the goals 
of the fifth RTD framework programme; whereas, a final evaluation will be necessary at 
the  end  of  the  programme  to  assess  the  results  obtained  in  terms  of  the  objectives 
defined  in this Decision; 

Whereas the JRC may participate in the indirect actions covered by this programme; 

Whereas the Scientific and Technical Research Committee (CREST) has been consulted. 

HAS ADOPTED THIS DECISION: 

Article  I 

A  specific  programme  of  research,  technological  development  and  demonstration  in 
biomedicine and health, as defined  in Annex I is hereby adopted for a period beginning 
on (date of adoption) and ending on 31 December  1998. 

$<«.. 

Article  2 

1. 

2. 

3. 

4. 

The  funds estimated  as necessary for the execution of the programme  amount to 
ECU  336  million,  including  8.5% for  staff  and administrative  expenditure. 

An  indicative  allocation  of  funds  is set  out  in Annex  II. 

The  funds  estimated  necessary  as  indicated  above  may be  increased,  as  a  result 
of, and in conformity with, the decision mentioned in Article I, of paragraph 3, of 
the  decision  .../.../CE  (fourth  framework  programme). 

The  budgetary  authority  shall  lay  down  the  available  appropriations  for  each 
financial year in agreement with the scientific and technological  priorities fixed by 
the  fourth  framework  programme. 

Article  3 

Detailed rules for the implementation, besides those provided for in Article 5, are set out 
in Annex  III. 

Article  4 

The  Confmission  shall  continually  and  systematically  monitor,  with  appropriate 
assistance from independent, external experts, the progress wihtin this programme 
in  relation  to  the  objectives  set  out  in  Annex  I,  and  in  particular  whether  the 
objectives, the priorities and the funds are still adequate to the changing situation. 
Where  necessary,  this  review  shall  be  accompanied  by  proposals  to  adapt  or 
complete  this  programme,  in accordance  with  the  review's  conclusions. 

In order  to  contribute  to  the  global  assessment  provided  for  in Article  4.2  of  the 
Decision  adopting  the  Fourth  Framework  Programme,  an  evaluation  of  the 
management  and  the  results  achieved  by  the  activities  undertaken  in  the  field 
covered  by this programme,  during the  five years preceding  the  evaluation,  shall 
be  conducted  in due  time  for  the  Commission  by independent  experts. 

At  the  end  of  this  programme,  the  Commission  shall  conduct  a  final  evaluation 
by independent  experts of  the  results obtained  concerning  the  objectives  defined 
in  Annex  III  of  the  Fourth  Framework  Programme  and  in  Annex  I  of  this 
Decision.  It shall  submit  the final evaluation  report  to the  European  Parliament, 
the  Council  and  the  Economic  and  Social  Committee. 

10 

^ H3 

1. 

2. 

1. 

2. 

Article 5 

A work programme shall be drawn by the Commission according to the objectives 
set forward  in Annex I which can be, if necessary, updated.  It shall give in detail 
the  scientific  and 
the  phases  of 
implementation  and the financing planned  for  each  mode of  realisation. 

technological  objectives  and  specify 

The  Commission  shall  make calls for  proposals  for  projects  on  the  basis of  the 
work  programme. 

Article 6 

The  Commission  shall be  charged with the  execution  of the  programme. 

<i 

In  the  conditions  laid  down  in Article  7, paragraph  1, the  Commission  shall  be 
assisted by a committee of a consultative  nature composed  of representatives of 
the Member  States and  chaired  the representative  of  the  Commission. 

The representative of the Commission shall submit to the committee a draft of the 
measures to be taken. The committee shall deliver its opinion within a time limit 
which the chairman may lay down according to the  urgency of the matter,  taking 
a  vote thereon  should  the  need arise. 

The opinion shall be entered in the minutes; moreover, each Member State shall 
have the right to request  that  its position  be  recorded  in the  said  minutes. 

The  Commission  shall  take the greatest  account  of  the opinion  delivered  by the 
Committee.  It shall  inform  the  Committee  of  the way in which  it  took  the  said 
opinion  into  account. 

Article  7 

1. 

The  procedure  laid down  in Article 6, paragraph  2 shall  apply to: 

the  preparation  and  updating  of  the  work  programme  referred  to  in 
Article 5, paragraph  1, 

the assessment of the projects and concerted actions provided for in Annex 
III  and  the  estimated  amount  of  the  Community's  contribution  to  them 
where this amount  exceeds  ECU  0.1 million  per  year, 

11 

ii 

the measures to be undertaken to evaluate the programme, 

any adaptation of the indicative breakdown of the amount set out in Annex 
II, not having been decided through the budgetary procedure, 

2- 

The  Commission  shall  inform  the  committee,  for  each  of  its  meetings,  of  the 
current state of implementation of the programme as a whole. 

Article 8 

The  Commission  is  authorized  to  negotiate,  in  accordance  with  Article  228  (1), 
international agreements with European third countries with a view to involving them in 
all or part of  the programme. 

This Decision  is addressed to the Member States. 

Article 9 

Done  at Brussels,. 

For the Council 
The President 

12 

345" 

ANNEXI 

SCIENTIFIC AND TECHNICAL  CONTENT 

This  specific  programme  fully  reflects  the  approach  embodied  in  the  fourth  framework 
programme,  applies  its  selection  criteria  and  specifies  its  scientific  and  technological 
objectives. 

Paragraph 4.B of Annex III, first activity of the above-mentioned  framework  programme, 
is an  integral  part  of  this  programme. 

', 

This  programme  will be  implemented  in  synergy  between  other  specific  programmes  in 
the  field  of  life  sciences  and  technologies,  as  well  as  in  such  fields  as  Telematics, 
Measurement  and  testing, and  targeted  socio-economic  research. 

Content 

Health  is of the highest value for every European  citizen. Health  care is a  first  economic 
sector  absorbings7.25  %  of the  GDP  and  creating work  for  more  than  6  million  people 
or  7  %  of  the  active  population.  There  are  more  than  one  million  qualified  nurses, 
850,000  medical  doctors, 3 million  hospital  beds  and  0.8  %  of  the  population  per  day  is 
in  a  hospital  bed. 

Research  is  essential  to  any  strategy  to  improve  health  of  the  citizens  and 
the 
competitiveness  of  the  health  industry.  It  is  important  to  target  the  research  towards 
projects  of  interest  to  the  Community  and  consumers,  and  promote  the  transfer  of 
research  to  clinical  practice. 

The  challenge  for  health research  is to combat  the great  scourges  such as cancer,  AIDS, 
cardio-vascular  diseases,  neuro-mental  diseases  and  problems  linked  with  age  and 
handicaps.  Rising  health  care  costs  have  become  a  concern  for  all  EC  countries,  while 
the  European  citizen  is demanding  more  and  more  high-quality  health  care. New  health 
technologies  and  health  care systems are  expected  to face  these  common  problems.  The 
development  of  new medicines  has become  more  and  more  expensive  in both  time  and 
money,  mainly  due  to  the  need  to  satisfy  increasingly  complex  regulatory  requirements 
which  need  to  be  streamlined  within  an  international  context. 

Certain  fundamental  health  problems the health  industry of which the competitivity  must 
be  safeguarded  and  improved.  Rather  than  adding  a  supplementary  tone  to  substantial 
investments already made by the Member States and  European  industry, the  Community 
research  will  bring  added  value  by  an  integration  action,  by  synergy  of  national  efforts 
and  by  interaction  of  all  disciplines  from  basic  to  clinical  research  towards  problem-
solving  activities. 

13 

3  M 

Measures intended to encourage participation of SMEs will be implemented, in  particular 
technology  stimulation  measures  and  interaction  between  science  parks  and  biomedical 
and health SMEs, as recommended  by the White Paper on Growth, Competitiveness,  and 
Employment. 

With the launching of the biomedical and health research programme  BIOMED  1 within 
the  third  Framework  Programme,  more  than  6,000  research  teams  are  collaborating 
within  400 networks  designed  to encourage cooperation  between  teams  from  all EC  and 
EEA  countries  and  between  complementary  disciplines,  with  a  view  to  tackling  health-
related  problems  not  readily  solved  in  a  narrower  context. 

Within  the  fourth  Framework  Programme  it  is intended  to go  beyond  concertation  only 
and  to participate  in cost-sharing  research where indicated  only for  specific  task-oriented 
research.  There  are  numerous  priorities  to  establish  taking  into  account  the  large 
variations  in  national  health  systems,  research  structures,  health  industries,  clinical 
practices  and  therapeutic 
procedures.  Only  those  proposals  with  a  sound  scientific  concept,  a  high  likelihood  of 
success, a clear Community added value and contributing to the health  and wealth  of  the 
European  citizen  will be  selected. 

RDT  activities  proposed 

The  objectives  on  AIDS, 
infectious  diseases;  cancer; 
tuberculosis  and  other 
pharmaceuticai4esearch;  brain  research  and  research  on  the  human  genome  will  be 
realized  by  concentration  of  means  whereas  other  objectives  will  mainly  be  dealt  with 
concertation. 

RESEARCH  ON  AIDS, TUBERCULOSIS  AND  OTHER  INFECTIOUS  DISEASES 

Important  progress  in  the  battle  against  AIDS  has  been  made  through  concertation  of 
AIDS research  at European  Community level.  Nevertheless  the  number  of  seropositives 
is  growing.  The  immunosuppression  caused  by  HIV  in  infected  people  provides  an 
opportunity  for  the  occurrence  of old  diseases, already  drug  resistant  in some  areas,  and 
for  opportunistic  cancers. 

In a continuously changing industrial society which is characterized  by a new  permeability 
of  borders,  mobility  of  persons,  immigration  and  a  change  of  social  behaviours,  AIDS, 
tuberculosis  and  other  infectious  diseases will have an  impact  on  the  health  welfare  and 
quality  of  live  in  the  European  Union. 

Focus  will  be  placed  on  the  integration  of  basic  and  clinical  research  in  the  following 
areas  : 

Viro-immunological  research,  the  genetics,  molecular  and  structural  biology  of  HIV 
and  its  variability. 

14 

3 A y 

Contribution  to the development of a safe and effective  vaccine against AIDS and  the 
establishment  of markers to evaluate vaccine efficiency  and to follow up the  evolution 
of  disease. 

The  identification,  synthesis and  evaluation of antiviral compounds  and drugs  against 
AIDS. 

Clinical  research,  mainly  focused  on  clinical 
trials,  treatment  of  AIDS  and 
opportunistic  diseases,  prognostic  and  progression  of  these  diseases  and  the  impact 
of  therapeutic  practices. 

Studies on the host response, pathogenesis, experimental  models and  new  pathologies 
such  as  prions,  and  resistance  mechanisms  to  conventional  therapy,  including  the 
problem  of  hospital  infections. 

Disease prevention,  including the development  of new specific  monitoring systems  to 
determine  the distribution  patterns of old and  new infectious  diseases, analysis of  risk 
factors  for  the  development  of  AIDS,  opportunistic  diseases  and  novel  infectious 
agents. 

Socio-economic and health services research : requirements for caring and  prevention, 
analysis  of  socio-economic  consequences  and  forecasts  in  cooperation  with  public 
health  research. 

CANCER  RESEARCH 

in  cancer  diagnosis, 

therapy  and  prevention 

integrated 
Improvements 
fundamental  and clinical approaches to research.  It is particularly important  to bring new 
advances  in  cellular,  molecular  and  developmental  genetics  into  contact  with  oncology 
and  epidemiology,  in  order  that  new  biological  insights  into  the  underlying  causes  of 
cancer  allow  for  the  development  of  novel  approaches.  The  study  of  host-tumour 
interaction  in  the  context  of  immune  response  and  of  somatic  gene  therapy  targeted  at 
cancer  cells  are  fundamental  together  with  epidemiological  studies  for  investigating 
possible  causative  factors  in  carcinogenesis. 

require 

Subjects  to  be  pursued  in  the  field  of  Cancer  Research 

-  Molecular  mechanisms  of  tumorigenesis  and  metastasis, including  characterisation  of 
the genes and  proteins responsible. Together with Human  Genome  Research,  genetic 
factors  of  cancer  predisposition. 

-  The  control  of  normal  cellular  growth,  differentiation  and  death,  and  abnormalities 
which  can  alter  this  to  predispose  to  cancer,  including  the  development  of  accurate 
cellular  and  transgenic  models  suitable  for  cancer  research. 

15 

3 4 S 

Specific  anti-tumour  immune  responses  and  possibilities  for  early  detection  and 
curative  intervention. 

Research  to  support  the  effectiveness  of  systemic  treatment  modalities  including 
cytotoxic agents as well as biological response  modifiers. 

Research  to improve the therapeutic ratio of radiotherapy  as well in the domain of 
ballistic  selectivity,  as  in  the  manipulation  of  radiation  response  in  tumours  and 
normal tissues. 

Quality of life as a parameter  for  treatment  assessment  including terminal  care  and 
rehabilitation. 

PHARMACEUTICALS RESEARCH 

The general objective is the development  of the scientific  and  technical  bases  required 
for  the  evaluation  of  new  drugs,  notably  for  the  treatment  of  neurological,  mental, 
immunological and viral diseases.  These actions should also underpin the activities of the 
European  Medicines  Evaluation Agency and  provide  it, at  the  international  level, with 
the  research-based  background  necessary  to  achieve  harmonization  of  technical 
requirements  for  drug development. Research will be  conducted  through  collaboration 
between industry, research centres, hospitals, universities, and the authorities responsible 
for  verifying  the efficacy,  safety  and  quality of new drugs. 

Research  will be conducted  mainly in the following  areas  : 

-  Pharmacotoxicologv : Prevalidation research of in vitro alternative methods, possibly 
using human  cells and  tissues,and  where unavoidable  animal  models, in the  general 
aim  of  reducing, refining  and  replacing animal  experimentation.  Preference  will  be 
given to those tests which have reached the most advanced stages towards validation 
as those developed within the Biotechnology  programme. Prevalidation  research  on 
these  tests  should  ideally  provide  the  European  Centre  for  the  Validation  of 
Alternative  Methods  with  the  best  candidates  for  proper  validation  studies.  The 
contribution  of  functional  imaging  to  neuropharmacology  research  will  also  be 
explored. 

-  Pharmacovigilance  :  Development  of  systems  for  high  performance  surveillance 
networks for early detection of possible undesired effects  of new drugs, in accord with 
the  existing  regulatory  framework  and with  particular  attention  to  the  international 
harmonization  efforts.  It will include  research  on  the  exposure  of  patients  to  drugs, 
into harmonization of diagnostic terms and criteria, approaches to assess adverse drug 
reactions  signals,  analysis  of  vital  statistics,  transnational  case-control  studies, 
transnational  registers and  cohort studies. 

16 

•h4<) 

Clinical trials : To support intraeuropean collaboration in large, randomized clinical 
trials of high scientific quality, in order to stimulate better opportunities for improved 
diagnostic procedures, for therapies treatments as well as for their pharmacoeconomic 
aspects. 
The  development  of  European  clinical  trials  networks  of  high  scientific  standard 
would  help  an objective  evaluation  of  new diagnostics  or therapeutics  in a shorter 
time while preserving its scientific value. 

Research  in this field will  be  mainly directed  towards the establishment of  clinical 
trials  registries,  research into  meta-analysis  methodologies  and  randomized clinical 
trials for rare diseases, including a depository of orphan drugs available for clinical 
research at european level. 

BRAIN RESEARCH  «, 

illnesses  and 

incidence  of 
The  high  prevalence  of  mental 
neurodegenerative diseases represent an immense economic and social burden in the EU 
Member States, absorbing more than 20% of all health care costs. 
The new opportunities created by molecular biology and genetics, novel instrumentation 
and  information  technology  will  contribute  to  major  advances  in  neurosciences  and 
improvement  in  prevention  and  treatment.  Research  which  integrates  fundamental 
aspects with clinical applications and industrial development will be encouraged. 

increasing 

the 

In the field  of brain research mainly the following areas will be promoted : 

-  Research  on  the physiopathology  and basic mechanisms  leading to nervous system 

diseases which should integrate molecular, cellular and clinical approaches. 

-  Research on central nervous system damage, regeneration and plasticity, development 
of  therapeutic strategies for damage limitation, re-growth promotion and repair. 

-  Transdisciplinary  research  on  the  understanding  of  the  genetic  and  immunological 
basis  of  nervous  system  diseases,  in close  cooperation  with activities  under  human 
genome analysis and biotechnology  programmes.  Establishment of cell cultures and 
where necessary animal models of the human diseases of the brain for pathogenicity 
and development  of therapeutic agents. 

17 

5  11. 

Contribute  to  the development  of better  methods of  brain imaging which  combined 
with computer science will allow a better understanding of brain structures,  functions 
and metabolisms, to map the distribution of proteins and other structures throughout 
the brain and to characterise the anatomical structures and psychological  mechanisms 
interacting with cognitive function  and  dysfunction. 

This  approach  will  integrate  the  contribution  of  several  disciplines,  together  with 
biomedical  engineering,  and  bring  together  the  most  advanced  technologies  and 
infrastructures  scattered  over  Europe. 

Research  into  the  mechanisms  of  pain  including  the  development  of  new  therapies 
and the conduction of clinical trials to evaluate the effectiveness  of currently available 
therapies. 

Research on addiction behaviour which should integrate basic and clinical approaches, 
with  the  general  aim  of  reducing  drug demand. 

Development  of  combined  epidemiologic  and  long-term  prevention  programmes  to 
evaluate the impact of neurological and psychiatric diseases and the benefits  of  their 
treatment  also  in minorities  and  high risk groups. 

Research  on  cognitive  sciences  including  development  of  models  of  neuronal 
behaviour,  learning,  memory  and  psycholinguistics. 

HUMAN  GENOME  RESEARCH 

The  achievements,  activities  and  infra-structure  established  in  preceding  programmes 
have  to be consolidated  and - where appropriate - to be modified,  to serve future  needs. 
Fundamental  research,  with  its  emphasis  on  functional  studies  in  order  to  ensure  that 
advances  in genetics are used to enhance human health, will be supported.  Development 
of  appropriate  technologies  and  applications  which  contribute  to  the  well-being  of 
patients will be stimulated. In particular, attempts will be made to develop somatic  gene 
therapy  where  the  conditions/acceptance  in  Europe  justify  a  targeted  effort,  eg  cystic 
fibrosis. 

Sharing  and  harmonisation  of  genetic  databanks  comprising  European  Community 
participation  in  the  management  of  the  international  database  of  the  human  genome 
(GDB)  will  be  promoted.  Links  will  be  maintained  with  appropriate  international 
organizations  or  forums  (e.g.  the  Human  Genome  Organization,  HUGO). 

The  confidentiality  of  any  personal  information  collected  in  the  course  of  the  research 
must conform  to  the best data protection  practice. No  research  modifying,  or seeking  to 
modify,  the  genetic  constitution  of  human  beings  by  alteration  of  germ  cells  or  of  any 
stage  of  embryo  development  which  may  make  these  alterations  hereditary,  will  be 
carried  out  under  this  programme. 

18 

"5>t"/ 

<* 

Subjects  to be  studied  in the field of human genome  research 

-  Gene  mapping  and  genome  analysis, 

integrated 
transcriptional  maps;  sequencing  of  specific  chromosomal  regions;  exploitation  of 
comparative  approaches. 

including  construction  of 

-  Analysis of gene function, including the improvement of techniques for gene targeting 

and  the  development  of animal models, eg the mouse. 

-  Analysis of gene regulation, including identification  of regulatory sequences; analysis 
of  mechanisms  of  regulation  of expression  of specific  genes, notably  those  involved 
in disease. 

-  Diagnosis  of  genetic  disease,  including  non-genetic  factors  and  development  of 
protocols for risk estimation and for genetic counselling, with an emphasis on possible 
prevention. 

-  Somatic gene therapy, including development of vectors to transfer  genetic material 
into  cells  in vitro; development  of  methods  to  deliver  corrected  genes  in  vivo 
effectively  and  safely; coordination  of clinical trials on somatic gene  therapy. 

-  Databases, including experimental data collection, storage, analysis, and development 

of an  integrated  genome  database. 

-  Technology development, including promotion of research aiming at the development 
of  methods  suitable  for  the  achievement  of  any  one  of  the  above-mentioned 
objectives. 

RESEARCH  ON OCCUPATIONAL AND ENVIRONMENTAL  HEALTH 

The objectives are to improve the scientific knowledge needed to increase the safety  and 
health protection of the workers in order to avoid accidents at the workplace and prevent 
work-related  diseases  and  to reduce  the environmental risks for  the  population. 

The  matters  to be  considered  will be: 

- 

identification  and  control  of  risk  factors  at  the workplace  and  quantification  of  the 
exposure with an emphasis on biological and chemical hazards in short and long term 
effects 

-  development  of  techniques  of  safety  management,  including  the  definition  of  Good 

Safety  Practice  and  the evaluation  of  its effectiveness  in  reducing  morbidity 

19 

3i£ 

health education and preventive measures to reduce accidents at work and  exposure 
to risk factors 

the interaction between risk factors at the workplace and in the environment and the 
aetiology of occupation  and  environment  related  diseases. 

RESEARCH ON OTHER DISEASES WITH MAJOR SCOO-ECONOMIC IMPACT 

From  all  horizontal  activities such  as  molecular  biology,  physiology, genetics, statistics, 
epidemiology  and  generic  technologies,  the  ultimate  measure  stick  for  the  European 
citizen  is the benefit  for  him as an individual. The  population  expects basic answers by 
integration  of  basic  and  clinical  research  to  improve  the  prevention,  diagnosis  and 
treatment  of  these  illnesses  with  major  socio-economic  impact  and  the  around  5,000 
"orphan" illnesses which, can be tackled  optimally at an international  level. 

CARDIOVASCULAR  RESEARCH 

In order to accelerate the pace of unravelling the physiopathological mechanisms leading 
to cardiovascular  disease development  and translate these findings into prevention  and 
treatments,  multidisciplinary  research  will be  stimulated  by combining  the  expertise of 
physicians and  scientists with different  backgrounds  in basic and  clinical  cardiovascular 
research  and in  molecular genetics. 

In the field of  cardiovascular  research  mainly the following  subjects  will be  addressed: 

-  Analysis  of  the  cellular  and  molecular  mechanisms  leading  to  diseases  of  the  heart 
and blood vessels, including research on cardiac and vascular cell growth, injury and 
repair;  cardiovascular-associated  inflammation. 

-  Development  of  clinically  useful  agents  for  injury  or  excessive  growth  prevention, 

damage  limitation  and  repair. 

-  Research  on  the  understanding  of  the  genetic  basis  of  cardiovascular  diseases, 
including identification  and decoding of genes, research  on expression  pattern, gene 
function  and  modification;  where  unavoidable  develbpment  of  animal  models  and 
therapeutic  strategies. 

20 

VL3 

Clinical  research  including  assessment,  verification  and  definition  of  the  exact 
contribution  of  current  basic  knowledge  in  order  to  understand  the  onset  and 
development of clinical pathologies; validation of preclinical screening programmes 
as well as multi-center clinical trials for testing devices and therapeutic procedures. 

Research on imaging and non-interventional techniques that will enable studies of the 
structure, metabolism, and function of the heart and blood vessels. 

Research on combined epidemiologic and long-term prevention programmes including 
evaluation of  possible differences  in risks factors, impact of  psychosocial factors on 
incidence  and  prevalence  of  cardiovascular  diseases  and  the  benefits  of  their 
treatment in high risks groups. 

RESEARCH  ON CHRONIC DISEASES AND AGE-RELATED  PROBLEMS 

In view of the social and economic importance of the management of chronic diseases 
specific  research will be focused on auto-immune diseases and immuno-genetics, T-cell 
disorders and priorities to transdisciplinary, integrative research in the specific domains 
of chronic arthritis, diabetes mellitus, asthma and respiratory problems. 

ORPHAN  ILLNESSES RESEARCH 

"Orphan" illnesses are these rare diseases (some 5,000) where the subsidiarity principle 
is obvious. No country in itself can afford to spend the necessary resources and case mix 
to implement basic and clinical research at the low number of cases occurring at national 
level.  Nevertheless  at  an  EC  level  as  well  as  at  a  general  scientific  level  these 
"exceptional" cases turn out to be quite similar and to offer  exceptional experiments by 
nature to do in-depth research on the basic mechanisms of diseases and handicaps and 
to offer  opportunities to link genetic research with biochemical  and physical expression 
of  disease.  Examples  are  thallassemia;  inborn  metabolic  diseases  due  to  defective 
peroxisomes, etc.  Actions will include an inventory of rare disorders and together with 
the section on pharmaceutical research a depository of orphan drugs for clinical research. 

21 

3 " ?^ 

PUBLIC HEALTH  RESEARCH,  INCLUDING  HEALTH  SERVICES  RESEARCH 

More  than  110,000  deaths  under  age  65  from  21  common  diseases  would  be  avoided 
annually,  if  only  each  European  region  could  attain  the  optimal  death  rates  reported 
nationally  for  each  of  those  diseases. 

Traditions,  practices  and  the  legal  and  administrative  organization  of  public  health 
services  arid  systems  are  so  varied  in  Member  States  as  to  render  impractical  any 
harmonization  of  services  in this domain.  However,  objectives  of  research  should  be  to 
assist Member  States in strengthening  their coverage of public health  issues, assist in  the 
formulation  and  implementation  of  objectives,  policies and  strategies, and  contribute  to 
continuity  of  health  protection  provision  across  the  European  Union. 

Subjects  to  be  pursued  in  the  field  of  Public  Health  Research 

Research  on  health  education  and  prevention,  primary  care,  assessment  of  health 
needs,' 
the  needs  of  emerging  dependency  groups,  performance 
measurements  of  health  policy  initiatives  and  the  evaluation  of  health  technologies. 

including 

-  Coordination  and  comparison  of  European  health  data. 

-  The  impact of  the  Internal  Market  on  supply  of health  care  across  internal  frontiers; 
regulations and  de-regulations as well as the balance between health systems  financed 
by  the  private  and  public  sectors. 

-  Health  economics  and  organisational  aspects  of  health  systems. 

-  Defining  a  European  approach  for  the  introduction  of  new  technologies  in  health 

systems. 

RESEARCH  ON  BIOMEDICAL  TECHNOLOGY  AND  ENGINEERING 

Health  technology  assessment  and  prenormative  research  become  more  important  in  a 
European-wide  market  with  its directives concerning  medical devices and  accompanying 
standardization  activities.  For  industry  as  well  as  for  decision-makers  at  all  levels, 
to 
safety,  it  is  essential  to  have  in  addition  to  needs  for  safety,  timely  access  to  objective 
information  on efficacy  and  efficiency  of medical devices, before  introducing these on  the 
health  market. 

22 

2rLS~ 

Research  and  development  will be  promoted  mainly  in  the  following  areas: 

-  Minimal  intervention  techniques  and  robotics:  robotics,  three-dimension  imaging, 
micro  structure  technology  and  "nanotechnology"  to  support  surgical  therapy,  and 
widen  the  range  of  clinical  indications  for  minimal  medical  interventions;  new 
ergonomie  approaches  of  the  operating  theatre  for  minimally  invasive  surgery. 

- 

Imaging techniques: magnetic resonance, ultrasound, biomagnetism, positron emission 
tomography,  etc., as  well as  microwave  imaging  and  near  infrared  spectroscopy  and 
imaging;  comparative  and  integrated  evaluation  of  different  biomedical  imaging 
technologies. 

Research  on biosensors, especially with regard to their  clinical value, as among  others 
is the  case of  glucose monitoring  for  diabetes, oxygen  monitoring  and  ion sensing  for 
critical  care. 

\ 

-  Meeting  the  needs  of  the  increasing  population  of  elderly  and  handicapped  persons 
calls for  more research  on rehabilitation  technology  in coordination with the  relevant 
parts  in  the  Telematcis  programme.  The  powerful  trend  towards  replacement  in 
medicine  requires  more  research  on  biomaterials,  especially  towards  improved 
mechanical properties and biocompatibility of polymers, as well as on artificial  organs, 
such  as  on  artificial  heart  and  artificial  pancreas.  Research  aiming  at  the  modelling 
of  human  functions,  as well as  in  biomechanics,  haemodynamics  and  biorheology,  is 
also  required  in  that  respect. 

Cellular  engineering:  synergistic  benefits  would  accrue  by  combining  cell  and 
molecular  biology with chemical, mechanical  and electrical  engineering,  opening  new 
possibilities  for  clinical  applications. 

RESEARCH  ON  BIOMEDICAL  ETHICS 

Research  on  biomedical  ethics,  being  of  a  horizontal  nature,  will  address  general 
standards  for  the  respect  of  human  dignity  and  the  protection  of  the  individual  in  the 
context  of  biomedical  research  and  its  clinical  applications.  The  social  impact  and  the 
public awareness  of the problems  associated  with biomedical  progress will be  addressed. 

Topics  to  be  considered  more  specifically  are  : 

Medically  assisted  procreation,  including  gender  selection,  preimplantation-  and 
prenatal  diagnosis, research  on embryo, use of foetal  ovarian  tissue,  post-menopausal 
pregnancy,  sperm  and  egg  donation. 

Human  genome  analysis  and  its clinical  applications,  including  testing, screening  and 
somatotherapy. 

23 

'5U 

End  of  life,  including  palliative  care,  euthanasia,  artificial  prolongation  of  life  by 
advanced  medical  techniques,  resuscitation. 

Resource allocation: ethical and social dimensions of the choices to be made in health 
budgets  and  resource  allocation. 

Organ  and  tissue  transplantation  including  the  use  of  human  organs  and  tissues,  as 
well  as  the  functioning  of  tissue  and  organ  banks. 

Patient's consent: informed consent of the individual for diagnosis, therapy,  prevention 
or  research,  including  the  consent  of  vulnerable  populations  like  eg.  prisoners  and 
cognitively  impaired  patients. 

Confidentiality  and  privacy  considering  medical  data,  genetic  and  non-genetic,  with 
an  emphasis  on  the  specific  problem  raised  by modern  information  systems  such  as 
computerization  with  automatic  data  transfer. 

OBJECTIVES  DEALT  WITH HORIZONTAL  ACTIVITIES 

Research  activities  on  Biomedical  Ethics  carried  out  within  Biomedical  and  Health 
research  and  the  activities  on  the  Ethical,  Legal  and  Social  Aspects  carried  out  by  the 
horizontal  Unit  "Legal  and  ethical  aspects" will be  performed  jointly  in  order  to  benefit 
from  interdisciplinary  competences. 

In  order  to  improve  dialogue  and  mutual  understanding  between  the  main  national, 
sociopolitical  and  bioethical  positions,  whilst  recognising  the  cultural  differences  which 
exist  in  Member  States, working groups will be organised  to prepare  reports  and  surveys 
of  interest  also  to  the  European  Parliament  and  the  Council.  Targeted  workshops  to 
identify  and  debate  areas  of  national  and  international  divergences  and,  where 
appropriate  research  activities  with  multidisciplinary  approaches  to  such  topics  will  be 
carried  out.  Public  awareness  activities  on  new  biomedical  technologies  will  also  be 
funded.  This  horizontal  activity  takes  into  account  the  European  Bioethics  Convention 
and  its  draft  Protocols. 

Wherever  possible, experimentation  and testing on animals should be replaced  by in vitro 
or other  methods.  No research  modifying,  or seeking to modify,  the genetic  constitution 
of human  beings by alteration of germ cells or of any stage of embryo development  which 
may make these alterations hereditary, nor research seeking to replace a nucleus of a  cell 
of  an  embryo  with  a  nucleus  taken  from  a  cell  of  any  person,  embryo  or  subsequent 
development  of  an  embryo,  known  as  cloning,  will  be  carried  out  under  any  of  these 
three  specific  programmes. 

24 

ïîf 

Demonstration activities within biomedical and health research will facilitate comparative 
European multi-centre trials of new drugs, new therapeutic approaches, and ready-for-
testing  prototypes  of  new  medical  devices.  Special  attention  will  be  given  to 
demonstration of the latest technologies in clinical diagnostics and imaging  technologies, 
implantable  sensors  for  the  monitoring  or  rehabilitation  of  pathological  conditions, 
artificial  organs,  biocompatible  materials,  new  cancer  therapies  and  irradiation 
technologies.  A  bottom-up  approach  will  be  used,  in  cooperation  with  other  Life 
Sciences  programmes,  to 
for  pre-competitive 
demonstration,  in  order  to  prove  the  technical  viability  of  these  new  technologies, 
together with, as appropriate, their economic advantage at a pre-competitive level.  The 
early  involvement  of  hospitals and clinicians in these  demonstrations  will  allow  for an 
efficient dissemination of knowledge and a quick realization of the benefits to be derived 
from the adoption into practice of such innovative approaches, drugs and devices.  While 
keeping as a first priority the benefits for patients, demonstrations in these areas will take 
into  account  the  specific  needs  of  the  biomedical  engineering  and  pharmaceutical 
industries and health care delivery organisations, and will be implemented by partnerships 
involving these manufacturing industries, the health profession, the health-care providers 
and health authorities. 

the  best  opportunities 

identify 

25 

RDT  in Biomedicine  and  Health 

ANNEX  II 

INDICATIVE  BREAKDOWN  OF THE  AMOUNT 

Areas  of  budget  priority A: 

approximately 85% 

Research  on AIDS, tuberculosis and 
other  infectious  diseases, 
Cancer  research 
Pharmaceutical  research 
Brain  research 
Human  Genome  research 

13-20% 
16-20% 
12-18% 
13-19% 
11-17% 

Areas  B: 

approximately  15% 

Research  on occupational  and  environmental  health 
Research  on other  diseases with major  socio-economic  impact 
Public health  research,  including health  services  research 
Research  on biomedical technology and  engineering 
Research  on biomedical  ethics 

100% 
0)(2)(3) 

The  breakdown  between  the  different  domains  does  not  exclude  projects  which  cover 
several  sectors. 

(1) 
(2) 
(3) 

Including  3.5%  for  expenditure on  staff  and  5.0%  for  administration  expenditures. 
Including  3 MECU  for  the  dissemination  and  exploitation  of  results. 
Between 3 et 6%  of  the funds  will be allocated to horizontal  demonstration  activities; between  I and  2%  of  the  funds 
will be  allocated  to  horizontal  activities on  ethical, social  and  legal aspects;  5%  of  the funds  will  be  allocated  to 
horizontal  training activities. 

26 

ANNEXAI 
RULES FOR  IMPLEMENTING  THE  PROGRAMME 

1.  The  detailed  rules  for  the  Community's  financial  contribution  are  laid  down  in 

Annex  IV  to  the  Decision  on  the  fourth  framework  programme. 

The  detailed  rules  for  the  participation  of  undertakings,  research  centres  and 
universities,  and  for  the  dissemination  of  results, will be  laid  down  in the  measures 
provided  for  by Article  130 j  of  the  Treaty. 

However, for the purpose of implementing this programme, the following  exceptions 
shall  apply  : 

«. 

Participation in this programme is open, with  financial  support  from  the  Community 

a. 

to  all  legal  entities,  established  and  regularly  carrying  out  RTD  activities 
in  the  Community,  or 
in  a  third  country  associated,  wholly  or  in  part,  with  the  implementation  of  the 
relevant programme through an agreement  concluded  between  the Community  and 
the  said  third  country 

b. 

to  the  Joint  Research  Centre. 

Participation  in  this  programme  is  open,  without  financial  support  from 
Community,  and  on  condition  that  their  participation 
Community  policies  : 

the 
is  in  the  interests  of 

a. 

b. 
c. 

to  legal  entities  established  in  a  country  which  has  concluded  a  scientific  and 
technical co-operation  agreement  with the Community  relating to activities  covered 
by  the  programme,  provided  the  participation  accords  with  the  terms  of  the 
agreement, 
to  legal  entities  established  in  a  European  country, 
to  international  research  organisations. 

Participation  in  the  area  of  "Human  genome  analysis"  is open,  without  Community 
financial  support,  to  any  legal  entity,  on  condition  that  its  participation  is  in  the 
interests  of  Community  policies. 

The  participation  of  European  international  organisations  may  be  financed  on  the 
same  basis  as  that  for  Community  organisations  in  duly  specified  cases. 

27 

5 V 

2-  This  programme  will  be  implemented  through  indirect  actions,  i.e.  Community 
funding of RTD activities carried out by third parties or by JRC institutes associated 
with third parties. 

2.1.  Shared cost actions including the following types: 

industrial  RDT  projects  carried  out  by  undertakings,  research  centres  and 
universities,  including  consortia  for  integrated  projects  which  work  on  a 
common subject; 

the basic research projects within the tematic networks to be created around 
genetic  technologies  of  a  strategic  importance  for  the  European  industry, 
involving enterprises, research centers and universities; 

technology stimulation which should encourage and facilitate the participation 
of  SMEs  by  supporting  the  exploratory  stage  (including  the  search  for 
.  partners)  of  RTD actions and by cooperative  research.  This award will  be 
granted  after  selection  of  outline  proposals  which may be  submitted  at any 
time; 

support of financing infrastructures or facilities necessary for the performance 
of a coordination action (reinforced  coordination activity) 

demonstration  activities,  as  defined  in  Annex  III  of  the  Framework 
Programme, intended  to  overcome  the obstacles  hindering the  utilisation of 
new technologies and to build the bridge between technology producers and 
users.  Feasibility  awards  and  direct  assistance  to  those  who get  involved  in 
these technologies may also be included; 

2.2.  Concerted  actions,  which  coordinate,  in  particular  through  concertation 
networks,  RTD  and  demonstration  projects  already  funded  by  public 
authorities or private organisms. The concerted actions may also perform the 
coordination needed for thematic  networks which, through RTD shared cost 
actions  (cf.  2.1.  (a),  first  indent),  bring  together,  focusing  on  the  same 
technological  or  industrial  goal,  producers,  users,  universities  and  research 
centres. 

2.3.  Specific  measures,  such  as  those  encouraging  standardization,  and  those 
measures  intended  to  set  up  general  service  tools  for  research  centres, 
universities and enterprises. Community contribution will be up to 100% of the 
costs of these measures. 

28 

^M 

2.4.  Preparatory,  accompanying  and  support  measures,  including  the  following 

types: 

studies  in  support  of  this  programme  and  in  preparation  of  possible 
future  actions; 

conferences,  seminars,  workshops  or  other  scientific  or  technical 
meetings,  including  intersectorial  or  multidisciplinary  coordination 
meetings; 

use of external  expertise, including access to scientific  data  bases; 

and 
scientific  publications, 
exploitation  of  results (in coordination with the activities carried  out  in 
the 3rd t/Vction); 

including  dissemination,  promotion 

assessment  studies  of  socioeconomic  implications  and  also  of  possible 
technological risks associated with all projects of this programme and in 
coordination  with the  programme  targeted  Socio-economic Research; 

training  activities  linked  to  the  research  carried  out  under  this 
programme; 

independent evaluation (including studies) of management and results of 
programme  activities; 

measures  of  support  to  the  operation  of  networks  for  increasing 
awareness  and  for  decentralised  assistance  in  favour  of  SMEs,  in 
coordination  with  the  Euromanagement RTD audits actions. 

The  diffusion  and  valorisation  of  results  obtained  in this  programme  will  be 
complementary  to  those  carried  out  by  the  3rd  Action  and  will  be 
implemented  in close coordination  with it. The networks of partners of  RTD 
projects  are  the  principal  mechanisms  of  dissemination  and  valorisation  of 
results. They  will be  reinforced  with  publications, conferences,  promotion  of 
results,  studies  of  the  techno-economic  potential,  etc..  In  order  to  ensure 
optimal  exploitation  all  those  factors  which  may  facilitate  the  utilisation  of 
results  will be  considered  at  the  start  of  the  projects  and  whilst  they  are  in 
progress. 

29 

^^>t 

SPECIFIC RESEARCH, TECHNOLOGICAL DEVELOPMENT AND 
DEMONSTRATION PROGRAMME IN THE DOMAIN 
OF BIOMEDICINE AND HEALTH 

Financial Statement 

ib>j 

FICHE  FINANCIERE 

1.  TITLE OF THE OPERATION 

Specific  Community  programme  of  research  and  development  in  the  field  of 
Biomedicine and Health. 

2.  BUDGET HEADING  CONCERNED 

B6-7142. 

3.  LEGAL BASIS 

Article  130i of  the  treaty on the European  Union. 
Proposal  for  a  Council  decision  concerning  the  fourth  framework  programme  of 
Community  activities  in  the  field  of  research,  technological  development  and 
demonstration  (1994-1998) COM(93) 276 final. 

4.  DESCRIPTION  OF THE  OPERATION 

4.1  General objective  of the operation  , 

The  chief  objective  is to contribute  to  improving  the  effectiveness  of  research  and 
development  in  medicine  and  health  in  the  Member-States,  in  particular  through 
better  coordination  of  their  research  and  development  activities,  to  applying  their 
findings  through  Community  cooperation  and  to  using  available  resources  in 
common. 

Particular  importance will be given to the principle  of  subsidiarity. 

In  summary: 

Harmonization  of  approaches  and  methodologies  utilized  in  the  different 
national  programmes. 

European  dimension,  complementarity,  Community  added value. 

Bringing together  national  resources in budget  and  manpower. 

The following  medical areas of research  are the most suitable  to comply with  these 
principles: 

Development  of the scientific  and technical basis required  for the evaluation 
treatment  of  mental,  neurological, 
of  new  drugs,  notably  for 
immunological  and  viral  illnesses  (these  actions  should  also  underpin  the 
activities of  the  European  Medicines Agency). 

the 

^H 

Development  of biomedical technology and  engineering. 

Participation  in the  "Decade of the Brain", by the use of molecular,  cellular 
and  clinical approaches  to diseases of the  human  brain  and  nervous system, 
and by the development  and  use of methodology,  of  instrumentation  and of 
the most advanced technologies and infrastructures  considered necessary  for 
the study of the nervous system. 

Integration of basic and clinical research to improve the prevention, diagnosis 
and treatment of illnesses with major  socio-economic impact (such as cancer, 
AIDS, cardiovascular  diseases, chronic diseases, occupational  illnesses, etc.) 
and  the  orphan  illnesses  including  collection  and  analysis  of  statistical  and 
epidemiological  data. 

Analysis and sequencing of  the human genome, exploitation  of  comparative 
approaches  to  mapping,  development  of  appropriate  technologies,  and 
application of knowledge towards the improvement of human health, including 
somatic gene therapy; sharing and harmonization of the databanks on genetic 
diseases  comprising  Community  participation  in  the  management  of  the 
international  database  of the human  genome. 

Research  on  health  systems  and  technologies,  and  on  information  and 
education  on health  matters. 

Research  on biomedical ethics. 

4.2  Areas covered by the programme 

1) 

2) 

3) 

4) 

5) 

6) 

7) 

8) 

9) 

AIDS, tuberculosis and  other  infectious  diseases  research 

Cancer  research 

Pharmaceutical  research 

Brain  Research 

Human  Genome  research 

Occupational  and  Environmental  Health 

Other  diseases with major  socio-economoc  impact,  e.g. 

cardiovascular  research, 
chronic diseases research  and  age-related  problems, and 

orphan  illnesses  research 

Public Health  research,  including health  services  research 

Biomedical Technology and  Engineering  research 

10)  Research  on Biomedical  Ethics 

y& 

4.3  Duration of the  operation 

1994-1998. 

5.  CLASSIFICATION OF THE EXPENDITURE AND  REVENUE 

NCE/DA 

6. TYPE OF EXPENDITURE OR REVENUE 

Studies/grants: 

Direct  actions will normally be funded  100%. 
Participation in concerted actions may be as high as 100% of the concertation 
expenses. 

Grants co-funding research with other sources of the public and/or private sector: 

Shared-cost Actions within which the participation should normally not exceed 
50%. 

Universities and other research centers which participate in RTD projects and 
that according to the Commission cannot justify their total costs with  sufficient 
detail  by  means  of  an  analytical  accounting  system  will  be  financed  up  to 
100% of  additional costs. 

Other shared-cost actions (for example, networks, training, feasibility  awards 
and  accompanying  measures)  will  be  financed  up  to  100%  of  either  the 
additional  costs or  the total costs of the  action. 

Staff and  administration expenses 

This  expenditure  includes  expenditure  on  statutory  personnel,  studies, 
meetings  of  experts,  conferences  and  congresses,  information,  publications, 
administrative  and technical operation  as well as other  expenses on  internal 
infrastructure  and  operation  linked  to the  realization  of  the  action  of which 
they are  an  integral  part. 

^>M> 

7.  FINANCIAL IMPACT 

7.1  Mode of calculation the total cost of the operation 

*  Staff  expenditure:  11.76  MECU  (3.50%  of  the  sum  of  336  MECU  deemed 
necessary). 

The staff situation in 1994 is maintained, i.e.,  19 posts.  These posts are distributed 
as follows: 10A  +  3B  +  6C. 

New posts will be added to the ressources table in 1995, 1996 and 1997, depending 
on  budgetary  constraints.  The  new posts  are justified  by  the  configuration  of  the 
programme, which in relation to the 3rd FP involves new areas of activity: 

- Pharmaceutical  research 
- Brain research 
-. Public Health research 
- Research on AIDS, tuberculosis and other infectious  diseases 
- Cardiovascular research 

It is important to note that the personnel of this specific programme will also be in 
charge of the scientific and contract management of actions initiated in the context 
of 3rd FP. 

* Administration expenditure including non-statutory  personnel: 16.80 MECU (5% 
of the sum of 336 MECU deemed necessary). 

*  Intervention  expenditure:  307.44  MECU  (91.50%  of  the  sum  of  336  MECU 
deemed  necessary),  including  expenses  associated  to  accompanying  measures,  to 
evaluations and concertation activities. 

"&? 

7.2 

Breakdown by elements of the cost of the operation  (in MECU and %) 

Areas of budget priority A: 

Research on AIDS, tuberculosis and 
other infectious  diseases 
Research on cancer 
Pharmaceutical  research 
Brain research 
Human genome 

Areas B: 

TOTAL 

43.68 - 67.20 
53.76 - 67.20 
40.32 - 60.48 
43.68 - 63.84 
36.96 - 57.12 

13-20% 
16-20% 
12-18% 
13-19% 
11-17% 

Approx. 50.40 

15% 

336.00 (1)(2) 

100% 

(1); 

(2) 

Including 11.76 MECU (3.50%) for personnel expenditure and 16.80 MECU 
(5%) for administration expenditure. 

This  sum  includes  expenditure  for  valorisation  and  diffusion  of  results  for 
approximately 3 MECU of the total sum deemed necessary. 

7.3 

Indicative schedule of credits 

The  schedule  will  be  established  on  the  basis  of  the  overall  amounts  for  the  fourth 
framework programme adopted indicatively for the periods 1995-1996 and 1997-1998 at the 
conciliation meeting on 21 March 1994. The RTD appropriations for each financial year will 
be proposed and adopted each year on the basis of the resources available in the context 
of the financial perspective. 

Payment  funds 

1995 

1996 

1997 

TOTAL 

1998 
and  ff. 

/ 

Commitment 
funds 

1995 

1996 

1997 

1998 

36.00 

10.77 

129.00 

86.00 

85.00 

9.19 

40.02 

5.83 

29.99 

25.68 

10.21 

58.99 

60.32 

85.00 

36.00 

129.00 

86.00 

85.00 

TOTAL 

336.00 

10.77 

49.21 

61.50 

214.52 

336.00 

SiS 

8.  ANTI-FRAUD  MEASURES 

Several  administrative  and  financial  checks  exist  at  all  stages  of  the  signing  and 
execution  of  the  research  contracts.  Among  these  checks,  the  following  can  be 
quoted: 

Before the  contract settlement: 

Initial selection  of  proposals  based  on  the  scientific  quality of  the  project  and 
on the accuracy of the amount requested  for the research  in view of its  nature 
and  duration. 

Analysis of the financial  information  given by the proposers in the  negotiation 
forms. 

After  the contract signature: 

Before  payment,  verification 
administrator,  scientific  officer)  of  any  cost  charged  to  the  contract. 

is  made  at  several  levels  (e.g., 

financial 

On-site verification  permitting  by the  examination  of justification  documents 
In  order  to  re-enforce  the 
the  detection  of  errors  or  other  irregularities. 
efficiency  of  these  controls, DG  XII  created  in July  1991 an  audit  unit  which 
centralizes  the  whole  of  the verifications  performed.  These  verifications  are 
executed  either  by members  of  the  audit  unit,  or  by  audit  companies  having 
concluded  framework  contracts  with  the  Commission,  under  the  supervision 
of  the  audit  unit  staff. 

9.  BASIS  FOR  CX)ST/EFFECnVENESS  ANALYSIS 

9.1 

Specific  and  measurable  objectives,  targeted  population 

a) 

Specific  objectives 

The  general  objective  (item  4.1)  reflects  itself  into  10  specific  objectives  with  a 
differentiated  realization  method  for  each  one: 

Research  on  the  major  illnesses: 200 - 300 actions which  include  the coordinating  in 
the  form  of  networks  of  co-operation  3000 to  6000 research  teams  already  financed 
by official  authorities  or  private organizations. These  actions will be  strengthened  by 
tools  of  a  general  nature  in  the  service  of  these  research  workers  and  by a  targeted 
training  of  young  research  workers  (approximately  4000),  while  taking  part  in 
research  for  a short  period  of  time from  a  few weeks to a  few  months  (maximum  six 
months).  These  illnesses  cover  three  specific  objectives  -  1. 2  and  7: 

B^3 

1. 

2. 

AIDS, tuberculosis  and  other  infectious  diseases. 

Cancer. 

Pharmacology: 40 major actions at cost shared with industry and the hospitals, 
3. 
with feasibility  premiums  and  the setting up  of  tools of  a  general  nature  necessary 
for  the evaluation  of new medicines and  treatments for  neuro-mental, immune  and 
viral illnesses. 

4. 
Research  on  the brain:  to  combine  new infrastructures  and  technologies  in 
subject  networks, to  set  in place  of  tools  of  a  general  nature  in  the  service  of  the 
research workers of the universities and of the companies, with a sub-programme of 
targeted  training of young research workers. 

5. 
Analysis and sequencing of human genome: actions at shared expense  (about 
forty),  strengthened by centralized  facilities,  such as the data  banks  . The  aim is to 
contribute  to the development  of the somatic genetic  therapy. 

Research  on  occupational  and  environmental  health  -  risk  factors  at  the 
6. 
workplace,  quantification  of  exposure,  development  of  techniques  of  safety 
management, interaction of risk factors at the workplace and in the environment, and 
aetiology of occupation  and environment-related  diseases. 

7. 

Other  diseases with major  socio-economic  impact. 

8. 
Research in public health: to contribute to the implementation of the relevant 
part  of  Article  129  of  the  Treaty  on  European  Union  (DG  V)  by joint  actions, 
supporting measures  and  support  measures  (about  forty  in total). 

Biomedical engineering for  tests and  standardization  of  the  surgical  medical 
9. 
instruments  and  thanks  to  collaboration  between  engineers,  doctors  and  SMEs. 35 
co-operation  networks with subject  networks  and  activities of  demonstration. 

Research  on biomedical  ethics: a  series  of  supporting  measures  need  to  be 
10. 
developed  with  co-operation  networks  in  order  to  intensify  the  dialogue  and 
understanding between the various socio-political  and cultural  positions which exist 
in the Member  States, and in collaboration  with the various groups  concerned,  e.a. 
the  European  Parliament  and  the  Council. 

11. 
It should  be  noted  that,  with  regard  to  intervention  expenditure,  5%  of  the 
total budget, i.e. 16.5 MECU or 330 fellows, are reserved for long-term grants (more 
than  one year)  at  post-doctoral  level on  the broad  topics of  the  programme. 

Within the framework  of the joint actions, more than 4 000 young research  workers 
will be  exchanged  for  periods  short-term. 

In  general,  130 MECU  or  approximately  38.69% will be  planned  for joint  actions, 
130.54  MECU  or  approximately  38.86%  for  activities  at  shared  expense;  5%  for 
specialized  training activities and  3% for  supporting  measures, 20MECU  or  5.95% 
for  specific  measures. 

8 

'bii 

b) 

Population  targeted 

Immediate  recipients: the research workers of industry and  of the academic world  as 
well  as  the  clinicians  of  the  hospitals  and  the  engineers. 

Intermediate  recipients:  It  should  be  noted  that  all  countries  EEA  expressed  their 
wish to participate in the BIOMED programme, because there are already more than 
450  laboratories  of  these  countries  which  take  part  in  it  directly  or  indirectly. 
Moreover  the  Council  increased  considerably  the  budget  proposed  originally  by  the 
Commission. 

Final  recipients:  the  European  citizens  having  access  to  the  results  of  medical 
research  and  to  preventive  actions. 

9.2 

Justification  of  the  operation 

The  Community  projects  as  regards  research  have 
to  aim  at 
strengthening  the  scientific  and  technological  bases  of  European  industry  and  to 
encourage industry to become more competitive at the international  level; that it also 
stipulates  that  a  Community  action  is justified  if  research  contributes,  inter  alia,  to 
strengthening the economic  and social cohesion  of the  Community  and  to  promoting 
its  overall  harmonious  development,  while  respecting  the  objective  of  scientific  and 
technical  quality. 

in  particular 

9.2.1  Need  for  Community  intervention 

9.2.1  The  principle  of  subsidiarity  applies  completely  in  the  joint  actions  where  the 
contribution  of  the  EC  is  less  than  5%  of  the  total  and  real  costs  of  carried  out 
research. This multiplier  effect  results therefore  in mobilization  of 2 billions of  ECU 
for  100 million ECU  of the EC (see independent  evaluation  report  No.  E UR  14700). 
The  attraction  of  the  BIOMED  programme  1 was  obvious  because  there  was  more 
than  2000  proposals  for  a  budgetary  possibility  only  of  100 joint  actions. 

The  programme  gives  scientific  support  necessary  for  "the  European  agency  of  the 
evaluation  of  medicines"  (DG  III), the  activities  of  public  health  and  of  prevention 
(e.a.  against  smoking,  AIDS,  cancer,  etc)  assembled  by  DG  V  according  to  Article 
129 of  the  treaty. 

9.2.2  Choice  of  intervention  methods 

The  multiplier  effect  of  a  factor  20  (see  9.2.1)  makes  that  the  choice  of  the  joint 
actions,  sometimes  strengthened  by  "centralized  facilities", 
is  necessary.  The 
intervention  methods  (pointed  out  under  the  point  9.1.a)  on  the  specific  objectives, 
are  selected  according  to  a  rigorous  criterion: 

targeted  scientific  conceptualization 
Community  value  added 
major  success  opportunities 

" b^ 

contributing  to European  citizen's well-being. 

The  scientific  selection  procedure  is  first  achieved  by  the  anonymous  evaluation 
system  of  experts judging  the  scientific  quality  of  proposals  sent  by  mail.  In  1993 
more than 700 evaluators from 18 different  countries collaborated in this preparatory 
scientific  selection,  before  Community,  opportunistic and  social  considerations  are 
considered. 

9.2.3  Justification of targeted population and amount of expenditure proposed 

a) 

Justification  of population  targeted 

The large number of organizations and scientific institutions (more than 6000 teams 
!) eager  to  take part  in the  medical research  programme  for  the  benefit  only of  a 
maximum  of  5%  of  the  real  costs, proves  the  multiplier  effect  and  the  interactive 
character with the various national activities, which are appreciated  by the  national 
organisations.  For  example,  the  BIOMED  newsletter  has  a  distribution  of  50 000 
copies, 3 times a year. 

b) 

Proposed  cost of  expenditure 

50 with  100 actions at  shared  cost: 130.54 MECU. 

350 joint  actions with  integrated,  specific  and  targeted  training:  130 MECU. 

Specific measures (standardization, setting in place of tools of general nature): 
20 MECU. 

Preparation,  accompanying  and  support  measures:  26.9  MECU  (8%), 
including 5% for  post-doctoral  grants: 16,8 MECU. 

Administration  and  personnel expenditure  : 28.56 MECU  (8.5%) 

9.2.4  Main factors  contributing to the  uncertainty 

The greatest uncertainty for the manager of the programme is the inability to predict 
when the specific  programme  is to be adopted with the budgetary  means available. 
The  planning  of  the  contracts  and  of  expenditure  is completely  dependent  on  the 
beginning of the  programme. 

A  second  indeterminate  is that  the  results  of  research  are  unforeseeable  and  that 
there  is  no  direct  and  logical  connection  between  the  order  of  magnitude  of  the 
financial  contribution  and  the  results  obtained,  and  that  sometimes  the  spin-off 
effects  are  the  most  interesting ones. 

A  third  indeterminate  is the  fact  that  one  can  accelerate  research  and  training of 
young research workers, but  the results 

10 

(especially of the concerted actions) remain the property of the researcher. 

9.3 

Follow-up and evaluation of the operation 

93.1  Process criteria 

a) 

Criteria for selection : 

Number of institutes, organizations and teams participating in the programme. 

Number of networks created and "laboratories without walls" doing joint experiments. 

Number of scientific  publications and selected reports to international congresses. 

Number of scientific workshops and conferences organized. 

Number of staff exchanges. 

Number of training activities. 

Number of (postdoctoral)  fellowships. 

Number of patents 

b) 

The  overall  programme  objectives  relate  to  the  outcome  results  of  projects  and 
operations run by the programme (outcome criteria): 

Harmonization  of  approaches  and methodologies  utilized  in the  different  national 
programmes. 

European dimension, complementarity,  Community added value. 

Bringing together national resources in budget and manpower. 

c) 

The selection of programme impact criteria may include "success stories", scientific 
achievements, demonstration activities of these results in industry as well as in patient 
care, public health and prevention for the ultimate benefit for the European citizens; 
the articulation and balance of national, Community and international activities; areas 
where  the  Community  could  progressively  de-commit  itself;  the  distribution  and 
needs for research training and human resources. 

11 

9.3.2  Methods and time frame of the evaluation 

Each contractor has to have a programme sharing group. 
The  scientific  and  financial  annual  report  is  submitted  to  an  external  and 
independent evaluation committee of the projects (group of external experts). 
The  evaluation  committee  of  the  mid-programme  envisaged  in  Article  4  of  the 
decision 91/505/EEC of 9 September 1991. 

In order to contribute to the global assessment provided for in Article 4.2 of the  Decision 
adopting  the  Fourth Framework  Programme,  an evaluation  of  the  management  and the 
results achieved by the activities undertaken in the field covered by this programme, during 
the five years preceding the evaluation, shall be conducted in due time for the Commission 
by independent experts. 

At  the  end  of  this  programme,  the  Commission  shall  conduct  a  final  evaluation  by 
independent experts of the results obtained concerning the objectives defined in Annex III 
of the Fourth Framework Programme and in Annex I of this Decision.  It shall submit the 
final evaluation  report  to  the  European  Parliament,  the  Council  and  the  Economic  and 
Social Committee. 

9.3.3  Final results of ongoing operations 

More than eight thousand scientific  publications  of  the  current  activities, including 
several editorials. 

More than 6 000 research teams of  17 EC and EEA countries in close  cooperation 
for joint experiments, or a joint data gathering. 

The number of the personnel exchanges for specific research formation is estimated 
at 3 000 to 4 500 a year. 

Interest  of  the  research  workers  of  industry  for  the  centralized  facilities  (e.g. 
chimpanzees  to  Rijswijk),  of  the  public  health  authorities  (e.g.Centre  for  the 
epidemiologic  monitoring  of  AIDS,  in Paris)  and  of  the  cancer  specialist  doctors 
(e.g.European organization for research and the treatment  of  cancer, in Brussels). 

Several world famous research workers did not hesitate to quote the programme (e.g. 
Prof. Montagnier to the French Television TF1, edition 7 out of 7). 

12 

3 yy 

Proposal  for  a 

COUNCIL DECISION 

94/0088(CNS) 

adopting a specific  research, 
technological development  and demonstration  programme in  the 
field of agriculture  and fisheries 
(including agro-industry, food  technologies, 
forestry,  aquaculture  and  rural  development) 

(1994-1998) 

^S 

LIFE SCIENCES  AND  TECHNOLOGIES 

EXPLANATORY  MEMORANDUM 

RELATING  TO  THREE  SPECIFIC  PROGRAMMES 
IMPLEMENTING  THE 
4TH  FRAMEWORK  PROGRAMME  FOR  COMMUNITY  RESEARCH  AND 

TECHNOLOGICAL  DEVELOPMENT 

(1994-1998): 

-  BIOTECHNOLOGY 
-BIOMEDICINE  AND  HEALTH 
-  AGRICULTURE  AND  FISHERIES  (INCLUDING  AGRO-INDUSTRY, 
FOOD  TECHNOLOGIES,  FORESTRY,  AQUACULTURE  AND 
RURAL  DEVELOPMENT) 

The proposed  specific programmes  fully reflect  the orientations  of the fourth  Framework 
Programme,  apply its selection  criteria  and  further  define  its scientific  and  technological 
objectives.  The  sector  of Life Sciences  and Technologies  is characterized  today  by a vast 
diversity  of  potential  innovations  and  applications  within  agriculture,  fisheries,  industry, 
health  and  the  environment,  preceded  by effective  breakthroughs,  which still increase  in 
number.  Despite  the  fact  that  small  research  companies  are  not  as  widely established  in 
Europe  as  they  are  in  the  US,  it  remains  a  genuine  European  strength  that  large 
chemical,  agro-chemical,  pharmaceutical  and  seed  companies  give  to  life-sciences  and 
technologies  a  substantial  share  of  their  research  budget,  comparable  if not  superior  to 
that  given by equivalent  US companies.  In general,  the private  effort  may now exceed  the 
public  effort  financially.  The  level  of  industrial  expectations  stems  from  the  value  of 
markets  to  be  preserved,  as well as  markets  to be gained.  The  most  likely biotechnology 
products  with the  highest  relative  growth  before  2000 are  vaccines,  new  drugs and  seeds. 
It  is  vital  that  European  companies  which  are  in  the  front  line  can  draw  upon  an 
adequate  science  base  that  is both  innovative  and  responsive  to  problems. 

The  White  Paper  recommends  funding  biotechnology  research  because  of  its  potential 
applications  favouring  growth, competitiveness  and employment.  In particular,  the  White 
Paper  recommends 
in  those  sectors  where 
biotechnology  can  maximize  its impact  on  the  Community's  competitiveness:  agriculture, 
agro-food,  pharmaceutical  products,  chemistry  and  industrial  equipment". 

the  concentration  of  R&D  expenses 

The  new  mission  of  the  research  programmes  within  Life  Sciences  and  Technologies 
consists  of harmonizing  scientific  progress  with industrial  expectations  and  social demand, 
with respect  to biological  processes  which affect  the largest  number  of European  citizens. 
This  necessary  harmonization  points  to  specific  requirements. 

*H 

In  the  field  of  Life  Sciences  and  Technologies,  the  European  research  potential  is  fairly 
well developed.  National  programmes  have become  bigger and  numerous  Member  States 
have  started  to  organize  intensively  their  networks  of excellence,  to  reinforce  their  pilot 
research  centres  and  to  upgrade  the  quality  of their  infrastructures.  In  the  framework  of 
EUREKA,  the  effort  to  bring  new  biological  products  or  processes  closer  to  the  market 
has  been  growing  significantly  over  recent  years. 

The  corresponding  previous  Community  programmes  raised  the  level of awareness  of the 
opportunities  across  national  boundaries  very early  on.  They  contributed 
to  setting  up 
research  projects  which  were  attractive  to industry. Community  research  in Life Sciences 
to  add  a  second  phase,  one  which  will  stress  the 
and  Technologies 
exploitation  of  acquired  benefits  and  promote  the  returns  to  interested  socio-economic 
participants. 

is  thus  about 

These  Community  programmes  will encourage  global approaches  rather  than  reductionist 
the  integration  of  disciplines  against  excessive  specialization,  a  careful 
approaches, 
to  users*  needs  such  as  those  expressed 
attention, 
through  consumer  groups,  the 
levels,  and  from  industrial  platforms  or  professional  associations.  These 
regulatory 
programmes  establish  the  need  to  restrict  the  number  of  selected  topics  to  those  where 
all the  above  conditions  for  an  integration  process  at  Community  level are  met.  Particular 
attention • will be  given  to  the  needs  of Small and  Medium-sized  Enterprises  (SMEs)  and 
to  the  effective  use  of  fellowships.  For  SMEs, a  specific  procedure  will be  implemented 
aiming  at increasing  their  participation  in the programme  (technology  stimulation),  based 
on  the  experience  of  CRAFT  activities  and  feasibility  awards. 

Outline  proposals  may  be  submitted  at  any time  (a continuously  open  call  for  proposals) 
and  those  proposals  selected  will receive  a  feasibility  award  to  search  for  partners  and 
to  prepare  a  detailed  proposal.  That  proposal  will then  be  evaluated  in order  to  decide 
on  the  funding  of  the  research  project  itself. 

Attention  willbe  given  to  three  programmes  with  promising  developments  under  way, 
namely: 

biotechnology 
biomedical  and  health  research 
agriculture  and  fisheries  (including  agro-industry,  food 
aquaculture  and  rural  development). 

technologies, 

forestry, 

In  each  of  these  programmes  efforts  will  focus  on  certain  topics.  For  other  topics,  a 
Community  added  value willbe created  through  Community  concertation  networks  based 
on  existing  national  activities. 

Europe  has  not  been  able,  unlike  the  US  with  their  Presidential  initiatives,  to  spell  out 
an  explicit  priority  for  biotechnology.  Its  specific  weakness 
lies  in  a  dispersion  of 
responsibilities  and  a  lack  of  social  consensus  on  scientific  missions.  This  reticence  in 
identifying  and  mobilizing  relevant  activities  must  be  overcome  by  a  more  systematic 
consideration  of  the  range  of  scientific  opportunities  which  can  be  set  against  present 
societal  needs.  Biotechnology  can  remain  at  the  source  of  innovation  if it  concentrates 

^7-

on  the  understanding  and  control  of the  mechanisms  which determine  the functioning  and 
productive  performance  of  living  matter.  It  is  a  fact  that  it  has  been  possible  to  mimic 
successfully  living processes  for  applied  purposes  and  it  will be  more  so  in  the  future  if 
the  blueprints  of  these  processes  become  accessible. 

Optimal  operational  conditions  will be  created  which  can  best  help  lift  this  limiting  step. 
Biotechnological  research  will be  promoted  in so far as creating  the  links by which  certain 
basic  disciplines  and  new  emerging  technical  skills enter  a  real  partnership  towards  the 
understanding  of  biological  phenomena. 

In  the  case  of  biotechnology,  the  focused  activities  will concern  : 

from  cellular  biology,  biochemistry,  process 

cell  factories,  with  contributions 
engineering  and  computer  science; 
sequencing  of  model  genomes  with  a  view  to  more  effective  exploitation  of 
biological  resources,  with  special  attention  being  paid  to  the  development  of 
methodologies; 
plant  molecular  and  cellular  biology,  and  animal  physiopathology,  targeted  on 
technologies  generating  new agricultural  productions  and  preserving  the  health  of 
domesticated  animals  and  plants; 
cell communication  in neurosciences,  in order  better  to understand  the  functioning 
of  nerve  cells  and  the  networks  formed  by  them.  The  research  in. question  will 
help  to  design  new  drugs  to  remedy  certain  cellular  and  organic  dysfunctions. 

Concertation  networks  will be  set  up  to  bring  together  the  scientific  communities  in  the 
following  areas  : 

immunology  and  transdisease  vaccinology; 
structural  biology; 
prenormative  research,  biodiversity  and  social  acceptance; 
infrastructures  (bioinformatics,  etc.). 

results  in  diseases.  Understanding 

Links  between  certain  basic  disciplines  and  new  emerging  technical  skills  will  also  be 
sought  in  biomedical  and  health  research,  which  is  in  need  of  more  knowledge  of  the 
basic  mechanisms  which  maintain  normal  functions 
in  an  healthy  body  and  whose 
is  a  necessity  prior  to 
disruption 
identifying  novel  drug  targets.  The  key to  progress  is interdisciplinary  research  involving, 
for  example,  pharmacologists,  cell  biologists,  molecular  biologists  and  medical  chemists. 
In  view  of  the  limited  contribution  which  the  EU  will add  to  national  governments'  and 
industrial  R &D  expenditures,  an  emphasis  will be  put  on  larger  ambitious  long-term 
projects  which  will contribute  to  keeping  the social  burden  of  health  care  tolerable,  while 
laying the  ground  for a single  European  market  for  pharmaceuticals,  medical  devices  and 
to  prevention  and  public 
health  services.  Attention  will  be  given  to  research  related 
health,  in  support  of  the  new  Community  policy  on  Public  Health  (Article  129  of  the 
Treaty  on  European  Union). 

the  pathways 

3tff 

In  the  case  of  biomedical  and  health  research,  the  activities  will concern: 

research  on AIDS, tuberculosis  and other  infectious  diseases,  involving integration 
of  basic  and  clinical  research  including  epidemiology; 
research  on  cancer,  with  the  same  breadth  of  approaches; 
pharmaceuticals  research,  mainly on pharmacotoxicology,  pharmacovigilance  and 
clinical  trials; 
brain  research  which,  while  taking  into  account  other  international  cooperation 
programmes,  will include  a  wide  range  of  activities  focusing  on  improvement  in 
the  treatment  of  neurological  and  cerebrovascular  disorders; 
human  genome  research; 
research  on  other  diseases  with  major  socio-economic 
impact;  cardiovascular 
diseases;  chronic diseases  and age-related  problems,  e.g.chronic arthritis, diabetes 
mellitus,  asthma  and  other  respiratory  problems;  and  orphan  illnesses; 
research  on  occupational  and  environmental  health; 
public  health'research,  including  health  services  research; 
biomedical  technology  and  engineering  research; 
research  on  biomedical  ethics. 

The  advances  in life sciences  will, together  with  innovations  in other  disciplines  such  as 
engineering  or  chemistry,  form  the  scientific  basis  for  developing  new  processes  and 
applications  . in  agriculture,  fisheries  and  related  processing  industries.  Special  attention 
willbe  given to research  activities supporting  the evolving Community  policies  (Common 
Agricultural  Policy  -  CAP  -  and  Common  Fisheries  Policy  -  CFP  -  especially)  and 
responding  to  the  needs  of  society  for a wide range  of  healthy  and  nutritious  foods and 
the  necessary 
friendly  non-food  products,  by  bringing  together 
environmentally 
multidisciplinary  skills. 

In  the  case. of  agriculture  and  fisheries  (including  agro-industry,  food  technologies, 
forestry,  aquaculture  and  rural  development),  the  focused  activities  will concern  : 

integrated  production  and  processing  chains,  in  order  to  obtain  products  with a 
higher  added  value; 
scaling-up  and  processing  methodologies,  with  a  view  to  the  use  of  new 
methodologies  in agro-industrial  processes; 
generic  science  and  advanced  technologies  for  nutritious  foods; 
activities  to  complement  Community  policies  in  the  agriculture  and  fisheries 
sectors, together  with the identification  of new prospects  for the sectors  concerned 
further  to  their  restructuring.  Priority  should  be  given  to  : 

within  the  agriculture,  forestry  and  rural  development  sectors: 

optimization  of  methods  and  systems; 
product  quality; 
production  diversification; 

^S 

plant  and  animal  health  and  animal  welfare; 
multifunctional  management  of  forestry; 
rural  development; 

within  the  fisheries  and  aquaculture  sectors: 

impact  of  fisheries  and  aquaculture  activities; 

impact  of  environmental  factors  on  marine  resources; 
environmental 
biology  of  species  for  aquaculture; 
socio-economic  aspects  of  the fishing industry; 
improved  methodology. 

Concertation  networks  will  be  implemented 
production,  food  processing,  and  development  of  rural  and  coastal  zones. 

to  support  research  concerning  primary 

field.  However,  the 
Life  Sciences  and  Technologies  constitute  a  rapidly  expanding 
utilization  of  new  technologies  by  European 
industries  and  services  continues  to  be 
hampered  by  specific  hurdles,  such  as  the  existence  of  strong  competing  technological 
alternatives,  a sometimes  negative  public perception,  the need  to demonstrate  compliance 
with constraining  regulatory  requirements  and  the need  to deploy  costly interdisciplinary 
resources  with  adequate  critical-mass  for  project  implementation. 
The  European 
scientific community  active in Life Sciences  has an outstanding  productivity  and  maintains 
a strong competitive  position  at international  level. However, due to the  above-mentioned 
hurdles  and  also  to the  lack of adequate  instruments  in Europe  to cover  the  funding  gap 
between  the  R&D  phase  and  the  investments  phase,  utilization  of  new  biotechnologies 
in Europe  lags  behind  that  achieved  by the  US  and  Japan.  In the  US  the  availability  of 
risk capital  has  been  instrumental  for  the  launching  of  innovative  SMEs,  and  in Japan 
established  policies  provide  for  the  public  funding  of  long-term  private  ventures  based 
on  the  development  of  new  technologies.  Action  must  be  taken,  therefore,  within  the 
new  mission  of  these  specific  programmes,  to  allow  better  application  of  the  innovative 
results  of  the  research  in  Life  Sciences  carried  out  in  the  Community. 

To  address  adequately  these  problems,  well-targeted  and  precompetitive  demonstration 
activities  willbe  introduced  into the proposed  Life Sciences  specific  programmes  with the 
objectives  of  : i)  fostering  the  adoption  of  new  technological  concepts  by  reducing  the 
techno-economic  uncertainties  and  risks associated  with  Life  Sciences  innovations,  and 
ii)  enhancing  the  attractiveness  of  new  technological  options  based  in  Life  Sciences, 
contributing  to  the  message  that  scientific  knowledge  and  technologies  are  produced  for 
the  benefit  of  society  as  a  whole. 

together  with,  as  appropriate, 

is to  prove  the  technical  viability of  new 
The  main  goal  of  precompetitive  demonstration 
technologies 
their  economic  advantage;  moreover, 
demonstration  should  only be executed  once  that  the new technology  has been  developed 
to a sufficient  level  of  maturity,  in order  to  minimize  the  risks involved  in the  assessment 
of  its performance  under  close  to  real  operating  conditions. 

^>Hd 

Synergies  amongst  the  three  Life  Sciences  programmes  can  be  achieved  by  integrating 
an  interdisciplinary  critical  mass in demonstration  teams. The  required  joint participation 
in demonstration  activities  of  technology  producers  and  technology  users  will ensure  an 
effective  transfer  of  new  technologies  to  interested  industries  and  services;  these  teams 
will  serve  as  a  further  incentive  for  the  establishment  of  European  concerns  able  to 
formulate  solid  strategies  to share risks and  fully exploit  the  market  opportunities  arising 
from  these  technologies. 

Research  potential  and  industrial  expectation  within Life Sciences  and Technologies  also 
elicit strong  social  demands.  This is expressed  through  ethical  concerns,  consideration  of 
safety  principles,  food  habits  and  acute  needs  for health  care  which are  adapted  to  ways 
of  living and  demographic  evolution.  A  lack  of public  acceptability  is one  of  the  limiting 
factors  for  both  research  and  its  successful  commercialisation. 

Wherever  possible,  experimentation  and  testing  on animals  should  be replaced  by in vitro 
or  other  methods. 

No  research  modifying,  or  seeking  to  modify,  the  genetic  constitution  of  human  beings 
by alteration  of germ cells or of any stage  of embryo  development  which may make  these 
alterations  hereditary,  nor  research  seeking  to  replace  a  nucleus  of  a cell of an  embryo 
with  a  nucleus  taken  from  a  cell  of  any  person,  embryo  or  subsequent  development  of 
an  embryo,  known  as  cloning,  willbe  carried  out  under  any  of  these  three  specific 
programmes. 

The  preparation.  of  these  programme  proposals  has  been  based  on  advice  from  many 
sources,  both  national  and  transnational,  including  a  meeting  on  the  relevant  prospects 
in  Life  Sciences  and  Technologies  in  response  to  the  socio-economic  needs  of  society.. 

t>ÇO 

.<; 

PROPOSAL FOR A COUNCIL DECISION 
of.... 

adopting a specific  research, technological development and demonstration 
programme  (1994-1998) in the field of Agriculture and Fisheries (including Agro-
Industry, Food Technologies, Forestry, Aquaculture and Rural  Development) 

THE COUNCIL OF THE EUROPEAN  UNION 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130 1(4) thereof, 

Having regard  to  the  proposal  from  the  Commission1, 

Having  regard  to  the  opinion  of  the  European  Parliament2, 

Having regard  to  the  opinion  of  the  Economic and Social Committee3, 

Whereas, by its Decision.../.../EC, the Council and  the European  Parliament  adopted  a 
fourth  Framework  Programme  for  Community  activities  of  research,  technological 
development  and  demonstration  (hereinafter  RTD),  for  the  period  1994  to  199S, 
specifying,  in .particular, the activities to be pursued  in the field of 
Agriculture  and  Fisheries  (including  Agro-Industry,  Food  Technologies,  Forestry, 
Aquaculture  and  Rural  Development); 

Whereas this Decision should be taken in the light of the grounds set out in the preamble 
to the  aforesaid  Decision; 

Whereas Article  130 I (3) of the Treaty stipulates that  the framework programme  is to 
be  implemented  through  specific  programmes  developed  within  each  activity;  whereas 
each  specific  programme  shall  define  the  detailed  rules  for  implementing  it,  fix  its 
duration  and  provide  for  the  means deemed  necessary; 

Whereas  this  programme  is  implemented  mainly  through  shared  cost  and  concerted 
actions  and  accompanying  and  support  measures; 

OJ  N°  ...,  •••/  p... 

OJ  N°  ...,  •••/  p. . . 

OJ  N°  ...,  •••#  p... 

O J  N "  . . . ,  . . . , p. . . 

3Tx/ 

Whereas in accordance with Article 130 I (3) of the Treaty, it is appropriate to make an 
estimate of the means deemed necessary for the realization of this specific programme; 
whereas the funds effectively  available shall be determined by the budgetary authorities 
according to the relative priorities given within the First Action of the fourth Framework 
Programme; 

Whereas the decision .../.../CE (fourth Framework Programme) foresaw that the overall 
maximum amount available for the fourth Framework Programme will be reviewed no 
later than 30 June 1996 in view of being increased, and that as a result of this review, the 
amount deemed necessary to implement the present programme could be supplemented; 

Whereas  in  order  to  attain  the  objectives  and  meet  the  challenges,  in  the  field  of 
agriculture and fisheries (including agro-industry, food technologies, forestry, aquaculture 
and rural development), a programme of RTD should support: -

guaranteeing the competitiveness, efficiency  and sustainable development of the 
agricultural sector (agriculture, horticulture, forestry and fisheries.) and the agro-
industrial sector (food and non-food, including bioenergy and bioplastics); 
the evolution of community policies (especially agriculture and  fisheries); 
responding to societal needs to provide a wide range of healthy and nutritional 
food  products and non-food  products compatible with the environment; 
contributing  to  sustainable  development,  the  preservation  and  improvement  of 
rural and coastal development 

Whereas this programme can contribute markedly to the stimulation of growth, to the 
renforcement  of  competitiveness  and  to  the  develoment  of  employment  within  the 
Community  as 
in  the  White  Paper  "Growth,  Competitiveness  and 
Employment"5. 

indicated 

Whereas  the  contents  of  the  fourth  Framework  Programme  for  Community  RTD 
activities have been defined in conformity with the principle of subsidiarity; whereas this 
programme further sets out detailed contents of activities to achieve in conformity with 
this  principle  in  the  field  of  agriculture  and fisheries (including  agro-industry,  food 
technologies, forestry, aquaculture and rural development); 

Whereas  the  decision  .../.../CE  (fourth  Framework  Programme)  foresees  that  a 
Community activity is required if, among other reasons, the research contributes to the 
economic and social cohesion of the Community and encourages the overall harmonious 
development of the quality of its science and technology and that the present programme 
is supposed to contribute to the realisation of these objectives; 

COM  ( 9 3)  7 00 

f i n al  of 

5 . 1 2 . 1 9 93 

8 

3^ 

Whereas  this  programme  and  its  implementation  should  contribute  to  improving  the 
synergies between the RTD activities in the field of Agriculture and Fisheries (including 
Agro-Industry,  Food Technologies, Forestry, Aquaculture and Rural Development), by 
research  centres,  universities  and  industry,  in  particular  small  and  medium  sized 
enterprises  (SME),  established  in  the  Member  States,  and  between  these  and  the 
corresponding  Community RTD activities; 

Whereas the rules for the participation of industry, research centres (including the JRC) 
and universities, as well as the rules governing the dissemination of research results, are 
laid down in the measures provided for in Article  130 J; 

Whereas  for the  implementation  of this programme,  besides  associating  the  countries 
which  are  members  of  the  European  Economic  Area  (EEA),  other  international 
cooperation activities might be necessary, in accordance with Article  130 M, with other 
third countries and international organizations; 

activities  for  the 
Whereas' the  implementation  of  this  programme  also  implies 
dissemination and exploitation of RTD results, in particular towards small and medium 
sized enterprises, particularly those located in Member States or regions which have the 
lowest  participation  in  the  programme,  as  well  as  activities  to  promote  mobility  and 
training  of  researchers  carried  out  within  this  programme  developed  in  this  present 
programme and in so far as necessary for its adequate implementation; 

Whereas  the  implementation  of  this  programme  requires  to  provide  for  measures 
intended  to  encourage  participation  of  SME's,  in  particular  technology  stimulation 
measures; 

Whereas an assessment should be made of the  socioeconomic  impact of the  activities 
undertaken in this programme; 

Whereas, on the one hand, this programme's state of implementation should be reviewed 
in a permanent and systematic way, in order to adapt it, where necessary, to the scientific 
and technological  developments  in this field; and on  the  other  hand,  an  independent 
evaluation should be conducted, in due time, on the results achieved by the programme, 
in order to provide every appropriate information  as necessary to determine  the goals 
of the fifth RTD framework programme; whereas, a final evaluation will be necessary at 
the  end  of  the  programme  to  assess  the  results  obtained  in  terms  of  the  objectives 
defined  in this Decision; 

WTiereas the JRC may participate in the indirect actions covered by this programme; 

Whereas the JRC shall also contribute through its own direct actions programme to the 
implementation  of the research included in the present programme; 

Whereas the Scientific and Technical Research Committee (CREST) has been consulted. 

^S~3 

HAS ADOPTED  THIS  DECISION: 

Article 1 

A specific programme of research, technological development and demonstration  in the 
field of Agriculture and Fisheries (including Agro-Industry, Food Technologies, Forestry, 
Aquaculture  and  Rural  Development)  as defined  in Annex  1 is  hereby  adopted  for  a 
period  beginning on  (date  of adoption)  and  ending on 31 December  1998. 

Article 2 

1- 

2- 

3- 

4- 

The funds  estimated  as necessary for  the execution of the programme amount to 
ECU  607 millions, including 7.3 %  for  staff  and administrative  expenditure. 

An  indicative  allocation  of  funds  is set out  in Annex  II . 

The funds estimated as necessary as indicated above may be increased. As a result 
of  and  in conformity  with  the  decision  mentioned  in article  1 of  paragraph  3 of 
the  decision  .../.../CE (4th  framework  programme). 

The  budgetary  authority  shall  lay  down  the  available  appropriations  for  each 
financial  year in agreement with the scientific and technological priorities fixed by 
the  fourth  Framework  Programme. 

Article 3 

Detailed rules for the implementation, besides those provided for in Article 5, are set out 
in Annex  III. 

Article 4 

1- 

2- 

The  Commission  shall  continually  and  systematically  monitor,  with  appropriate 
assistance from independent, external experts, the progress within this programme 
in  relation  to  the  objectives  set  out  in  Annex  I,  and  in  particular  whether  the 
objectives, the priorities and the funds  are still adequate to the changing situation. 
Where  necessary,  this  review  shall  be  accompanied  by  proposals  to  adapt  or 
complete  this programme,  in accordance with the  review's  conclusions. 

In order to contribute to the global assessment provided for  in Article 4 (2) of the 
Decision  adopting  the  fourth  Framework  Programme,  an  evaluation  of  the 
management  and  the  results  achieved  by  the  activities  undertaken  in  the  field 
covered  by this programme, during the five years preceding  the evaluation, shall 
be  conducted  in due time  for  the  Commission  by independent  experts. 

10 

i?V 

At  the  end  of  this  programme,  the  Commission  shall  conduct  a  final  evaluation 
by independent  experts  of  the  results  obtained  concerning  the  objectives  defined 
in  Annex  III  of  the  fourth  Framework  Programme  and  in  Annex  I  of  this 
Decision.  It shall  submit  the  final  evaluation  report  to  the  European  Parliament, 
the  Council  and  the  Economic  and  Social  Committee. 

Article  5 

1- 

A work  programme  shall  be  drawn  up  by the Commission  in accordance  with  the 
objectives  outlined  in Annex  I and will, as required, be implemented.  It will  define 
in  detail  the  scientific  and  technological  objectives  and  identify  the  steps  for  the 
implementation  of  the  programme  as  well  as  the  necessary  finance  for  each 
method  of  implementation. 

The  work  programme  can  also  allow  participation  in  some  activities  originating 
from  the  EUREKA  framework. 

2- 

The  Commission  shall  make  calls  for  proposals  for  projects  on  the  basis  of  the 
work  programme. 

Article  6 

The  Commission  shall be  responsible  for  the  implementation  of  the  programme. 

For  measures  foreseen  in  Article  7  (1),  the  Commission  shall  be  assisted  by  a 
Committee,  composed  of  representatives  of  the  Member  States  and  chaired  by  a 
representative  of  the  Commission. 

The representative of the Commission shall submit to the committee a draft  of  the 
measures  to  be  taken.  The  committee  shall deliver  its opinion  within  a  time  limit 
which  the  chairman  may  lay  down  according  to  the  urgency  of  the  matter.  The 
opinion  shall  be  delivered  by  the  majority  provided  for  in  Article  148 (2)  of  the 
Treaty  as regards adoption  of decisions which the Council is required  to adopt  on 
a  proposal  from  the Commission. The votes of the  representatives  of the  Member 
States  within  the  committee  shall  be  weighted  in  the  manner  set  out  in  that 
Article.  The  chairman  shall  not  vote. 

The Commission  shall adopt  the  measures envisaged when  they are  in  accordance 
with  the  opinion  of  the  committee. 

When the measures envisaged  are not in accordance with the committee's  opinion, 
or  if  no  opinion  is  delivered,  the  Commission  shall  without  delay  submit  to  the 
Council  a  proposal  relating  to  the  measures  to  be  taken. The  Council shall act  by 
qualified  majority. 

If,  on  the  expiry  of  a  period  of  one  month  from  referral  of  the  matter  to  the 

n 

Council, the latter has not acted, the proposed measures shall be adopted by the 
Commission. 

1- 

The procedure laid down in Article 6 (2) shall apply to: 

Article 7 

the preparation and updating of the work programme referred to in 
Article 5 (1), 

the assessment of the projects proposed for a Community contribution and 
of the estimated amount of this contribution on a project basis, where this 
amount exceeds ECU 0,5 million, 

the measures to be undertaken to evaluate the programme, 

any adaptation of the indicative breakdown of the amount set out in 
Annex II, not having been decided through the budgetary procedure. 

2- 

The  Commission  shall  inform  the  committee,  for  each  of  its  meetings,  of  the 
current state of implementation of the programme as a whole. 

Article 8 

The Commission is hereby authorized, in accordance with Article 228 (1) of the Treaty, 
to open the necessary negotiations for the conclusion of international agreements with 
European  third  countries,  with  a  view  to  associating  them  with  all,  or  part,  of  the 
programme. 

Article 9 

This Decision is addressed to the Member States. 

Done at Brussels, 

For the Council 
The President 

12 

3Ç6 

AGRICULTURE  AND  FISHERIES  (INCLUDING  AGRO-INDUSTRY.  FOOD 
TECHNOLOGIES.  FORESTRY.  AQUACULTURE  AND  RURAL  DEVELOPMENT) 

ANNEX I 

OBJECTIVES  AND  SCIENTIFIC  AND  TECHNICAL  CONTENT  OF  THE  SPECIFIC 
PROGRAMME 

The specific programme fully reflects the approach embodied in the Fourth Framework 
Programme in terms of the selection criteria and the scientific and technical goals which 
it pursues. 

Paragraph 4.C of Annex III, first activity of the above-mentioned framework programme 
is an integral part of this programme. 

The economic sectors encompassed by this programme can be divided into four groups : 
the primary sector (agriculture, horticulture, forestry, fisheries); the 'input' industries (e.g. 
seeds, juveniles for aquaculture, fishing technology  and inputs for fisheries, machinery, 
chemicals,  fertilizers,  feed,  etc.);  and  the  processing  industries  (wood,  paper, 
pharmaceuticals, food, sugar and starch industries, bioenergy, etc.) and other rural and 
coastal  activities.  These  large  sectors  include  large  companies  and  numerous  SMEs 
developing and producing both niche and bulk products which would benefit from the 
programme as well as the cooperatives,  the  10 million farmers, and fishermen and 380 
million consumers of the Community. 

The  major  Community  policies  of  Agriculture,  Rural  development,  Fisheries, 
Environment,  and  the  Internal  Market  apply  to  primary  production  and  to  the final 
transformation  industries.  The developments which will arise from activities under this 
programme will contribute to these policies and the improvement of European primary 
production in agriculture, fisheries, forestry and the downstream industries and users. 
The  major  challenge  in  this  area  is  to  contribute  to  a  better  match  between  the 
production and utilization of biological raw materials in Europe, in particular through the 
improvement  of  their  original  quality.  New  markets  and  products  will  have  to  be 
developed for raw materials produced by agriculture, forestry and fisheries which meet 
the demands and requirements of the end users. 

Research  in  this area will  provide  a  strong  scientific  research  base  for  a competitive, 
efficient  and sustainable  primary production  and agro-industrial  sector; to support the 
evolving  Community  policies  (especially  the  major Community  policies of Agriculture, 
Rural development, Fisheries, Environment and the Internal Market) and to respond to 
societal  needs  for  a  wide  range  of  healthy  and  nutritious  food,  and  new  non-food 
products which are produced compatible with the environment 

Research  should  seek  to  increase  competitiveness,  efficiency  and  viability  of  the 
agricultural, fishery sectors and related industry sectors, promote rural development and 
remove bottlenecks which are hindering the wider use of agricultural, forestry and  fishery 
raw materials for new and improved food and non-food  products, and to stimulate the 

13 

!>S~£ 

emergence  of  new  environmentally  safe  products,  outlets  and  processes  within  the 
agricultural,  forestry,  agro-industrial  and  fisheries  sectors.  Therefore  research  must 
respond  to  socio-economic  issues  of  rural  and  coastal  communities,  to  safety,  quality, 
health and environmental  implications of  new food  and non-food  products for which it 
is clear there is a demand from the public. 

Prenormative  research  will  be  initiated  and  supported  in  order  to  provide  a  sound 
scientific base for the setting of standards and regulations relating to the production and 
use of biological resources. 

Demonstration activities will have the objective to prove, in a phase consecutive to that 
of  experimental  research  and  small  scale  technological  development,  the  technical 
viability of systems and methods of production, of new technologies or products, together 
with, as appropriate, their economic advantage. These projects will be pre-competitive, 
and should as such focus particularly on the application of new technologies and involve 
participation by both producers and users.  In order to reduce project costs, the scale of 
operations  for  demonstration  projects  will  be  the  minimum  scale  required  to  obtain 
reliable  practical  information  about  the  performance  of  new systems  and  methods  of 
production and of the particular new technologies.  These demonstration operations can 
be implemented  in any of the areas covered by this specific  programme.  A bottom-up 
approach will be applied to identify the best demonstration opportunities. 

The association in inter-disciplinary projects of technology producers, technology users, 
and producers and users of agricultural raw materials, will be pursued in order to ensure 
an efficient  transfer  of  new technological  knowledge  for  the benefit  of  manufacturing 
companies, user services, and related public bodies. 

An integrated approach in biomass-bioenergy will be used covering the whole bioenergy 
chain  including  production  and  combined  processing  of  agricultural  raw  materials, 
conversion and use of these materials for energy purposes. 

In  order  to  improve  dialogue  and  understanding  between  the  main  national  and 
sociopolitical bioethical positions, whilst recognising the cultural differences  which exist 
in Member  States,  research will be  undertaken  to  investigate  ethical,  legal  and  social 
aspects of the sectors included in this programme. 

Measures of technological stimulation based on the experience of the CRAFT action and 
feasibility  awards  will  be  implemented  in  order  to  encourage  and  facilitate  the 
participation of SMEs. 

OBJECTIVES REQUIRING CONCENTRATED MEANS 

Integrated Production and Processing Chains : 

There is the potential in the agro-industrial sector to create significant new markets which 
will utilize biological raw materials from Europe.  Bio-based non-food products will often 

14 

VS8 

have to compete with established  products and it is essential  to optimise  the  complete 
production chains in order to develop economically feasible opportunities and to generate 
the optimal qualities. 

To this end all necessary skills and technologies, particularly biotechnologies, related to 
the individual links in the production chains will be combined in integrated food and non 
food projects addressing those chains for which Europe has a competitive advantage.  In 
terms of participants strong emphasis will be put on the participation of producers and 
users of biological raw materials in joint projects, closely cooperating with scientists.  The 
wood  and biomass  production  and  processing  chains, where  overall  efficiency  is  most 
likely to generate significant  impact on e.g. rural economies, will be addressed. 

Considerable  efforts  will  also  be  devoted  to  higher  value-added  novel  bio-based 
intermediate and end-products.  Synergistic effects of combining different food and non 
food production will be sought, e.g. by optimising the conversion of by-products to energy 
and other non-food products. 

It is the intention to create large projects which will focus on all aspects of Major Crop 
Group Chains.  These projects will encompass the primary production of the crop group 
(for  example  cereals),  the  processing  to  food  and/or  non-food  end-use  products.  It 
should  bring  together  the  necessary  critical  mass so  as  to  create  a  significant  impact, 
within the short to medium-term, on the development of new technologies and products 
within each Major Crop Group Chain. 

There  are  5  lines  envisaged  :  Industrial  uses  for  Cereal  crops;  Industrial  uses  for 
Vegetable oil crops; Industrial uses for Protein crops; Forestry-wood-chain; and Biomass 
for Energy and Non-food uses. 

An  integrated  approach  in  biomass-bioenergy  is  necessary  to  ensure  consistency  and 
relevance  of  Community  RTD  activities  covering  the  whole  bioenergy  chain  in  its 
technical  and  non-technical  aspects  (including  e.g.  energy  balance,  cost  effectiveness, 
policy aspects, etc...) : production and combined processing of agricultural raw materials, 
conversion and use of these  materials for energy purposes. 

This  strategic  approach  will  be jointly  elaborated  by  this  programme  and  the  Energy 
programmes. Whereas this research programme will focus on raw material production, 
logistics and processing, the activities in the energy programme will focus on work linked 
to conversion and use of solid biomass. 

Scaling-up and Processing Methodologies : 

The transfer from laboratory to industrial scale is characterised by major problems and 
bottlenecks,  such as homogeneity  of  raw material  supply, fluid  dynamics, heat  transfer, 
flocculation,  product  recovery,  equipment,  etc. 
Improved  methodologies  will  be 
developed  for  designing  and  testing  innovative  agro-industrial  processes  and  for  the 
application of biotechnology, while reducing the economic risks currently associated with 
investing in new technology. 

15 

In multidisciplinary projects scientists and engineers will be brought together in order to 
understand  the  specific  problems  directly  resulting  from  increasing  the  scale  from 
laboratory  to  industrial  levels.  In  particular  the  development  and  improvement  of 
methodologies  (e.g.  specialised  instrumentation,  structured  models,  and  simulation 
methods) used for scale-up, design and testing of agro-industrial processes will be jointly 
developed. 

The upstream 'green' biobased chemistry, and applied biotechnologies involving 
enzymatic and fermentative biosynthesis, and the downstream activities of  fractionation, 
separation  and  product  development,  are  typical  examples  of  processes  which  pose 
technological  difficulties  in  scaling  up  to  the  industrial  operational  scale,  and  where 
synergy between chemical engineering in design, instrumentation, and equipment, and the 
life scientist will be most effective.  Research on upgrading of by-products  from 
fermentations and other processing industries will be undertaken. 

These activities will be complementary to and synergistic with the fundamentally oriented 
bioprocessing activities within the Biotechnology programme and the more applied 
activities within the Industrial Technologies Programme. 

Generic Science and Advanced Technologies for Nutritious Foods : 

The food  and drink industry, including fish processing, ranks second in terms of output 
in Europe.  Research should improve the industry's competitive position but also provide 
consumers with a safer higher quality, more nutritious and health promoting diet. 

Generic technologies will be developed by the application of biotechnology to produce 
commercial  crops  with  enhanced  performance,  improved  production  efficiency  and 
nutritional  qualities,  again complementing  fundamentally  oriented  research within the 
Biotechnology programme. 

Other  research  will  concentrate  on  generic  scientific  phenomena  involved  in  the 
conversion of biological raw materials into food, and its metabolism.  The emphasis will 
be  on  a  multidisciplinary,  molecular  and  cellular  physiological  approaches  which will 
support new advanced technologies for the food quality, safety and wholesomeness, 
including freshness and spoilage of seafood. 

Community activities will concentrate on methods for the quantification of quality, origin 
identification, wholesomeness attributes, control methods, basic food science (structures, 
interactions),  food  functionality  in-vivo  and  in-vitro,  novel  processing  technologies, 
equipment and products (emphasizing biotransformation/biotechnology), and implications 
of these for consumer behaviour.  This work will also encompass research on upgrading 
of fishery products and better utilisation of underused species and by-products. 

Nutritional  diseases  and  disorders  are  an  increasing  aspect  of  modern  lifestyles. 
Multidisciplinary research combining production, processing and health aspects, will focus 
on  the  relationship  between  dietary  components  and  health  status,  particularly  food 
absorption and metabolism, the role of intestinal flora and immunology, and the tailoring 

16 

l?6o 

of foods for specific  nutritional  requirements and functions. 

Agriculture. Forestry. Rural Development  and Fisheries and Aquaculture : 

The research in this area has the goal of accompanying and evaluating the Community 
policies and the identification  of solutions to face the changing rural and coastal world. 
The need is to develop new production systems which are economically viable, which are 
both protective of the environment and maintain an adequate level of employment.  An 
improvement  in the  economic  situation  of  agriculture will be  also sought by means of 
quality products, diversification of food and non-food products and farming activities, and 
by cost-reductions. 

In  the  forestry  sector,  research  should  contribute  to  an  overall  achievement  of  the 
objectives for the protection and the  long term development  of  forests  adopted  at the 
World Summit at Rio de Janeiro in 1992 and on the occasion of Ministerial Conferences 
on the protection of forests in Europe (Strasbourg 1990 and Helsinki 1993) and a better 
utilisation of forests production and the diverse functions of the forest.  Finally, research 
should  improve  the  scientific  base  which  underpins  the  implementation  of  the  rural 
development policy. 

An improvement  of the economic situation of aquaculture and fisheries will be sought 
by  means  of  quality  of  products,  diversification  of  products  (food  and  non-food)  and 
activities and by a reduction of costs. 

Agriculture. Forestry and Rural  Development 

Optimisation of methods, systems and primary production chains : In the new scenario, 
as a result of  the reform  of  the Common Agricultural  Policy  (GAP), it is necessary to 
develop  the  scientific  bases  which  will  identify  and  develop  the  means,  techniques, 
systems and chains of production which will lead progressively towards a less intensive 
agriculture,  compatible  with the  protection  of  the environment  and natural  resources, 
economically viable, while maintaining a sufficient  employment level.  New positive uses 
for set-aside lands for farmers and the Community should also be found. 

In  this  context  the  priorities  should  be  :  evaluation  of  environmental  impact  of 
agricultural  practices,  reduction  and  optimal  use  of  inputs,  uses  for  set-aside  lands, 
adaption of production chains. 

The utilisation of biotechnology,  combined with traditional methods should lead to the 
creation of new genotypes in the area of animal production, of new varieties and hybrids, 
more  resistant  and/or  giving  improved  yield  (especially  for  non-food  uses)  and better 
quality. 

These activities, of which the results should be directly applicable to agriculture will be 
complementary  to  those  of  a  more  fundamental  character within  the  "Biotechnology" 
programme and also to those of commercial application within the area above of Generic 
Science. Emphasis will be placed on enhancing the value of products and by-products of 
agriculture, implementation  of  new methods of biological  protection  of  crops, creation 

17 

3ev<7 

of  new  genotypes  or  varieties  leading  to  a  reduction  in  use  of  inputs,  by  means  of 
biotechnology and use of micro-organisms and resulting in  reduced  costs of  production. 
This  aspect  is  of  particular  importance  in  the  area  of  competitiveness  of  agricultural 
products  and  their  eventual  non-food  utilisation. 

In support  of the management  of the CAP, research work will also be directed  towards 
the methods of controlling the implementation  of regulations, improvement of means of 
following  and  managing  markets  and  analysis  of  the  ex-ante  and  ex-post  impact  of 
instruments  of  the  CAP,  the  elaboration  of  economic  forecasting  models  or  other 
instruments  of  quantitative  analysis,  on  information  systems  and  decision  support  for 
farmers  and  decision  makers. 

Quality  policy  :  In  the  area  of  quality  products  and  the  support  of  new  Community 
regulation  instruments  (labels  of  origin,  geographical  indications  and  specific  product 
types, biological  agriculture)  research  should  identify  and  characterise  the  criteria,  the 
products  and  quality  chains, define  and  diffuse  the  conditions  which  assure  as  high  as 
possible  income  for  primary  producers. 

Work will be carried  out particularly on the improvement  of methods of quality control 
of  primary  products, increasing  the value added,  and  its benefit  to  all operators  of  the 
chains, on the primary concept of 'total quality', on analyses of the consumer  behaviour, 
on  the scientific  bases for  the  promotion  of agricultural  primary  products. 

Diversification  of production, farming sector activities and new land uses : Diversification 
of  production  and  the  farming  sector  activities as well as  new  uses of  agricultural  land 
require  a  research  effort  for  the  identification  and  analysis  of  all  possibilities,  without 
exception  (food  and non-food).  Likewise the technical and  economic references will be 
equally  defined  and  contribute  to  the  highest  possible  development,  favouring  a 
multidisciplinary  approach  in this  context. 

It will  be  necessary  to  strengthen  the  scientific  base  relating  to  diversification  and  re 
orientation  of  production  towards  food  and  non-food  products  (including  renewable 
energies) and well as the development of complementary  activities for  farmers  (eg agri-
tourism, farm crafts, agri-forestry, etc).  Particular attention will be given to the economic 
viability and the compatibility of these new primary productions and activities with regard 
to respect  for  the  environment. 

Animal  and  plant  health,  animal  welfare  :  Research  should  provide  scientific  and 
technical  support  for  the  development  and  management  of  Community  norms  and 
regulations especially in the context of the large Internal Market and the responsibilities 
of the Commission in the areas of plant and animal health as well as disease control and 
agricultural  pests. 

Of  particular  importance  will  be  scientific  support  for  hygiene,  detection,  diagnosis, 
evaluation  of  risks, epidemiology  of diseases and  prevention  and  control  measures,  the 
analysis of aspects relating to animal well being, optimisation of factors relating to animal 
feed,  as  well  as  research  in  support  of  approval  relating  to  phytosanitary  and  animal 
health  products  so  as  to  improve  the  safety  of  the  users  of  these  products  and  of 

18 

consumers. 

Utilisation of biotechnology  should also contribute to the development  of detection  tests 
and  diagnostic  methods  to  combat  animal  and  plant  diseases. 

Multifunctional  management of forests : Following the United Nations Conference  on the 
Environment and Development, the Community is resolutely committed to the protection 
and sustainable development of forests.  At the Ministerial conferences on the  protection 
of  forests  in  Europe  (Strasbourg  1990  and  Helsinki  1993)  it  is  committed  to  actively 
contribute  to  a  series  of  co-ordinated  activities  at  European  level  leading  to  improved 
protection  and  an  ecologically  viable  management  of  forest  resources.  In  this  context, 
but also in keeping with the implementation of agriculture and forestry  measures  agreed 
as  part  of  the  reform  of  the  CAP,  the  priorities  for  forestry  research  should  be  : 
improvement  of  the  knowledge  base 
implementation  of  sustainable 
management of forests, functioning of forest eco-systems, development and  improvement 
of  agro-forestry  systems,  integration  of  the  multiple  functions  of  forests. 

leading  to 

Rural development  : Research must provide the scientific support for the  implementation 
of the  Community  policy of  rural development  which will evolve  significantly  during  the 
period 1994-1999.  Themes which will be important are the following : tool  methodologies 
for  the  assessment,  monitoring  and  evaluation  of  rural  development  programmes  and 
measures,  analysis  of  policies  to  improve  agricultural  structures  and  rural  development, 
typology  of  rural  zones,  identification  of  key  socio-economic  indicators,  analysis  of 
principal  problems,  potentials  and  constraints,  introduction  of  new  technologies  and 
diversification  of  activities  in  fragile  rural  areas  (especially  objectives  1  and  5b), 
identification  and  mobilisation  of  partners  and  organisations  likely  to  be  efficient 
participants  in rural development  activities,  models  of  economic  development  based  on 
an integrated  approach  and  using  local  potential. 

In  a  general  manner,  particular  attention  will  be  given  to  economic  viability  and  its 
compatibility  with  the  protection  of  the  environment. 

Fisheries  and  Aquaculture 

The  overall  objective  is  to  allow  a  better  knowledge  and  understanding  of  the  marine 
ecosystem,  especially  the  interactions  between  the  environment,  fishing  activities  and 
aquaculture  (including  the  development  of  technology  which  reduces  environmental 
impact), in order to establish conditions leading to a balanced exploitation of the  fisheries 
and  aquaculture  resources  of  the  Community.  Socio-economic  considerations  are 
recognised  as  an  integral  part  of  the  programme,  together  with  the  associated 
requirement  to  develop  appropriate  methodologies  for  evaluating  fisheries  and 
aquaculture  policies. 

Work  in  this  sector  will  be  targeted  on  five  areas : 

Impact  of  environmental  factors  on  marine  resources:  The  objective  is  to  generate  a 
better  understanding  of  the  influence  of  environmental  factors  on  key  biological 
parameters  (recruitment,  distribution,  natural  mortality  etc.).  This  work,  where 

19 

*>(. 

appropriate,  will  link  with  activités  within  the  Marine  Science  and  Technology 
Programme. 

Environmental impact of fisheries and aquaculture activities: The objective is to generate 
a better knowledge and understanding of the effects  that fisheries and  aquaculture  have 
on  the  ecosystem  against  the  background  of  other  perturbations  in  the  environment 
caused by natural (e.g. hydrographie) and anthropogenic factors other than fisheries (e.g. 
pollution, eutrophication, gravel extraction) with the aim  of ensuring  the conditions  for 
a balanced  exploitation  of fisheries and  aquacultured  resources  at  the  Community. 

Biology  of  species  for  optimisation  of  aquaculture:  The  work  under  this  heading  will 
contribute to a better knowledge of the biology of aquatic species, with the objective  to 
make the industry economically profitable without being detrimental to the environment. 
Special emphasis will be put on the genetic adaptation of aquacultured species, together 
with pathological issues and multi-disciplinary approaches. Furthermore, investigation of 
new species as a  mean of diversification  will be  promoted. 

Socio-economic  aspects  of  the  fishing  industry:  The  objective  is  to  generate  better 
knowledge  and  understanding  of  the  operation  and  management  of  all  sectors  of  the 
fishing industry  including  connected  industries.  Particular  emphasis  will  be  placed  on 
multi-disciplinary studies. 

Improved methodology: The aim is the improvement of existing methodologies with em 
phasis on the collection of data and the development of new instruments and techniques. 

OBJECTIVES ADDRESSED BY CONCERTATION 

In  areas  where  Member  States  have  extensive  programmes,  the  focus  will  be  on 
concertation of these efforts in order to optimise the overall efficiency.  This concertation 
will be executed by establishing European networks which will bring together most of the 
relevant  actors in the  field.  Examples  of areas where this is appropriate  are  : 

Primary  production  in  agriculture,  forestry,  fisheries  and  aquaculture  with main 
emphasis  on  competitiveness,  siistainability,  quality,  security  of  supply  and 
interactions with the  environment; 
Rural and coastal development  : The RTD activities at Member State level, which 
could  be  relevant  to  rural  and  coastal  development,  are  quite  disperse.  By 
providing  a  European  forum  in  the  area  of  research  for  the  exchange  of 
experience, know how and methods, European concertation activities will help to 
develop  innovative  approaches  to  overcome  the  problems  of  these  regions. 
Special  attention  will  be  paid  to  the  opportunities  offered  by  new  economic 
activities in rural and  coastal regions, training, as well as the  assessment of  their 
socio-economic and  environmental  impact; 
Food production and processing  : Networks will be created which better integrate 
research  on-going at  national  level  especially bringing together  research  in  food 
production,  safety,  health  and  socio-economic  aspects  and  incorporating  this 
experience with food  processing. 

20 

v  </ 

This  pooling  of  experience  should  create  synergistic  effects  of  benefit  to  primary 
producers, processors, consumers and the other actors in rural and costal development. 

In conclusion  the actions within this programme  seek  to  extend  the  application  of  the 
basic technologies developed in biotechnology and biomedicine and also as appropriate 
in environment, energy and targeted socio-economic research. 

In certain  areas  of  competence,  complementary  activities  will  be  implemented  by the 
JRC, in close collaboration with national laboratories, particularly in the areas of analysis 
and technical support to the CAP and CFP. 

21 

3 d -9 

INDICATIVE BREAKDOWN OF THE AMOUNT AMONG THE AREAS 

ANNEXE 

Objectives requiring concentrated means 

AREA  1 

Integrated  production and processing chains 

AREA 2 

Scaling-up and processing methodologies 

AREA 3 

Generic sciences and advanced technologies for 
nutritious foods 

AREA 4 

Agriculture, forestry and rural development 

AREA 5 

Fisheries and aquaculture 

Objectives addressed by concertation 

AREA 6 
(of which 2% to fisheries, 3% to agriculture and 3% to agro-industrial research) 

14-16% 

6-8% 

15-17% 

36-38% 

16-18% 

8% 

The breakdown above does not exclude that projects could cover more than one area. 

TOTAL 

100%,23< 

3,3% will be allocated to personnel costs and 4.0% to administration costs 

6 MECU will be allocated  to dissemination activities and valorisation of  results 

Between  4  and  8%  of  credits  will  be  allocated  to  horizontal  demonstration 
activities; between 1 and 2% of credits will be allocated to the horizontal activities 
on ethical, social and legal aspects; between 5 and 7% will be allocated to training 
activities. 

An amount of 77 MECU which is the difference  between the estimated amount 
necessary for this programme and the amount foreseen within the 4th Framework 
Programme of  RDT for agriculture and fisheries  (including agro-industry,  food-
technologies, sylviculture, aquaculture and rural development), is specified in the 
"specific  programme  of  RDT  to  be  realized  by  means  of  direct  actions  and 
support  activities  for  S/T,  which  form  part  of  a  framework  of  competitive 
approach". 

23 

366 

ANNEX  m 

RULES FOR IMPLEMENTING THE PROGRAMME 

1. 

The rules for the financial  participation by the Community are set out in Annex 
IV of  the Decision adopting the Fourth Framework Programme. 
The  rules  for  the  financial  participation  of  undertakings,  research  centres, and 
universities, as well was the rules governing the dissemination of research results, 
are specified  in the measures foreseen in Article  130 J of the Treaty. 

However,  for  the  purpose  of  implementing  this  programme,  the  following 
exceptions shall apply : 

Participation  in  this  programme  is  open,  with  financial  support  from  the 
Community : 

a.  to all legal entities, established and regularly carrying out RTD activities 

- 
- 

in the Community, or 
in a third country associated, wholly or in part, with the implementation of 
the  relevant  programme  through  an agreement  concluded  between  the 
Community and the said third country 

b.  to the Joint Research Centre. 

Participation  in  this  programme  is  open,  without  financial  support  from  the 
Community,  and  on  condition  that  their  participation  is  in  the  interests  of 
Communities policies : 

a.  to legal entities established in a country which has concluded a scientific and 
technical  co-operation  agreement  with the  Community  relating  to  activities 
covered by the programme, provided the participation accords with the terms 
of  the agreement, 

b.  to legal entities established in a European country, 
c.  to international  research organisations. 

The participation of European international organisations may be financed on the 
same basis as that for Community organisations in duly specified  cases. 

2. 

This  programme will be implemented through: 

2.1 

Shared cost actions including the following types: 

the RDT projects carried out by enterprises, research centres and universities, 
including consortia for integrated projects which work on a common subject; 

the basic research projects within the thematic networks to be created around 
generic  technologies  of strategic importance,  involving enterprises,  research 
centres and universities; 

25 

y&f. 

technological  stimulation  which  should  encourage  and  facilitate  the 
participation  of  SMEs  by  supporting  the  exploratory  stage  (including  the 
search for partners) of RTD actions and by cooperative research. This award 
will be granted after selection of outline proposals which may be submitted at 
any time; 

support of financing infrastructures or facilities necessary for the performance 
of a coordination action (reinforced coordination activity); 

demonstration  activities,  as  defined  in  Annex  III  of  the  Framework 
Programme,  intended to overcome the  obstacles  hindering the utilisation of 
new technologies and to build the bridge between technology producers and 
users.  Feasibility  awards and direct assistance  to  those  who get  involved in 
these  technologies may also be included. 

2.2 

2.3 

•  ' Concerted  actions,  which  coordinate,  in  particular  through  concertation 
networks,  RTD  and  demonstration  projects  already  funded  by  public 
authorities or private organisms. The concerted actions may also perform the 
coordination needed for thematic networks which, through RTD shared cost 
actions  (cf.  2.1,  first  indent),  bring  together,  focusing  on  the  same 
technological  or  industrial  goal,  producers,  users,  universities  and  research 
centres. 

Specific  measures,  such  as  those  encouraging  standardization,  and  those 
measures  intended  to  set  up  general  service  tools  for  research  centres, 
universities and enterprises. Community contribution will be  up to  100% of 
the costs of these measures. 

2.4 

Preparatory, accompanying and support measures, include the following types: 

-  studies in support of this programme and in preparation of possible future 

actions; 

-  conferences, seminars, workshops or other scientific or technical meetings, 

including intersectoral or multidisciplinary coordination meetings; 
-  use of external expertise,  including access to scientific  data bases; 
-  scientific publications, including dissemination, promotion and exploitation 
of results (in coordination with the activities carried out in the 3rd Action); 

26 

368 

-  assessment  studies  of  socio-economic  implications  and  also  of  possible 
technological risks associated with all projects of this programme and in co 
ordination with the programme Targeted Socio-economic Research; 
training activities linked to the research carried out under this programme; 
independent evaluation (including studies) of  management and results of 
programme activities; 

- 
- 

-  measures of support to the operation of networks for increasing awareness 
and for decentralised  assistance  in favour of  SMEs,  in coordination with 
the Euromanagement-RTD  audit actions. 

The dissemination and exploitation of results obtained in this programme will 
be  complementary  to  those  carried  out  by  the  3rd  Action  and  will  be 
implemented in close coordination with it  The networks of partners of RTD 
projects  are  the  principal  mechanisms  of  dissemination  and valorisation  of 
results. They will be reinforced with publications, conferences,  promotion of 
results,  studies  of  the  techno-economic  potential,  etc..  In  order  to  ensure 
optimal  exploitation,  all those  factors which may facilitate  the  utilisation of 
results will be  considered  at the start of  the  projects  and whilst they are in 
progress. 

27 

U°> 

SPECIFIC PROGRAMME OF RESEARCH AND 
TECHNOLOGICAL DEVELOPMENT AND  DEMONSTRATION 
IN THE FIELD OF AGRICULTURE AND FISHERIES, 
(INCLUDING AGRO-INDUSTRY,  FOOD TECHNOLOGIES, 
SYLVICULTURE, 
AQUACULTURE AND RURAL DEVELOPMENT) 

Financial Statement 

5fc 

Financial Statement 

1.  TITLE OF THE  OPERATION 

Specific programme of research and technological development in the areas of agriculture 
and fisheries  (including agro-industry,  food  technologies,  forestry  aquaculture and rural 
development). 

2.  BUDGET  HEADING  CONCERNED 

B6-7143 

3.  LEGAL  BASIS 

« 

Article  130 i of  the Treaty  of  the European  Union. 

s 

Council  Decision  on  the  4  FWP  for  Community  actions  of  research  and  technological 
development  and demonstration  (1994  -  1998). 

4.  DESCRIPTION  OF THE  ACTION 

4.1.  General  objectives  of  the  action 

Implementation  of  research  and  technological  development  projects  including 
demonstration and promoting co-operation between and with enterprises,  research 
centres and universities  within the areas of  the programme. 

To contribute to the improvement of the competitiveness of European agro-industry 
and primary production  by the development of  new technologies  compatible with 
sustainable  growth  and taking  account of  the needs of consumers. 

To  improve  the quality of  agricultural,  forestry  and  fish  products  in general  and 
food products in particular. 

To contribute to the implementation  of  the common agricultural  policy  and other 
Community policies  (internal  market and environment),  rural development  and to 
maintain employment  in  rural areas. 

To contribute to a better match between the production and utilization of biological 
primary  materials. 

4.2.  Areas  covered  bv  the  programme 

The  activities  which  will  be  covered  are  agriculture  and  fisheries,  processing 
industries,  food  technologies,  forestry,  aquaculture and rural  development. 

^#i 

4.3.  Period  covered  by the  action 

1994  -  1998 

5.  CLASSIFICATION  OF THE  EXPENDITURE 

NCE/DA 

6.  TYPE  OF  EXPENDITURE 

Studies/subventions  : 

Direct actions  will  be  financed  in principle at 100% 

Concerted  actions  may  include a participation  of  up to  100% of  the concertation 
costs. 

Subventions for  co-financing with participation from the public  and/or private  sector  : 

Shared  Cost  Actions  within  which  the participation  should  normally  not  exceed 
50% 

^ 

Universities and other research centres which participate in RTD projects and that 
according  to the Commission  cannot justify  their total  costs  with  sufficient  detail 
by  means of  an analytical  accounting  system  will be financed up to  100  %  of  the 
additional costs. 

Other shared cost actions (for example,  networks,  training,  feasibility  awards and 
accompanying  measures)  will  be  financed  up  to  100  % of  either  the  additional 
costs  or the total costs  of  the action. 

Personnel and  administration expenses 

This expenditure includes expenditure on statutory personnel,  studies,  meetings of 
experts, conferences and congresses,  information, publications, administrative and 
technical  operation  as  well  as  other  expenses  on  internal  infrastructure  and 
operation  linked to the realisation  of the action of which  they are an integral  part. 

7.  FINANCIAL  IMPACT 

7.1.  Method  of  calculating  total  cost  of the  action 

* 

Personnel expenditure: 20.03 MioECU (3.30 % of the sum of 607 MioEcu deemed 
necessary  ) 

The personnel  situation  in  1994  is  maintained,  i.e.,  46 posts. These  posts are distributed 
as  follows:  20A  +  10B  +  16C. 

H 

New  posts  will  be  added  to  the resources  table  in  1995,  1996 and  1997 depending on 
budgetary constraints. The new posts are justified  by the configuration of the programme, 
which  in  relation  to  the  3rd  FP  involves  new  areas  of  activity,  namely  technological 
stimulation,  scaling-up and down-stream  processing,  and concertation  networks. 

It is important to note that the personnel of this specific programme will also be in charge 
of the scientific and contract management of actions initiated in the context of the 3rd FP. 

* 

* 

Administration expenditure, including non-statutory personnel: 24.28 MioEcu (4% 
of the sum of 607 MioEcu deemed  necessary  ) 

Intervention  expenditure:  562,69  MioEcu  (92.70%  of  the  sum  of  607  MioEcu 
deemed  necessary),  including expenses associated  to accompanying  measures, to 
evaluations and concertation activities. 

7.2 

Break-down  bv elements of the cost of the action (MECU) 

r 

Objectives requiring concentrated means 

Integrated  production  and processing chains 

84.98-97.12 

14-16 % 

Scaling-up and processing  methodologies 

36.42-48.56 

6-8 % 

Generic  science and advanced  technologies 

for  nutritious foods 

91.05-103.19 

15-17% 

Agriculture,  forestry  and  rural  development 

218.52-230.66 

36-38 % 

Fisheries and aquaculture 

97.12-109.26 

16-18% 

Objectives  reached  by concertation 
(of which  2  % to fisheries, 3  % agriculture and 3  % agro-industrial  research) 

48.56 

8 % 

TOTAL 

607.00 

100  %  u«3 

(1) 

(2) 

(3) 

Including  20.03  MioEcu  (3.30  %)  for  personnel  expenditure  and  24.28  MioEcu  (4.00  %)  for 
administration  expenditure. 

This sum  includes expenditure for  valorisation  and diffusion  of results for  6 MioECU  of the total sum 
deemed  necessary. 

To  this  sum  47  MioEcu  have to be added  for  the JRC  programme of the CE and 30 MioEcu  for the 
scientific  support  and competitive  approach. 

Sfi 

7.3 

Indicative schedule of credits  (MECU) 

The  schedule  will  be  established  on  the  basis  of  the  overall  amounLs  for  the  fourth  framework 
programme adopted  indicatively  for  the periods  1995-96 and  1997-98 at  the conciliation  meeting on 
21 March  1994. The  RTD appropriations for  each  financial  year will be  proposed  and adopted  each 
year on  the basis of  the resources available in the context of  the  financial  perspective. 

Payment  Credits 

1995 

1996 

1997 

1998 and 
after 

TOTAL 

Commitment 
Credits 

1995 

1996 

1997 

1998 

115.00 

185.00 

155.00 

152.00 

20.24 

21.70 

48.96 

20.87 

43.26 

37.82. 

52.19 

92.78 

117.18 

152.00 

115.00 

185.00 

155.00 

152.00 

TOTAL 

607 

20.24 

70.66 

101.95 

414.15 

607.00 

8. ANTI-FRAUD  MEASURES 

There are many administrative and financial controls at each stage of the signature and implementation 
of  research  contracts.  Among these controls  are  the  following: 

At  the stage prior  to  the  conclusion of  the contract  : 

Initial selection of proposals based on the scientific merit of the project  and on the realism of 
research  costs relative to the content  and duration  of the  project. 
Analysis  by  negotiators  of  financial  details  submitted  by  the  proposers  in  the  contract 
negotiation  forms. 

After  signature of  the  contract : 

Examination  of  expenditure  statements  before  payments  at  a  number  of  levels  (financial 
officer,  scientific  officer). 
On site audits which should  allow by examination  of the supporting documents the  detection 
of errors and other irregularities.  In order to improve the efficiency  of these controls DG XII 
established  in  July  1991  an  audit  unit,  which  will co-ordinate  all  controls  which  are  taking 
place. These controls are carried out either by members of this audit unit or by audit firms with 
which the Commission has concluded a contract, under the supervision of personnel from  this 
audit  unit. 

9. 

BASIS FOR  COST-EFFECTIVENESS  ANALYSIS 

9.1 

Specific  and quantifiable  objectives, target  population 

Optimisation  of  the  production  chains  of  food  and  non-food  products  (including  secondary 
products)  from  raw materials of  biological origin,  and  optimisation  of  the  production  of by 
products.  Interdisciplinary  groups  involving  raw  material  producers,  final  product  users  and 
technological/scientific  experts would take part in this activity. The  principal beneficiaries will 
be farmers  who will find  applications  for  their  products and  the  processing  industries. 

* fa 

Development  by engineers and producers of chemical and food products, of  industrial 
processes,  chemical  reactors,  fermentation  processes,  physical  treatments,  separation 
processes, etc. from laboratory scale results. The principal beneficiaries will be  mafnly 
SMEs  and large  enterprises  which produce  foodstuffs  as well  as specialised  chemical 
and  pharmaceutical  products. 

Scale-up  and  down-stream  processing,  quality  quantification,  control  methods,  basic 
food  science  and  nutrition,  in-vivo  and  in-vitro  functionality,  new  production 
technologies,  products  and  equipment,  and  implications  of  these  developments  on 
their acceptability by consumers.  Food technologists, food producers (large enterprises 
and  SMEs)  as  well  as  scientists  from  a  number of  fields,  e.g.  biochemistry,  nutrition, 
analysis,  etc.  and  experts  on  consumer  behaviour  will  participate  in  these  activities. 
The  consumers  and  SMEs  will  benefit  most  from  this  activity. 

Development  of  agricultural  production  systems  and  of  new  economically  viable 
chains, which are compatible with environmental  protection  and maintain a  sufficient 
level  of  employment.  Development  of  quality agricultural  products,  diversification  of 
food  and  non-food  production  as well  as  new  production  technologies  at  lower  cost. 
Farmers,  researchers  and  cooperatives  and  enterprises  that  transform  raw  materials 
will  benefit  from  this  activity. 

Development  of  rational  criteria  for  the  exploitation  of  fish  resources  taking  into 
account thé environment, inter-and intra-specific interactions, socio-economic aspects, 
fishing  technologies,  new  methodologies  in molecular  and  cell  biology,  etc.  Fisheries 
managers, researchers  and cooperatives and enterprises that transform  raw materials 
will  benefit  from  this  activity. 

9.2 

Justification  of  the  operation 

9.2.1  Need  for  the  Community  intervention 

The  optimisation  of  production  chains  and  the  development  of  new  industrial 
processes require significant financial resources (large projets by concentration means) 
and  the  collaboration  of  multidisciplinary  teams  which  are  better  realised  at 
community  level  than  at  national  level.  The  participation  of  SMEs  from  the  less 
favoured  regions  in  these  activities  will  have  a  positive  impact on  the  economic  and 
social  cohesion  of  the  Community. 

There  is  an  obligation  to  satisfy  the  needs  of  consumers  and  the  internal  market  for 
better  information  as well  as  health  and  safety  aspects  of  foodstuffs.  In  fields  where 
the national activities are insufficient  (diet and health relations, prenormative research, 
nutritional  properties,  etc.),  there  is  a  necessity  to  provide  concentrated  means  in 
order  to  have  effective  transnational  collaboration  and  multidisciplinary  teams. 

For  the  success  of  the  common  agricultural  policy  and  to  increase  the  economic  and 
social  cohesion  of  the  less  favoured  regions,  it  is  necessary  to  create  and  develop 
markets  and  quality  products  acceptable  to  the  users,  for  raw materials  produced  by 
farmers,  fishermen  and forestry. An  integration  of the activities of this programme by 
concentrated  means,  with  the  regional  policy  (improvement  of  the  technological 
infrastructure)  of  the  Community  and  national  activities  (concertation  networks)  is 
necessary  to  achieve  the  objectives. 

2>*S" 

9.2.2  Intervention  modalities 

The Community  interventions  proposed  in  the agricultural,  fisheries  and  agro-industrial 
sectors  represent  a  very  small  percentage  of  the interventions  of  the  Member  States and 
the private sector.  This implies that the areas of  work and intervention  modalities chosen 
after  consultation  will  be  focused  on  sectors  where  the  added  value  of  the  transnational 
cooperation  is higher.  The intervention  modalities are: 

(i) 

Concentrated  actions covering  the following  modalities: 

RTD  and  demonstration  projects  executed  by  enterprises,  research  centres  and 
universities,  including  consortia  of  integrated  actions  focusing  on  common  themes.  The 
size of  the projects  will  be sufficiently  large  for  them  to have a significant  impact  in  the 
relevant area; 

technological  stimulation  via cooperative  research  to allow  groupings  of  SMEs  to  solve 
common technological  problems through  transnational  cooperation  and a flexible  system 
of  selection of  proposals; 

(ii) 

Concertation:  to  coordinate  mainly  via  concertation  networks  RTD  projects  including 
demonstration  projects  already  funded  by  public  authorities  or  private  institutions. 
Concerted  actions can also be useful  for the coordination  of  thematic networks which via 
RTD shared cost projects which can put together around a common objective with a large 
number of partners; 

(iii)  Accompanying  measures  such  as  workshops,  conferences,  publications,  missions  and 
studies to improve the dissemination of  research results and to increase the quality of the 
proposals  submitted to the programme.  Training of researchers  in the fields of activity  of 
the programme will  be encouraged  by  individual grants. 

9.2.3 

Principal  factors  of  uncertainty  that  may  affect  the  specific  results  of  the 
operation 

Factors  inherent  to  the  execution  modalities  of  the  programme:  the  competitiveness  of 
modern research  implies that it has to be planned,  executed,  adapted and exploited  under 
rapid and  flexible  conditions  which  are not always  possible at Community  level. 

Factors inherent  in the nature of  the programme:  this programme will  promote a bottom 
up approach  which allows enterprises,  cooperatives  researchers  to spontaneously  submit 
projects and actions  which  are considered  most necessary  and  innovative. 

This  approach  has  the  advantage  of  allowing  proper  utilisation  of  the  experience,  the 
creativity  of  the  technological  and  scientific  experts  responsible  for  research,  as  well  as 
allowing better exploitation of results.  Its weakness is that it makes it difficult to anticipate 
scientific  and  technological  gaps. 

However, considering the achievements of the current programme  'Agriculture and agro-
industry,  including fisheries' it can be expected that the objectives of the programme will 
be attained. 

Vé 

9.3  Monitoring and  evaluation  of the  operation 

9.3.1  Types and schedule  envisaged 

The action  will be monitored  by the services of the DG responsible  for  the execution of 
the programme with the assistance of the programme committee. 

During the second  year of the programme the Commission  will evaluate it. 

In order  to contribute to the overall evaluation of the Community activities envisaged in 
Article 4.2  of  the decision  adopting  the forth  framework  programme,  the  Commission 
proceeds  in  due  time and  via  independent  experts,  with  the evaluation  of  the activities 
carried  out  in  the field directly  covered  by  this programme  as  well  as  its  management 
during the five years prior  to the evaluation. 

When the programme expires the Commission proceeds via independent experts with the 
final  evaluation of the results obtained with respect to the objectives defined  in Annex III 
of  the forth  framework  programme and  Annex  I  of  the programme decision.  The final 
evaluation  report  is  transmitted  to  the  Council,  to  the  European  Parlament  and  to  the 
Economic and Social Committee. 

9.3.2  Evaluation  of the results  obtained  by the current  operations 

During the first two years of the current programme 
+/- 250 contracts for shared cost 
research  projects  were  signed  and  +/-  50  concerted  actions  have  been  funded.  Two 
reports  including  summaries  of the projects  selected  and progress  made were published 
in  1992 et 1993 and widely disseminated amongst research centres, enterprises and public 
organisations concerned.  In average 20 % of the  proposals submitted  have been  funded. 

The first scientific  results are expected  in  1994 and these will be published. 

A call  for  tenders  to carry  out the mid-term  evaluation  of  the programme was launched 
in  January.  The  evaluation  will  probably  commence  in  March  and  the  results  of  the 
evaluation  will be available two months later. 

The following improvements are expected in the execution of the Agriculture and fisheries 
including agro-industry,  food  technologies,  forestry,  aquaculture and  rural  development 
rural  programme  : 

Facilitate the participation  of  SMEs in the programme. 

Simplify  the preparation  of proposals and contract negotiations. 

Focus the scope of calls for  proposals  to diminish the rejection  ratio. 

Improve the collaboration  with intermediary  organisations at local,  regional and national 
level  in  matters  related  to  the  dissemination  of  information  and  to  help  with  the 
preparation  of proposals and  in the search  for partners. 

3 ** 

Proposal  for  a 

COUNCIL  DECISION 

94/0089(CNS) 

adopting a specific  research,  technological 

development  and  demonstration  programme  in  the 

field  of  non-nuclear energy 
"Technologies  for  cleaner  and  more  efficient 

energy  production  and  use" 

(1994-1998) 

iiv 

PROPOSAL FOR A  COUNCIL  DECISION 
of... 

adopting  a specific  research,  technological 

development  and  demonstration  programme 

in the  field  of  non-nuclear  energy: 

"Technologies  for  cleaner  and more  efficient 

energy  production and use" 

(1994-98) 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130i(4)  thereof, 

Having  regard  to the proposal  from  the Commission,1 

Having  regard  to the opinion of  the European  Parliament,2 

Having  regard  to the opinion of  the Economic  and Social  Committee,3 

Whereas,  by  Decision  ../../EC,4  the  Council  and  the  European  Parliament  adopted  a  fourth 
framework  programme  for  Community  activities  in  the  field  of  research,  technological 
development and demonstration (RTD) for the period  1994-98 specifying  inter alia the activities 
to be carried out in the field of non-nuclear energy;  whereas this Decision takes account of the 
grounds  set out in the preamble to that Decision; 

Whereas  Article  130i(3)  of  the  Treaty  specifies  that  the  framework  programme  shall  be 
implemented through specific  programmes developed within each activity under the  framework 
programme  and  that each  specific  programme  shall  define  the detailed  rules  for  implementing 
it,  fix  its duration and provide  for the resources  deemed  necessary; 

Whereas  this  programme  will  be  carried  out  mainly  through  shared-cost  activities,  concerted 
activities  and preparatory,  accompanying  and support measures; 

OJNo  ...,  ...,  p. 
OJ No  ...,  ...,  p. 
OJ No  ...,  ...,  p. 
OJ No  ...,  ...,  p. 

-  1 -

2>f9 

Whereas,  in  accordance  with  Article  130i(3),  an  estimate  should  be  made  of  the  financial 
resources  needed  to  carry  out  this  specific  programme;  whereas  the  final  amounts  will  be 
decided upon by the budgetary authority in accordance with the relative priority assigned  to the 
area covered  by  this programme within activity  I under the  fourth  framework  programme; 

Whereas  Decision  .../.../EC  (fourth  framework  programme)  lays  down  that  the  overall 
maximum amount of  the fourth  framework programme will be reexamined by 30 June  1996 at 
the latest with a view  to its being increased;  whereas,  as a consequence of this reexamination, 
the amount deemed  necessary  to carry  out this programme could  increase; 

Whereas the promotion of energy technologies, including the demonstration of those technologies 
and pursued  by  Regulation  2008/90,  ends on  31  December  1994,  it is desirable  to assure that 
the demonstration  activities continue after  this date; 

Whereas  the objective of  the Community's activities  in  the field of  non-nuclear  energy  must 
be to design and demonstrate efficient,  cleaner and safer technologies to make energy production 
and  use  compatible  with  the  balance  of  nature  and  with  the  various  aspects  of  economic 
development  (competitiveness  and economic and social cohesion); 

Whereas  the employment  situation in the Community  and the competitiveness  of  the European 
industry may be substantially improved by the development and by a wider utilization of  efficient 
energy  technologies; 

Whereas  the  Council  Resolution  of  16 September  1986  stipulates  that  one  of  the  horizontal 
objectives  of  the  energy  policy  of  the  Community  is  continuous  and  reasonably  diversified 
promotion of  technological  innovations and appropriate dissemination  of  the results throughout 
the  Community;  whereas,  despite  the  current  energy  situation,  the  efforts  to  diversify  the 
Community's sources of supply and to improve energy efficiency  must not be relaxed;  whereas 
RTD  helps  to  achieve  these  objectives  and  to  provide  greater  protection  for  the  environment 
against the impact of  energy  technologies; 

Whereas the Community's  1973,  1977,  1983 and  1987 action programmes on the environment 
stress  the importance of  reducing  and preventing  air pollution;  whereas  climate change is one 
of the central issues covered by the 1993 Community programme of policy and action in relation 
to the environment and sustainable development,  which places the accent on the need for action 
in the relevant branches of  the economy  to limit emissions of  C02  and other greenhouse gases; 

Whereas  at  its  meeting  in  Dublin  in  June  1990  the  European  Council  called  for  the  earliest 
possible adoption of  objectives  and strategies  to limit emissions  of  greenhouse gases; 

-2  -

Vèo 

Whereas  RTD  projects  to  harness  the  potential  indigenous  energy  resources  of  individual 
regions, particularly of the less-developed  regions, helps to strengthen  the economic and social 
cohesion  of the Community,  an objective  which, pursuant  to Article  130b of  the Treaty,  must 
be taken  into  account  in  the  implementation  of  the Community's  policies  and  of  the  internal 
market; 

Whereas the present programme can contribute significantly  to the economic growth, to the re-
enforcement  of  the competitiveness  and to the development of employment in the Community 
as stated  in the White Paper  "Growth,  Competitiveness,  Employment".3 

Whereas  the content  of the fourth  framework  programme for  Community  RTD activities was 
established  in accordance with the subsidiarity principle; whereas this specific programme sets 
out  the content  of  the activities to be carried  out in accordance  with  this principle in the field 
of  non-nuclear  energy; 

Whereas Decision  .../.../EC (fourth  framework  programme) lays down that Community action 
is justified  if,  inter alia, the research  helps to reinforce the economic and social cohesion of the 
Community and  to encourage  its harmonious development  while at  the same time meeting  the 
objective  of scientific and technical quality;  whereas this programme is intended to help meet 
these objectives; 

Whereas this programme will help to strengthen synergy between the RTD activities carried out 
in the field of non-nuclear energy by research centres, universities and enterprises, in particular 
small  and  medium-sized  enterprises,  in  the  Member  States  and  between  the  latter  and  the 
corresponding  Community RTD activities; 

Whereas the rules for the participation of undertakings, research centres (including the JRC) and 
universities  and  the  rules  governing  the  dissemination  of  research  results  specified  in  the 
measures provided  for  in Article  130j of the Treaty  apply  to this specific  programme; 

Whereas,  in  accordance  with  Article  130m of  the Treaty,  it  may be appropriate  to engage in 
international cooperation activities with international organizations and third countries other than 
the countries covered by the EEA  Agreement for the purpose of implementing this programme; 

Whereas this programme also comprises activities for the dissemination  and utilization of RTD 
results,  in  particular  targeting  small  and  medium-sized  enterprises,  and  in particular  those in 
Member  States  or  regions  which  participate  least  in  the  programme,  as  well  as  activities 
promoting the mobility and training schemes for researchers within this programme to the extent 
necessary  for  proper  implementation  of the programme; 

COM(93) 700 final of  05.12.93 

-3  -

Whereas provision should be made for measures to encourage the involvement of  SMEs  in this 
programme,  in particular through technology  promotion measures; 

Whereas basic  research  in the field of  non-nuclear  energy  must be  encouraged  because of  the 
particularly  long lead time for energy  technologies between discovery  and characterization  of a 
process  or  product  and  technical  application  and  marketing  thereof,  plus  the  time  to  gain 
acceptance by  the public at large and economic circles; 

Whereas it is  necessary,  as  the fourth  framework  programme indicates,  to assure  the  synergy 
between research  and development  and the demonstration and that the  two phases  of  the RTD 
are integrated into the same energy  RTD  strategy  in the Community. 

Whereas an effective  policy  on  non-nuclear  energy  must take account  of  the various  regional 
dimension's and must be conducted in concertation with the Community policy instruments likely 
to affect the energy scene,  such as the Structural Funds, international cooperation (including the 
Eureka programme) or regulatory  and fiscal  measures; 

Whereas financial support  should  be  granted,  in appropriate  cases,  to projects  to  demonstrate 
advanced energy  technologies; 

Whereas the JRC may participate in the indirect activities  covered  by  this programme; 

Whereas  the JRC will  also  contribute,  through  its  own programme  of  direct activities,  to the 
attainment of  the Community RTD  objectives  in the areas covered  by  this programme; 

Whereas an assessment should be made of the economic and social impact and any technological 
risks associated  with the activities  carried  out under this programme; 

Whereas progress with this programme should be continuously and systematically monitored with 
a  view  to adapting  it,  where  appropriate,  to  scientific  and  technological  developments  in  this 
area;  whereas  in  due  course  there  should  be  an  independent  evaluation  of  progress  with  the 
programme  so  as  to provide all  the background  information  needed  in  order  to determine the 
objectives of the fifth RTD framework programme; whereas at the end of this programme there 
should be a final evaluation of  the results obtained  compared with  the objectives  set out in this 
Decision; 

Whereas the Scientific  and Technical  Research  Committee (Crest)  has been  consulted, 

4 -

ïS€ 

HAS  ADOPTED  THIS  DECISION: 

Article  1 

A  specific  research,  technological  development  and  demonstration  programme  in  the  field  of 
non-nuclear  energy,  as  set  out  in  Annex I,  is  hereby  adopted  for  the  period  from  (date  of 
adoption of  this programme)  to 31  December  1998. 

It covers  both  the  research  and  technological  development  phase  and  the demonstration  phase 
of  the programme. 

Article  2 

1. 

2. 

3. 

4. 

The  amount  deemed  necessary  for  carrying  out  the  programme  is  ECU 967  million, 
including 5,3%  for  staff  and administrative expenditure. 

An indicative breakdown of  this amount is given  in  Annex  II. 

The amount deemed necessary for carrying out the programme, as indicated above, could 
increase as a result of and in accordance with the Decision  referred  to in Article  1(3) of 
Decision  .../.../EC  (fourth  framework  programme). 

The budgetary  authority  shall  determine  the appropriations  available  for  each  financial 
year  in  accordance  with  the  scientific  and  technological  priorities  set  in  the  fourth 
framework  programme. 

Detailed  rules  for  implementing  this programme,  in addition  to those  referred  to in  Article  5, 
are set out in Annex III. 

Article  3 

Article  4 

1. 

2. 

The Commission shall continually and systematically monitor, with appropriate assistance 
from independent, external experts, the progress within this programme in relation to the 
objectives  set  out  in  Annex  I.  It  shall  in  particular  assess  whether  the  objectives, 
priorities and financial resources are still appropriate.  Where appropriate, it shall submit 
proposals  to  adapt  or  supplement  this  programme  depending  on  the  results  of  this 
monitoring process. 

In order to contribute to the overall assessment  of  Community activities provided  for in 
Article 4(2) of the Decision adopting the fourth framework programme, the Commission 
shall,  in  due course,  have an assessment  made by  independent  experts  of  the  activities 
carried  out  in  the  fields  directly  covered  by  this programme,  and of  their  management 
during  the  five  years  preceding  the assessment. 

^#2 

3. 

1. 

At  the  end  of  this  programme,  the  Commission  shall  instruct  independent  experts  to 
conduct a final evaluation  of  the results  achieved  compared  with  the objectives  set out 
in  Annex  III  to  the  fourth  framework  programme  and  Annex  I  to  this  Decision.  The 
final evaluation  report shall be  forwarded  to the Council,  the European  Parliament and 
the Economic  and Social  Committee. 

Article  5 

A  work  programme  shall  be  drawn  up  by  the  Commission  in  accordance  with  the 
objectives set out in Annex I for each one of the two phases of  the programme: research 
and  development  and  demonstration.  This  programme  shall  be  updated  where 
appropriate. 
It  shall  set  out  the  detailed  scientific  and  technological  objectives  and 
specify  the  stages  in  the  implementation  of  the  programme  and  the  corresponding 
financial arrangements. 

The  work  programme  may  also,  where  appropriate,  include  specific  arrangements  to 
improve interaction  with the preparatory  phases of  certain  EUREKA  projects. 

2. 

The  Commission  shall  issue  calls  for  proposals  for  projects  on  the  basis  of  the  work 
programme. 

Article  6 

1. 

2. 

The Commission  shall be responsible  for the implementation  of  the programme. 

In the cases provided for in Article 7(1) the Commission  shall be assisted,  regarding the 
R&D programme, by an advisory committee consisting of representatives of the Member 
States and chaired  by the representative of  the Commission. 

The  representative  of  the  Commission  shall  submit  to  the  committee  a  draft  of  the 
measures to be taken. The committee shall deliver its opinion on the draft within a time 
limit  which  the  Chairman  may  lay  down  according  to  the  urgency  of  the  matter,  if 
necessary,  by  taking a vote. 

The opinion shall be recorded in the minutes; in addition, each Member State shall have 
the right to ask  to have its position  recorded  in  the minutes. 

The Commission shall take the utmost account of the opinion delivered by the committee. 
It  shall  inform  the  committee  of  the  manner  in  which  its  opinion  has  been  taken  into 
account. 

-b%<i 

3. 

Regarding  the Demonstration  part of  the programme,  the Commission  shall be assisted 
by  a committee  consisting  of  representatives  of  the  Member  States  and  chaired  by  the 
representative  of  the Commission. 

The  representative  of  the  Commission  shall  submit  to  the  committee  a  draft  of  the 
measures to be taken. The committee shall deliver its opinion on the draft within a time 
limit  which  the  Chairman  may  lay  down  according  to  the  urgency  of  the  matter.  The 
opinion  is  by  majority  vote  taken  as  laid  down  in  Article  148(2)  of  the Treaty  for  the 
adoption  of  the  Council  decisions  when  called  to  take  a  vote  at  the  request  of  the 
Commission.  The  votes  within  the  committee  are  weighted  according  to  the  weights 
defined  in the article above.  The Chairman  has no vote. 

The  Commission  shall  execute  the  decisions  that  can  be  implemented  immediately. 
However,  if  they  are  not in  accordance  with  the opinion  expressed  by  the Committee, 
the' Commission  must inform  the Council  of  these  measures. 

In that event: 

The Commission may defer application of the measures which it has decided for a period 
of  not  more than one  month from  the date of  such  communication. 

The Council, acting by a qualified majority, may take a different decision within the time 
limit referrred  to in the previous paragraph. 

1-. 

The procedure laid down in Article 6(2)  shall apply to: 

Article  7 

the  conception  and  setting-up  of  the  R&D  work  programme  referred  to  in 
Article 5(1), 

the evaluation of  the R&D projects proposed  for funding  by the Community and 
the Community contribution deemed necessary,  whenever  the cost of  the project 
exceeds  0.5  MECU. 

the  measures  to be undertaken  to evaluate the R&D  programme, 

any changes  to the indicative breakdown of  the amount allocated  as in  Annex II 
regarding  R&D not provided  for by a budgetary  decision. 

7-

2>S'5~ 

2. 

The procedure  laid down  in  Article  6(3)  shall apply to: 

the  conception  and  setting-up  of  the  work  programme  for  the  demonstration 
(including dissemination  activities)  as laid down  in Article 5(1); 

the  selection  of  the  demonstration  projects  proposed  for  funding  by  the 
Community  and  the  Community  contribution  deemed  necessary  whenever  the 
costs  of  the project exceeds  0.5  MECU. 

the  measures  to  be  undertaken  to  evaluate  the  demonstration  part  of  the 
programme. 

- 

all adjustments  to the indicative breakdown  of  the amount allocated  in Annex II 
regarding  the demonstration  programme  which  is  not  provided  by  a  budgetary 
decision. 

3. 

The  Commission  shall  inform  the committees,  at each  of  its  meetings,  of  the progress 
with  the implementation  of  the programme. 

In order  to ensure  synergy  between  the R&D and the demonstration  activities,  the two 
committees  stated  in  Articles  6(2)  and  6(3)  shall  meet  jointly  at  the  Commission's 
initiative,  at  least  once  a  year,  to  discuss  the  strategy  and  common  objectives  and  to 
ensure coherence  in the implementation of  the programme. 

Article  8 

The  Commission  is  authorized  to  negotiate,  in  accordance  with  Article 228(1),  international 
agreements  with  European  third  countries  with  a view  to  involving  them  in  all  or part of  the 
programme. 

Article  9 

This Decision  is addressed  to the Member States. 

Done at Brussels, 

For the Council 
The  President 

8-

186 

CLEAN AND EFFICIENT ENERGY  TECHNOLOGIES 

ANNEX I 

OBJECTIVES AND SCIENTIFIC AND TECHNICAL CONTENTS 

This specific programme fully  reflects the broad lines ofthe fourth framework programme,  and 
applies the selection criteria and spells out the scientific and technical objectives set out in that 
programme. Paragraph 5 of Annex III (first activity) of the framework programme is an integral 
part of this programme. 

Background 

The proposed  agenda for energy  RTD is built on the following  main considerations: 

The  use  of  energy,  its  supply,  its  trade  and  technologies  relevant  to  all  these  aspects  are 
interacting in a unique and complex manner and are a determinant factor  for economic growth, 
quality of life and the environment in a modern economy. Energy security in the broadest sense, 
i.e. the one assuring reliable energy services at affordable cost and conditions is the main reason 
for concern and must provide the principal motivation for supporting RTD at an European level. 

The  growing  concern  regarding  the  environment  due  to  the  production  and  use  of  energy 
(contribution to greenhouse effect emissions of polluting gas and other harmful emissions, safety, 
noise) and the public acceptance are today the main driving  force  for change. 

Finally, technology although it is vital,  it is not by itself  enough. Therefore  an effective  RTD 
policy  must consider  the complete cycle embracing  research,  development,  demonstration  and 
diffusion  of knowledge, the introduction of technologies in the market and the behaviour of the 
economic  operators.  It  must  integrate  the  different  regional  dimensions  (local  emissions, 
trans-frontier  pollution,  and  global  pollution)  and  must  build  on  concertation  with  other 
Community  instruments  and policies  likely  to affect  the energy  scene,  such as energy  policy, 
transportation policy, agricultural policy, structural funds, international collaboration (including 
EUREKA)and fiscal measures. 

As stressed  in the White Paper "Growth, Competitiveness, EmploymentH, the RTD should also 
favour  the actions leading  to the creation  of jobs,  which  would  be guaranteed,  particularly  by 
the strengthening of  the competitiveness of the European  industry. 

In this sense,  Community action  of  energy  RTD could  become an  important driving  force  for 
economic development  in general. 

- 9-

W 

Indeed,  there  is  an  increasing  awareness  that economic  development  is  no  longer  a  matter  of 
only  single enterprises  or sectors,  but rather a set of  global  projects of  society as a whole.  One 
of them is to assure sustainable energy  supply for all compatible with environment and with the 
operation  of  society.  This  is  a  global  challenge  that  must  be  supported  if  conflict  is  to  be 
avoided. 

The Community  RTD  action addresses  the following  distinct areas: 
- 
- 
- 
-  pursuit of  thermonuclear  fusion  as a long  term option. 

improved  conversion  and use of  energy; 
introduction  of  renewable energies  into Europe's  energy  systems; 
safety  of  nuclear energy; 

Regarding  the  Demonstration  phase,  the  first  area  will  specifically  distinguish  between  the 
rational  use of  energy  from  the conversion  and production  of  fossil  fuel  energies. 

The present programme proposal addresses  the first two areas, together with a specific  research 
activity which supports Community action in the inter disciplinary areas of energy-environment-
economy.  Strategic analyses will tackle medium and long term issues from the technological and 
socio-economic  aspects viewpoint;  they will  consider energy  and environmental  specificities  of 
EC countries  and regions,  but also of  other regions  of  the world  (developing  countries and,  in 
particular,  Central  European countries). 

The  other  two  lines  of  action  on  nuclear  fission  safety  and on  nuclear  fusion  are covered  by 
separated  specific  programmes. 

The proposed  RTD activities 

A  RTD  Community  strategy  will  be  set  up in order to assure  the integration  and coherence  of 
all activities within the energy RTD programme.  The proposed RTD activities will be deployed 
along  two  distinct  phases:  The  R&D  phase  and  the  Demonstration  one.  They  are  presented 
below  following  this  structure.  An activity  to support the strategy  effort  will  complete  the two 
phases. 

In  order  to  support  the  technological  action,  specific  activities  for  the  definition  and 
implementation of  a global  strategy  for Energy  RTD will be developed  within the frame of the 
programme.  This  requires  the  introduction  of  social-economic  research,  connected  with  the 
utilization of  energy  as well  as the development  and application  of  new  models for the analysis 
of  scenarios  consistent  with the evolution of the energy  scene in the medium to long term; such 
initiatives  will  allow  the  improvement  of  our  knowledge  on  the  interactions  between  energy, 
environment and economical growth and the analysis of the impacts of the Energy RTD strategy. 

-  10-

1>X8 

The projects  adopted  along  these research  lines will be designed  in a  manner as to harmonise 
results across  the Community and  to enable international comparisons.  Furthermore,  care will 
be taken to ensure the extension of their applicability (given the appropriate adaptations)  to less 
developed  countries,  Eastern  Europe and  the CIS. Networks  of  experts  will  be maintained  or 
established in all Community member States and close links with international organisations and 
third countries will be instigated  in order to ensure the coherence of  methods and approaches. 

Furthermore,  additional efforts  would  include additional  support and accompanying  measures, 
among others: 

- 

studies  concerning  the  behaviour  of  economic  agents  in  order  to  achieve  a  better 
understanding  of  the reasons which favour  or hinder  market penetration of a large number 
of cost-effective energy technologies; these studies will be completed by market analyses and 
technological studies in order to facilitate the penetration of new energy technologies into the 
market; 

-  evaluation of technologies, in the more general context of political and economic instruments, 
accelerating their diffusion  into the market; in this connection,  "social" cost-benefit analysis, 
associated  with  the elaboration  of  various  forms  of  energy,  (possibly  forming  a part of an 
European  "green  accounting"  framework)  would  help  to  improve  the  definition  of  such 
instruments; the development of RTD policy instruments capable of influencing the evolution 
of the use and supply of energy, including the public acceptance for innovative technologies, 
would originate from  such an action. 

Further, these efforts  will aim at the dissemination of knowledge, in terms of RTD, and of these 
technologies as well as to the industrial cooperation  with 3rd World  Countries 

In addition, in these areas of competence complementary actions will be carried out by the JRC, 
especially  in  section  1.7:  Energy  savings  in  industry  and  buildings,  section  2.2:  Solar 
photovoltaic electricity  and section 2.3: Buildings here stated.1 

RTD  activities  will  include both  research  and  development,  demonstration  and  dissemination 
actions. The work planned in either categories will of course depend on several criteria,  which 
will be weighted  differently  depending  on whether  one adopts  the R&D or  the  demonstration 
viewpoint. 

In this sense, research and development actions will be highly selective. Therefore, projects with 
a.high potential for playing a true catalytic role at a European  level in the fields  considered  as 
strategic for  the energy  security, with environment as the main driving force,  will be  favoured. 

A  more  detailed  description  of  these  research  activities  of  the JRC  defined  in  a  separate 
Council  Decision,  will  be  repeated  for  information  in  Annex  IV,  in  order  to  ensure 
transparence  regarding  their complementarity  with  the correspondent  indirect actions. 

-  11 -

"V^ 

Demonstration actions are closer to the market and,  so,  they will be more diversified:  they are 
the extension  of  the  RTD  efforts  carried  out  by  the private  sector  or  the  public  sector  at  the 
Community  level  in  the  member  states.  They  aim  at  supporting  more  directly  the  different 
aspects  of  the  energy  policy  (particularly  those  of  the  security  of  supply).  They  will  be 
formulated  such  that  the  whole  RTD  substantially  contributes  to  the  re-enforcement  of  the 
competitiveness  of  the  European  industry  (SME  included)  and  to  the  economic  and  social 
cohesion.  This  will  be achieved  through the development of  regional  and local  resources. 

Different  technologies (particularly the combustion, the gasification,  the storage) have a generic 
character  useful  for both fossil  fuel  and renewable energies.  So, it is crucial  to ensure the joint 
development of  these technologies  to be used for all the energetic  sources and sectors. 

These  will  enable  the establishment  of  pilot or demonstration  plants  of  common  interest  (e.g. 
advanced integrated  gasification  processes,  which are usable for as  well  the combustion as the 
solid  fossil  fuel  or biomass..);  and it will  help  the introduction  of  renewable  energies  into the 
energy  system. 

This  joint  development  action  will  enable  an  efficient  mobilization  of  the  entire  programme 
ressources in obtaining the global allocation of the amount, indicated  in annex II (60% towards 
renewables,  40%  for  the other activities  of RTD). 

A. RESEARCH AND DEVELOPMENT 

1. IMPROVED CONVERSION AND USE OF ENERGY 

The world  energy  economy  is  predominantly  fossil  fuel  based  and it is  likely  to remain  so  for 
a long  time.  This  is particularly  true for coal where worldwide  reserves  will  guarantee  several 
hundred years of  supply.  Natural gas is continuing  its penetration in the energy  market, but its 
transport  from  distant  places  (i.e.  North  Africa,  North  Sea,  Siberia)  in  gas  form  makes  it  a 
severe  handicap  to its  utilization. 

A  major  problem  for  fossil  fuels  use  is  the  emission  of  C02  and  other  pollutants.  So,  the 
Community  action  should,  as  a  matter  of  priority,  provide  guidance  and  incentives  to  reduce 
pollution  emission  and to increase  the efficiency  of  energy  conversion  and use. 

R&D  in  this  section  addresses  the  improvement  of  coal  and  hydrocarbon-based  energy 
conversion  systems,  the  development  of  new  energy  systems,  energy  savings  in  the  demand 
sectors,  energy  storage  and  the  more  efficient  exploration  of  indigenous  resources  of 
hydrocarbons. 

12 

lAo 

In addition  to  these  specific  activities  of  R&D,  an  integrated  approach  will  be  sought  for  the 
application of clean and efficient energy technologies in the relevant sectors,  such as in building, 
industry  and  transport.  Since  transport  is  the  energy  sector  where  energy  demand  has  shown 
strongest growth, the energy-transport system will receive particular attention and it is envisaged 
that it will  include an integrated  project on  urban transport. 

1.1  Clean  coal  technologies 

The main objective  is  to  make coal fired power production  cleaner  by  reducing  C02  and other 
greenhouse  gas  emissions  and,  in  doing  so,  reducing  harmful  gaseous  emissions  into  the 
atmosphere,  rendering  the  solid  residues  more  neutral  and  consuming  less  coal  for  the  same 
amount of  electricity  through  improved  efficiency  or partially  replacing  coal  by  MC02-neutral" 
fuels  (biomass and wastes)  at acceptable costs. 

Work will be carried out on processes  intended to penetrate the market in the short,  medium and 
long  term.  The  short  term option aims at  improving  conventional  power  plants  to  efficiencies 
above 40'%' with reduction of all pollutants,  even with coal/biomass/waste blends.  The medium 
term  option  aims  primarily  at  IGCC  (integrated  gasification  combined  cycles)  processes  with 
efficiencies  above  45%  and  further  reduction  of  pollutants.  The  long  term  option  aims  at the 
development  of  the after  "IGCC generation" processes  (efficiency  higher  than 50%). 

The current programme  "coal" consists of all the solid fuels,  linked to coal,  such as oil,  lignite, 
peat,  orimulsion  and  other  heavy  fuels  produced  by  the refineries.  These  fuels  can  be used  in 
separately  or  in  combination  with  biomass,  urban,  industrial  or  agricultural  waste,  on  the 
condition  that  the  emissions  remain  at  the  same  level  and  that  the  main  component  remains  a 
solid  fuel.  Furthermore,  synergies  between  solid  fuels  and  natural  gas  processes  will  be 
considered. 

The research  and development  projects  will  include: 

-  development  of  integrated  gasification  combined-cycles  and  advanced  (pressurized)  and 
atmospheric combustion  processes  (supercritical-steam  cycles  or combined-cycles)  for higher 
efficiencies  and  increased  abatement  of  pollutants  (either  at  the  source  or  in  flue  gases) 
including  hot gas  cleaning  and novel  processes; 

-  development of processes  for the combined gasification  (or combustion) of coal with biomass, 
industrial,  municipal  or  agricultural  waste,  which  could  entail  a  10-20%  reduction  in  C02 
emissions,  this  action  would  be linked  to  those  mentioned  in  section  2.5);  careful  control  of 
all emissions  and residues.  The development  and evaluation  of  methods  for  CC^ capture and 
disposal  will  be carried  out in collaboration  with  IEA's Greenhouse  Gas  R&D  Programme. 

-  research  for  the integration  of  high  temperature  materials  into advanced  systems  (rather than 

on the materials  themselves). 

13 -

V'H 

-  integration  of  fuel  cells  using  gas  from  solid  fuels  in  combined  cycles  (demonstration  on 

existing  fuel  cells  in  the  framework  of  RDT  as  mentioned  in  section  1.3); 

R&D  will  be implemented  through  integrated  or  targetted  projects.  The  main  objective  will  be 
to set up an  European  network of  excellence  to ensure an efficient  application  and  utilisation of 
the best available coal technologies.  In the course of the programme, co-operation  activities will 
be  established  in  particular  with  Eastern  Europe  and  China. 

1.2  Combustion 

A generic research  action  on combustion  will be introduced  to bring about  significant  advances 
in  energy  efficiency  and  pollution  abatement  of  combustion  processes.  The research  work  will 
address  fundamental  and generic research  such as: basic research  to identify  causes of  pollutant 
formation,  modelling of combustion processes and systems, diagnostic equipment,  improvement 
of  systems,  and  treatment  of  exhaust  gases,  etc. 
The technologies to cover, by means of a generic approach,  include internal combustion engines, 
including  the  use  of  alternative  fuels,  gas  turbines,  combustion  and  gasification  of  coal  and 
biomass  and  combustors  for  stationary  applications  in  buildings  and  industry. 

This  action  will  be  carried  out  as  a  cooperation  between  major  European  manufacturers,  oil 
companies  utilities  and  users  with  a  view  to  ensure  technology  transfer  from  the  research 
community  to  the  users.  This  action  will  take  into  account  the  EPEFE  (European  Programme 
on  Engines,  Fuels  and  Emissions)  project  -  mentioned  in  paragraph  1.5  -  launched  by  the 
Community  in  collaboration  with  European  oil  and  car  manufacturer  associations. 

1.3  Fuel  cells 

The  work  on  fuel  cells  (FC)  will  focus  on  complete  systems  and  pilot  plants  for  different 
applications  (electricity  production,  cogeneration,  road  traction,  ships and  trains) by  addressing 
the  following  topics: 
-  stationary  applications  (particularly  cogeneration  in  buildings  and  industry):  development  of 
200-400  kW  systems  with  solid  oxide  (SOFC)  and  molten  carbonate  fuel  cells aiming  at 55-
60%  efficiencies,  1500 ECU/kW  long-term costs and  10-100 times emission  reduction  of  Nox 
compared  to gas turbines and diesel engines. For cogeneration  in buildings, SPFC systems will 
be developed.  The phosphoric-acid,  solid polymer and  molten carbonates  technologies  will  be 
subject  to  pilot  plants  in  connection  with  demonstration,  with  a  view  to  open  the  market  for 
stationary  applications. 

-  road traction  (electric): development of the solid polymer fuel cell (SPFC) for electric vehicles. 
The goal  is a  fuel  cell  with  an  efficiency  of  45-50%, a cost  of  100-200 ECU/kW  in  the long-
term  and  100-1000  times  less  pollutant  than  conventional  systems.  This  development  will  be 
closely  linked  to  R&D  on  the  production  of  fuels,  such  as  hydrogen  or  methanol.  Road 
transport and  in particular  buses,  (where cost-effectiveness  can be shown) and cogeneration  in 
buildings  and  industry,  will  be  subject  to  pilot  plants,  in  connection  with  demonstration. 

-  14 -

5 41 

A  support  activity  is  also  planned  to  develop  clean  and  efficient  fuel  processors  to  transform 
natural gas,  methanol and heavy oils (reformers) or coal (coal gasifiers)  into hydrogen. The key 
issues will be their integration with the fuel cell,  optimization of energy efficiency  and pollutant 
emission  for  the whole  system  and extraction  of  remaining  pollutants  with  different  separation 
methods.  The  extension  of  fuel  cell  research  to  electrolysers  should  lead  to  the  clean  and 
economical  production  of  hydrogen  (an  electrolyser  is  the  inverse  of  a  fuel  cell  and  basic 
research  is  similar).  SOFC  technology  may  lead  to  high  temperature  electrolysers  producing 
electricty with 30-40% savings over conventional electrolysers.  As a spin-off,  the work planned 
for SPFC could  enable us to obtain the solid-polymer electrolysers  also very  economically. 

1.4  Energy  storage 

Energy  storage  is  a  common  requisite  to  many  fields  including  transport,  load  levelling, 
renewable  energy,  electronic  equipment,  etc.  The present  programme will  focus  on electricity 
storage by giving priority to transport (also in support of the activities  foreseen  by section  1.6). 
Emphasis  will  put on  the more promising  batteries  such as  those based  on  lithium polymer or 
those based  on  nickel  metal  hydrides  in order to substitute  NiCd  batteries  which  contain  toxic 
substances.  The standardization of battery test procedures  will £e investigated  within a network 
of  battery  and  car  manufacturers.  Other  forms  of  energy  storage  such  as  flywheels, 
super-capacitors  and heat storage  will  also be explored. 

1.5 

Hydrocarbons  and  new  fuels  in  transport 

In  this  area,  emphasis  will  be  on  the  development  of  clean  transport  fuels  by  improving  the 
efficiency  of fuel reformulating processes. The work will concentrate on the catalytic conversion 
of natural gas into liquid fuels  (and fuel additives)  which have a higher added value and can be 
more easily transported. In this context, we will consider the global socio-economic impacts and 
the security  of  supply,  related  to the utilization  of  alternative  fuels  such  as the methane. 

Given the increased need for light products and the subsequent reduction in the demand of heavy 
oils,  R&D efforts  may be pursued  on  the catalytic conversion  of  heavy  oil  fractions. 

The utilisation of alternative fuels including hydrogen and mixes will also be investigated.  Work 
will  continue on  the establishment  of  the relationships  between  fuel  quality,  engine  technology 
and  emission  of  pollutants  and  this  mainly  within  the  framework  of  the  EPEFE  project, 
previously  mentioned  in paragraph  1.2. 

15 

M'^ 

1.6  Energy  optimization  in urban  transport 

Sections  1.2  and  1.5  address  a range of  themes  related  to Transport.  These  activities  together 
with others  arising  in other  lines  will  be  integrated  into  a coherent  Urban Transport  action  in 
close  collaboration  with  the activities  of  integration  developed  within  the  specific  programme 
"Research for a European transport policy". In the context of sustainable mobility under the best 
environmental,  energy  efficient  and  social  conditions  this will  help provide  technical  solutions 
to specific  transport problems and support the rationale on which to base urban transport policy 
decisions. 

Research  and  development  will  address  the  integration  of  systems  for  energy  storage, 
conversion,  transmission,  and management for guided and unguided vehicles.  This will  include 
consideration of chemical,  kinetic and electrical energy storage systems; energy converters such 
as  multi-fuel  internal combustion  engines,  fuel  cells  and hybrid  energy  converter concepts. 

From ah energy viewpoint,  the investigation  of a broad range of  generic  technologies  such as, 
combustion  modelling  and  simulation,  computer  controlled  energy  management  systems, 
development of alternative battery technologies, improved transmission and regenerative braking 
systems  and energy  consumption  and  local  consumption  atmospheric  pollution  models  will  be 
crucial  to enable progress  in  many of  these  research areas. 

Optimising available capacities will  also require the application  of  state of  the art telematics  to 
traffic  management and control, and transport information systems. The results of the feasibility 
studies  will  enable  the  application  areas  to  be  identified  for  which  the  different  propulsion 
systems are best adapted, and to define the strategy to pursue the research, either to demonstrate 
proof  of  concept,  or  in  the  case  of  more  mature  technologies,  the  definition  of  full-scale 
demonstration  projects  in connection  with the demonstration  activity. 

The diffusion  of  the technologies  tested  in  selected  locations  in  the Community  should  also be 
extended  to cover  the entire European  market. 

1.7  Energy  saving  in  industry  and  buildings 

The  mechanisms  aimed  at  improving  the  economics  of  energy  in  the  industrial  and  building 
sectors are not limited to technology  alone,  but are also dependent on a series of obstacles and 
distortions of  social,  economical  and legal  character or on  the behaviour  of consumers,  which 
should  be  better  understood.  Moreover,  the  technological  research  indicated  below  will  be 
followed  by  socio-economic  research,  in  the  same  line of  action  of  the  Energy  RTD  strategy. 
These  actions  may  take  the  form  of  integrated  projects  in  a  wider  sense,  i.e.  including  the 
concrete  experimentation  of  economic  instruments  together  with  the  introduction  of  new 
technologies. 

-  16 

VJv 

In  industry,  R&D  will  focus  on  a  limited  number  of  generic  technologies  that  are  of  major 
importance  for  energy,  environment  and  possibly  water  resources,  for  example  process 
integration and  new  process  routes,  heat exchangers  (e.g.  fouling),  separation  processes,  such 
as membrane, extraction, crystallization and absorption,  stationary combustion equipment (as in 
paragraph  1.2).  integrating solar energy.  Projects on more efficient  use of electricity would also 
be  considered.  Agricultural  related  engineering  will  also  be  examined  with  regard  to  energy 
efficiency  and pollution  aspects.  The participation  of  industry  will  be  strongly  encouraged. 

Within  the  building  sector,  priority  will  be  given  to  "system"  approaches  and  these  will  be 
carried out closely to the ones regarding renewable energies in buildings indicated in section 2.3. 
In terms of  R&D,  these  approaches  will  aim  at a rational  and efficient  use of  fossil  fuels and 
electricity.  They  will  include  research  on  the  "smart" buildings,  on  heat pump  systems,  etc.. 
Pre-normative  type of  work will  also be considered. 

In addition, RTD will focus on the development of integrated energy concepts for both industry, 
buildings and agriculture,  in particular cogeneration  (including  small  CHP units of  <  10 KWe) 
and other systems (equipment systems including turbines, fuel cells, Diesel engines, heat pumps, 
batteries,  etc.).  Particular attention will  be given  to the more efficient  end use of  electricity  in 
both buildings and industry,  including better transportation,  distribution and storage of energy. 
R&D  will  be  targeted  to  integrated  projects  using  advanced  technologies;  more  conventional 
technologies will be taken into account in the demonstration phase. Technical  and non-technical 
barriers  for decentralized  energy  production  will  also be investigated. 

These  actions  could  be  adapted  having  in  mind  their application  in  the  Developing  countries, 
PECO's  and  CIS.  In  addition,  this  would  also  include  results  obtained  in  other  programmes, 
related  to RTD. 

1.8  Exploration  and  production  of  hydrocarbons 

R&D actions will address medium to long term issues with the aim of improving the exploitation 
of  hydrocarbon  fields  and underpinning  the European  industrial  technology  base. 

The research  will  focus on: 
-  development  of  efficient  technologies  leading  to  improved  reservoir  characterization  and 

management  and to  more accurate prediction  of  reservoir  production; 

-  sedimentary basin analysis and three-dimensional modelling to give a better description of basin 

formation  and geo-historical  evolution; 

-  identification  of  both  smaller  and  more complex  deep  structures  using  advanced  geophysical 

and geochemical  exploration  methods; 

-  17 

MS" 

Furthermore, it is planned to follow concerted research action on Earth Science. This action will 
provide not only  the information  needed  to the exploration  of  hydrocarbons,  but it would  also 
improve considerably  the scientific  knowledge  base of other research  programmes  such  as  the 
one  of  geothermal  energy  in  dry  rock,  storage  of  radioactive  waste,  raw  materials  or  on  the 
exploitation  of  marine ressources. 

2.  RENEWABLE ENERGIES 

Renewable  energies,  in  their  new  and  modern  forms  which  go  beyond  the classical  usages  of 
hydraulic power and wood  for heating,  are far from having realised  their full potential because 
they lack of  development.  Nevertheless,  these clean  and indigenous energy  sources  appear as 
the best adapted to combat the greenhouse effect and to contribute to long-term energy  security. 
As  sources of  technological  innovation,  they could be instigators of  new industrial  activity and 
employment at all levels, especially in the less-favoured  regions of Europe. In addition, because 
of  their decentralized  nature,  they  are  much  more accessible  to the layman.  In the  framework 
of international cooperation,  the renewables will also have an important role to play in ensuring 
that the Third World, which will become the largest energy consumer, does not also become the 
greatest polluter.  Considering the association between quality of life and social  impact,  they are 
probably  the  only  sources  which  will  in  future  allow  a  sustainable  increase  in  energy 
consumption,  based  on  total economic  growth,  while respecting  the environment. 

The activities  of  this chapter  will  be carried  out in close  conjunction  with  those of  the chapter 
on  "Improved  conversion  and  use  of  energy"  (in  particular  combustion,  storage,  fuel  cells, 
energy  savings  in  buildings)  which  have  a  direct  interest  in  obtaining  the  technical  and 
economical  objectives  regarding  the introduction and utilization of  renewable  energies. 

The current programme foresees a new dimension  for the renewable energies which will permit 
the introduction of  new resources  on a significant  scale into the European energy  system.  With 
this aim, an appropriate strategy will be adopted in order to concentrate for the short to medium 
term the effort  on an ambitious but realistic objectives. 

In this line of action,  the accent will be put on state-of-the-art R&D, except in a few  cases,  still 
far from the market.  Research  and Development activities will be undertaken in order to obtain 
priority goals with scientific,  technological  and industrial character.  A  link will  be established 
with  non-technologic  instruments  in  order  to  reduce  legal  and  administrative  obstacles.  More 
emphasis will be devoted to investigation of those policy  instruments which will be required  for 
the introduction of  renewable energy  including  socio-economic  research,  planning and training 
(in the framework  of  support actions  to the RTD  Energy  Strategy). 

The financial  efforts  should  be concentrated  on  the following  priority areas: 

-  18 

VH 

2.1  Development  of technological  integration  of  renewable  energies 

This  new  initiative  will  be  aimed  at  easing  the  integration  of  renewable  energies  from  the 
technological  point of  view  by taking  into account economic  and social  aspects. 

In  many  ways,  the  renewable  energies  involve  activities  across  all  sectors  of  society. 
Multidisciplinary  activities  will  be  initiated  among  the  professions  concerned,  researchers, 
industrial  groups  and  future  users,  to  ensure  accelerated  deployment  on  as  large  a  scale  as 
possible. Special emphasis will be put on the integration of renewable energies into future energy 
systems  as  well  as  into  the  rural  setting  and  large-scale  integrated  projects  such  as  the 
development  of  electricity  production  from  renewable  energies.  The  impact  of  renewable 
energies will be studied in depth, especially  in the areas where they will be developed,  such as 
regions  and  towns,  agriculture and  industry,  distribution  networks;  the  impact  on  society  and 
other  dimensions  will  also  be  analyzed.  Development  agreements  and  specific  and  sectorial 
programme actions will be arranged  by  means of  networks,  several  of  which  will  be linked in 
a  "major  network  for  the  development  of  renewable  energies".  It  will  include  among  others 
thematic  sub-networks,  major  European  electric  utilities,  leading  architects  and  building 
engineers,  specialized  research  centres,  pilot towns,  regions and islands. 

Integration with the Third World and with Eastern Europe will equally  require a specific  effort 
to adapt the technologies, prepare their transfer and support European industry for future export 
markets. 

2.2  Solar  photovoltaic  electricity 

The-accent  will  be  put  on  a  "three  stage"  vertical  approach  which  will  consist  first  on  the 
continuation of  research  into crystalline or thin film solar cells,  drawing  together industry with 
university and para-university research laboratories.  Other efforts will be devoted to accelerated 
industrialisation  of  cells  and  modules.  This  is  a  new  Community  initiative  to  support  RTD  in 
industry,  especially  SMEs,  relative  to  the aspects  of  precompetitive  development  engineering, 
flexible  industrial  processes  and very  large volumes. 

Finally,  the development  and demonstration  of  pilot photovoltaic  systems  will  be  accelerated, 
in  order  to  reduce  costs  and  improve  performances  and  the  reliability  of  équipements.  The 
testing and calibration  of  the new photovoltaic  modules and systems  will  take place at the JRC 
in  order  to  enable  the  elaboration  of  European  norms  and  specifications  regarding  their 
utilization  by  producers  and  users.  Complementary  actions  will  be  carried  out  by  the JRC  in 
close  collaboration  with the national  laboratories. 

19 

vjf 

2.3  Buildings 

The best approach  in this sector is also vertical and as far as R&D is concerned,  it will consist 
in pursuing  the efforts  on components and integration procedures  for  active and passive solar, 
natural  lighting  and  others.  The  research  will  be  pre-normative  but  oriented  towards  the 
possibilities of  standardization. 

At the second  level,  the work on development of pilot buildings will be followed  up, with the 
essential criterion  of energetic aesthetic and architectural  success.  A new aspect in this context 
will be the development of bioclimatic habitat and the energy renovation of existing buildings. 

Finally, a modern urbanisation scheme will be developed in harmony with the specific needs of 
energy,  architecture and social organisation  with a new integration  of work,  life and leisure in 
the  town.  This  development  should  promote  new  pilot  clean  urban  districts  with  minimum 
emissions.  This  last  level  of  activities  will  best  be  implemented  as  a  concertation  with  the 
networks of towns, regions, experts in solar urbanisation  and architects. 

These actions will take place in a complementary  and coherent  way to the ones regarding  the 
rational  use of energy in buildings as stated in section  1.7. 

2.4  Wind 

The activities will be vertically integrated as follows: first, new materials and components will 
be developed,  particularly  blades in advanced composites. 

Then, after completing the development programme for the current generation of wind turbines, 
a programme will begin on the development of a new more powerful  generation exceeding  1-2 
MW  and  using  new  ultra-light  blades  and  other  novel  components.  Highly  innovative  wind 
turbines of smaller  sizes could also be considered. 
Finally, the programme will aim to promote alternative installation sites, especially  "off-shore" 
in complex terrain  and those with lower wind regimes. 

, 

2.5  Biomass 

This sector is particularly  important for  R&D actions and for  their links with the environment 
and the regional and rural development. An integrated biomass-bioenergy approach is necessary 
to assure the coherence and the pertinence of the Community R&D activities regarding the whole 
bioenergy chain in its technical and non-technical dimensions. Those included are, for instance, 
the aspects  of  energy  balance,  the cost-efficiency  factor,  the impact  of  national  policies,  etc., 
the combined production and treatment of basic agricultural products, utilization and conversion 
of  these  materials  for  the production  of energy. 

20 

V)S 

This strategic action  will be implemented  in conjunction  with the AIR and TEPE programmes. 
The agro-industrial programme will concentrate on the production of basic materials, the know-
how  and  their  treatment,  while  the  energy  programme  will  focus  on  the  conversion  and 
utilization  of  solid  biomass,  in  particular,  on  the  utilization  of  new  fast  growing  forestry, 
agricultural  products  or  waste  which  will  provide  the  basis  for  a  second  activity,  leading to 
thermal conversion to liquid, gaseous and solid fuels or directly to heat. Urban, agricultural and 
industrial  waste  and  waste  from  woodlands  will  be  considered  in  connection  with  activities 
described  in section  1.1. 
Furthermore, pilot projects will be developed, notably for decentralised production of electricity 
using high performance  generators  (engines and turbines). 

In addition, the production of pyrolytic oils will also be pursued,  together with their conversion 
to marketable  fuels. 

2.6  Geothermal energy 

The  remaining  element  of  geothermal  energy  R&D  which  merits  continuing  support  on  a 
European  scale is hot dry rock. Work will be focused  on the support of a single European pilot 
plant that could  provide the basis for  a demonstration  prototype at a later  stage. The activities 
linked  to the conventional  geothermal energy will be treated  in the demonstration phase. 

2.7  Other options 

Some concerted  actions could be undertaken on different  families  of  renewable energies which 
are at different  stages of development. These could cover wave and tidal energies, micro-hydro, 
solar thermodynamics, clean production and use of hydrogen and others. Technologies associated 
with renewables  will also be considered,  notably  storage of thermal or electrical  energy. 

B.  DEMONSTRATION 
(INCLUDING DISSEMINATION  AND VALORISATION) 

Demonstration activities including dissemination and valorisation,  will concern 3 areas: rational 
use of energy,  renewable energy  sources and fossil  fuels. 

1.  RATIONAL USE OF ENERGY 

Rational  use of  Energy  covers actions on energy  efficiency  on  the demand  side of  the energy 
sector.  Reducing energy consumption and stimulating market penetration of innovative efficient 
and clean  technologies  is vital in reducing  dependency  on external  supply of  energy  products, 
and  improving  the impact of the use of energy  in the environment. 

-21  -

3# 

As well  as  specific  demonstration  activities,  an  integrated  approach  will  be  followed  for  the 
application  of  clean  and  efficient  technologies  in  such  sectors  as  buildings,  industry  and 
transport.  Transport  is  the  sector  whose  energy  demand  is  growing  the  most,  therefore  the 
Energy-Transport  system will receive particular  attention. 

Community activities in this area  will cover the following  four areas: 

Energy efficiency  in buildings; 
Energy efficiency  in industry; 
Energy  industry,  electricity and heat; 
Transport  and  urban  infrastructure. 

1.1  Energy  efficiency  in  buildings 

The  objective  is  a  substantial  reduction  in  both  energy  consumption  and  C02  and  other 
atmospheric pollutant emissions in new large building stocks in the residential, commercial or 
public  sectors  through  technical  and  economic  improvements  and  efficient  management  and 
control systems. 

Activities will include low energy design, optimised  materials and components, integrated load 
management  for  heating,  cooling  and electric  consumption  and  optimised  electric and  H VAC 
equipment with efficient  integration of renewable energy  systems where possible. 

Activities  will  also  cover  retrofitting  of  large  commercial  or  public  buildings  and  residential 
building stocks. Preference  will be given  to standardised  and  modular components and special 
consideration  will be given to architectural  integration systems. 

1.2  Energy  efficiency  in  industry 

The objective is to reduce the specific energy consumption per unit of production or to increase 
the  productivity  at  equal  energy  consumption  in  order  to  increase  the  competitiveness  of 
European  industries or  lead to new products. 

Actions  will  cover  demonstration  of  innovative  technologies  to  improve  or  replace  the 
manufacturing  processes  leading  to  a  substantial  reduction  in  the energy  consumption  of  the 
product; to an improved exploitation of residuals or waste heat, to restrict or prevent an increase 
in energy consumption  as a results of  the implementation  of environmental  protection. 

- 2 2-

Ll&D 

1.3  Energy  industry,  electricity  and  heat 

The  objective  is  to  increase  the  efficiency  in  the  transformation  of  primary  energy  into  heat 
and/or electricity as well as the transport and distribution  of  useful  energy. 

Activities will cover demonstration of new production cycles, more energy-efficient  methods of 
managing  the networks  for  the transport,  distribution  and  storage of  energy  and  improvement 
of condensation  systems. 

1.4  Transport and urban  infrastructure 

The objective is a substantial  improvement  in the overall energy  efficiency  of public transport 
systems, a more coherent transport management and an increased awareness of public transport. 

Actions will include traffic  management and control techniques, including advanced  information 
systems for users, improved modal interchange infrastructure,  efficient  public transport vehicle 
fleets  in  urban  areas  and  complementary  measures  to  promote  a  shift  from  private  to  public 
transport.  Activities  will  also  cover  energy  efficiency  improvements  on  new  type of  traction 
systems for  vehicle using alternative or conventional  fuels. 

2.  RENEWABLE ENERGIES 

Renewable energies,  in their  new and  modern  forms  which  go beyong  the classical  usages of 
hydraulic power and wood for  heating, are far  from  having realised  their full potential because 
of lack of development.  Nevertheless,  these clean and indigenous energy  sources appear to be 
best adapted to combat the greenhouse effect  and to contribute to long-term energy security. As 
sources  of  technological  innovation,  they  could  be  instigators  of  new  industrial  activity  and 
employment at all levels, especially in the less-favoured  regions of Europe. In addition, because 
of their  decentralised  nature,  they are  much  more accesible  to the layman.  In the  framework 
of international cooperation,  the renewables will also have an important role to play in ensuring 
that the Third World, which will become the largest energy consumer, does not also become the 
greatest  polluter. 

Considering the association between quality of life and social impact, they are probably the only 
sources which will in future allow a sustainable increase in energy consumption, based on total 
economic growth,  while respecting  the environment. 

The present programme foresees a new dimension for the renewable energies which will permit 
the introduction of new sources on a significant scale into the European energy system. With this 
aim, an appropriate strategy  will be adopted  in order to concentrate the effort  on ambitious but 
realistic objectives  for  the short  to medium term. 

23-

^0^1 

In this line of action, the emphasis will be on targeted demonstration ventures in order to achieve 
in the short and  mid term significant  energy  objectives. 

Integration with the Third World and with Eastern Europe will equally require a specific  effort 
to adapt the technologies, prepare their transfer and support European industry for future export 
markets. 

Demonstration actions in the field of renewable energies will cover all renewable energy sources, 
where appropriate in association with other community actions, in order to stimulate the market 
and to achieve agreed energy  objectives. 

To this effect,  the activities of  this chapter  will be carried  out in close conjunction  with those 
of  the chapter  on  "Rational  use  of  energy"  and  "Fossil  Fuels"  (in  particular  co-combustion, 
production  of electricity and heat,  storage,  fuel  cells, energy  savings in buildings) which have 
a direct interest in obtaining the technical and economical objectives regarding  the introduction 
and utilization of renewable energies. 

Financial support will focus on the following  priority areas: 

Energy  from  biomass and waste; 
Solar energy; 
Wind energy; 
Hydroelectric energy; 
Geothermal. 

2.1  Energy  from  Biomass and  Waste 

The  objective  will  be  to  reduce  harmful  emissions  and  the  costs  of  electricity  generation, 
improve reliability, promote the broader  use of known technologies,  improve their application 
and integration,  increase their competitiveness and reduce their cost. 

Demonstration  activities  will concentrate  on energy  production  from  solid  biomass as  a  fuel, 
production, substitution  and/or energy  savings from  municipal,  industrial,  agricultural,  animal 
and forestry  wastes, and the reduction of costs for providing the energy produced from biomass. 

2.2 

Solar  Energy 

2.2.1  Photovoltaics 

Activities will cover  in particular  the large scale commericalisation  of  remote stand-alone PV-
applications and grid connected PV-systems, and will involve electricity  utilities and other key 
players. 

24 

<{0<L 

2.2.2  Thermal  applications 

Activities  will cover  the production of  large quantities of hot water (of other fluids)  for heating 
and/or  cooling  applications  and the production  of  large  quantities  of  hot  air  for  ventilation  or 
drying  applications. 

2.3  Wind  Energy 

Activities  will  concentrate  on  the  demonstration  of  technologies  which  will 
improve 
performance,  efficiency,  reliability  and achieve cost  reductions.  The  maximum exploitation  of 
wind  potential  will  be  achieved  by  the  largest  application  of  medium  sized  wind  turbines, 
offshore  wind  farms,  especially  design  machines  for  low  wind  potential,  new  application  in 
individual  installations  or in wind  farms  of  larger  sized  machines  (>  1 MW). 

2.4  Hydroelectric  power 

Activities will  cover  design and construction,  materials or methods of  operation and control  of 
new technologies. Industrial initiatives to produce high quality, reliable and competitive standard 
equipment  and  to  perfect  simple,  reliable  and  cheap  techniques  or  technology  will  also  be 
promoted,  especially  those  adapted  to  the  markets  and  needs  of  countries  whose  development 
is  lagging  behind.  The  rehabilitation  or  modernisation  of  abandoned  sites  or  those  which  are 
approaching  the end of  their technical  or adminstrative  lives,  by the use of  high performace  of 
State of  the art technologies,  will  also be covered. 

2.5  Geothermal 

Activities  will  cover  improvement of  the techniques in the drilling  sector,  wellhead  equipment, 
corrosion,  scaling,  automation and  the  treatment  systems  for  brine  waters,  the exploitation  of 
geothermal  fields  where  the  resources  are  proven,  and  the  development  of  geothermal 
applications  in  agriculture and aquaculture. 

3.  FOSSIL FUELS 

The use of  fossil  fuels  dominates  the world  economy  of  energy. 

Also,  in  the  Member  States  of  the  European  Union,  the consumption  of  fossil  fuels,  as  coal, 
petroleum and natural gas, represents, at present,  82% of the global consumption. This part will 
grow  regularly  in  the  coming  decades,  with  some  variations  among  the  different  sources  of 
energy. 

The natural gas,  for example,  will continue its penetration  into the European  market, even  if its 
transportation  over  long  distances  (Africa,  Siberia,  North  Sea)  under liquid  form  (LNG)  or as 
gas,  has a number of  technical  and economic  constraints. 

- 2 5-

VO 

The petroleum  share,  on the other hand,  will grow very  slowly  but constantly  over the coming 
years.  This  increase  will  take place,  essentially  in the transport  sector.  As  for coal,  for which 
the  world-wide  reserves  are  sufficient  for  some  centuries,  its  contribution  will  be  maintained 
over the years  in  spite of  the environmental  constraints  linked  to its utilisation. 

One  of  the  critical  problems  related  to  the  use  of  fossil  fuels  is  the  C02  emissions  and  other 
pollutants.  From  this  fact,  the  Community  actions  to demonstrate  the  technical  and  economic 
viability of  new  technologies  should,  in priority,  lead to a reduction of  the pollutant emissions 
and to the increase  of  the conversion  and of  the utilisation efficiencies  of  fossil  fuels. 

3.1 

Solid  fuels 

According  to  the  current  regulation,  the  term  "solid  fuels"  includes  coal,  lignite,  peat, 
orimulsion and other heavy fuels produced by the refining of petroleum. These fuels can be used 
separately or mixed with urban or industrial waste,  or biomass providing that* the emissions are 
of  the same level  and that the main part of  the energy  is produced by  the solid  fuels. 

The objective  will  be the reduction  of  the emissions  produced  by  the utilisation of  solid  fuels, 
in  particular  the  sulphur  oxides,  combined  nitrogen  oxides  and  the  CO2  through  the 
improvement  of  production  and  of  gasification  processes  and  by  the  elimination  of  urban, 
industrial  or other waste,  when  combined. 

The priorities of the demonstration activities, dissemination and valorisation will be in the sector 
of  electricity  and  heat  production  by  solid  fuels,  the  valorisation  of  by-products  and  the 
production  of  raw  materials.  The  synergies  with natural gas  will  be investigated. 

3.1.1  Electricity  and heat production 

The activities in this sector will include circular atmospheric fluidised bed combustion; fluidised 
bed  combustion  under pressure,  stationary  or circular;  primary  measures  for  the  reduction  of 
emissions and the treatment of the flue gases.  In this activity,  Integrated Gasification  Combined 
Cycle  and Topping  Cycle,  treatment  of  gas  at  high  temperature  and  fuel  cells  utilising  gases 
from  solid  fuels,  will  also be  financed. 

3.1.2  Valorisation  of  by-products 

The  activities  in  this  sector  will  include  the  valorisation,  the  treatment  or  the  enrichment  of 
gaseous,  liquid of  solid  waste produced  by the utilisation of  solid  fuels. 

- 2 6-

4py 

3.1.3  Production of  raw  materials 

The activities  in  this  sector  will  be  concentrated  on  the  liquefaction  of  solid  fuels,  namely  to 
investigate the synergies between this technique and the refining  of oil and of the new processes 
of  pyrolysis. 

3.2 

Hydrocarbons 

The objective of  activities  in this area  will  be to strengthen  the industry's capability  to answer 
the  short  and  long  term  requirements  for  the  availability  and  implementation  of  efficient 
technologies  in the field of  oil  and natural gas.  Particular attention  will  be paid to the PECO's 
and CIS markets. 

Demonstration,  dissemination  and optimisation activities are particularly  important  in this area 
to assist market penetration of new technologies in the industry together with important strategic 
implications  for the Union's economy,  competitiveness  and energy  supply. 

Bénéficiaires  will be mainly oil and gas-related companies which are developing innovative and 
effective  technologies  to improve  the exploration,  production  and use of  hydrocarbons. 

Activities  will  cover  both  "upstream" and  "downstream" sectors: 

- 

in the upstream sector, activities will cover methods for enhancing exploration capability, new 
technologies  for  marginal  fields  exploitation,  safety  and  environment! protection;  they  will 
embrace both exploration  and production  and  seek  cost  reduction.  Special  attention  will  be 
paid  to the North Sea and those reserves  where economic  conditions  are  difficult. 

- 

in the downstream  sector,  activities  will  focus  on  the uses  of  natural gas,  for  example,  gas 
conversion  and gas use in the transport sector or in the improvement of industrial processes. 

3.3 

Fuel  cells 

The  objective  will  be  the  creation  of  the  necessary  conditions  that  will  enable  the  users  to 
develop the necessary confidence for the market introduction of fuel cells for electricity and heat 
production, as well as for the transport sector. The actions will concentrate on the demonstration 
of  sulphuric acid,  solid  polymer and  molten carbonate  fuel  cells.  The progress  in the  "Balance 
of  the Plant" and the technology  transfer  will  get  special  attention. 

-27 

ko<ç 

Modes of  implementation  for the programme 

The programme will be implemented  through both cost-shared  and concerted  actions,  specific 
measures, preparatory,  support,  accompanying actions and activities towards the diffusion  and 
valorisation  of the results as stated  in Annex III of the Programme. 
Cost-shared  projects  will receive EC financial  support at different  rates according to the nature 
of the project,  the domain and the readiness for commercialisation  of the results, i.e. according 
to the technical field and to the economic and technical risk involved. In absolute terms, the size 
of  the  projects  would  be  such  as  to  allow  for  substantial  innovation- and  technological 
breakthroughs, in the spirit of concentration of efforts.  Whenever appropriate, projects will be 
grouped  into  clusters  so  that  better  synergy  of  resources  and  results  can  be  achieved. 
Furthermore, special consideration will be given to integrated projects which would tackle social, 
economic or purely technical problems with a multi-disciplinary approach and/or address issues 
taking  into consideration  the path from  research  to demonstration  and to market  development. 
Integrated  projects  could  be carried out  in fields such  as  integrated  applications  of  renewable 
energies,  combustion  and urban  transport. 

These projects  will be completed by concerted  actions restricted  to those fields where a simple 
coordination  of  the activities  of  member  States and  of  relevant  industries  would  render  those 
actions more effective at EC level. Stimulation actions based on CRAFT activities and feasibility 
awards will be implemented in order to facilitate the participation  of SME's. 

Cooperation  activities  in  many  fields  of  energy  technologies  will  be  established  whenever 
appropriate both at international level (e.g.  International  Energy  Agency,  United Nations) and 
at  national  and  regional  level  (e.g.  Eastern  and  Central  Europe,  Mediteranean,  developing 
countries) in conjunction  with other Community policies. 

In  order  to  assure  consistency  and  favour  the  synergies  between  RTD  and  the  market,  a 
reinforced  action of dissemination  will be followed.  Such an action aims at spreading, at large, 
the information  on the technologies emerging  from  RTD and  to promote them on the market. 
The instruments  that  can  speed  up  the deployment  of  the  technologies  on  the  market  will  be 
studied and taken advantage of.  Use of the OPET network (Offices  for the Promotion of Energy 
Technologies)  established  not  only  in  Europe,  but  also  in  Eastern  Europe,  the  CIS  and  the 
Developing Countries will be given priority by this action. Other instruments may be tested and 
deployed depending on their  efficiency. 

Opportunities  for  training  and  mobilility  of  researchers  will  be  created  in  the  course  of  the 
programme through  financial  grants and research  secondment schemes at major  RTD projects. 

- 2 8-

Ho6 

ANNEX  n 

INDICATIVE ALLOCATION OF SUPPORT 

A. RESEARCH  AND DEVELOPMENT 

45-55 %A,2S 

of which: 

Domain  1:  Improved  conversion and use of energy 
Domain  2:  Introduction of renewable energies 

30-40%  <"> 
60-70% 

B.  DEMONSTRATION 

45-55 %B'23 

of which: 

Domain  1:  Rational  use of energy 
Domain  2:  Renewable energies 
Domain  3:  Fossil  fuels 

20-30%  <*> 
40-50% 
30-40%  <*> 

Total 

100% ("> 

The allocation  between different  domains does not exclude that projects  may overlap between 
them. 

In the implementation  of the programme as a whole, the aim  will be a global allocation of 
the budget leading to 60% for  the renewable energies and 40%  for  the other RTD activities. 

(*)  Certain activities of the domaines which have a direct interest from the  viewpoint of the renewable technologies 
(e.g. combustion  of coal, of biomass and of waste,  fuel  cells using biofuels,  energy  efficiency  in buildings, 
batteries and  storage  systems  for  renewable energies) will  be charged  to the renewable energies (R&D and 
Demonstration). 

(**)  The sum of 35 MECU,  which  is the difference  between the amount deemed  necessary  for  the present 

programme and  the amount budgeted within the IV Framework  Programme in non-nuclear  energy RDT,  is 
assigned  to the  "specific  programme on RTD on direct actions and S/T support  activities within  a framework  of 
competitive  approach". 

A) R&D 

1 

2 

3 

5-10%  of the budget to support the definition  and  implementation of activities  for  the RTD  energy  strategy 
(including  the modelling  activity  and  socio-economic  research) and  of the  programme. 

3,6  % for  staff  costs  and  1,8  % for  administrative overheads. 

About  5 MECU  for  dissemination  and  valorisation  of the results of  the  programme. 

29 

tfor 

B) Demonstration 

1 

2 

1-1,5%  of the budget to support the definition  and  implementation  of the RTD energy  strategy  activities  and of 
the programme. 

2,5  % for  staff  costs and  2,5  % for  administrative overheads. 

3  About 20 MECU  for  dissemination  and  valorisation  of the results  of the programme. 

- 3 0-

ANNEX  m 

DETAILED  RULES  FOR  IMPLEMENTING  THE  PROGRAMME 

1.  The detailed rules for the Community's financial contribution are laid down in Annex  IV to 

the Decision  on  the fourth  framework  programme. 

The detailed rules for the participation of undertakings, research centres and universities and 
for  the  dissemination  of  results  will  be  laid  down  in  the  measures  provided  for  by 
Article  130j of  the Treaty. 

However,  for the purpose of  implementing  this programme,  the following  exceptions  shall 
apply: 

Participation  in this programme  is open,  with  financial  support from  the Community: 

a.  to all  legal  entities,  established  and regularly  carrying  out RTD  activities 
- 
- 

in the Community,  or 
in a third country associated,  wholly or in part,  with the implementation of  the relevant 
programme through an agreement concluded  between  the Community and the said third 
country. 

b.  to the Joint Research  Centre. 

Participation in this programme is open, without financial  support from the Community, and 
on condition  that their participation  is in the interests  of  Community  policies: 

a.  to legal entities established  in a contry which has concluded a scientific  and technical co 
operation  agreement  with  the  Community  relating  to  activities  covered  by  the 
programme,  provided  that participation  accords  with  the terms  of  the agreement, 

b.  to legal  entities established  in a European  country, 
c.  to international  research  organisations. 

-  The participation of European international organisations may be financed  on the same basis 

as  that for  Community  organisations  in duly  specified  cases. 

31 

Ho\\ 

2. 

This programme will  be carried  out in the form  of: 

2.1 

Financial  participation  by  the Community  in  RTD  activities  carried  out by  third parties 
or by JRC Institutes  in association  with  third parties: 

(a)  Shared-cost  activities: 

RTD  projects  carried  out  by  undertakings,  research  centres  and  universities, 
including  consortia  for integrated  projects  with a common theme; 

demonstration  projects  jointly  financed  with  other  sources  in, the  public  and/or 
private sector and, usually, at least one operator to guarantee continuity may qualify 
for  a  Community  contribution  up  to  a  maximum  of  40%  (normally  25%)  of  the 
eligible cost of  the project,  the rate decreasing  for projects  closer  to the market; 

-  -  technology stimulation to encourage and facilitate participation by SMEs in the form 
of  an  award  to  cover  the  exploratory  phase,  including  the  research  effort  of  the 
partners,  of  an RTD  activity  and of joint  research.  These  awards  will  be  granted 
after  selecting  outline proposals  which  may be submitted  at any time; 

support  for  financing  the  infrastructure  or  installations  necessary  for  coordinated 
action  (closer  coordination). 

(b)  Concerted  action,  which  consists  of  coordinating,  particularly. with  the  aid  of 
concertation networks, RTD projects already funded by public authorities or private 
bodies.  Concerted  action  can  also  include  the  requisite  coordination  of  thematic 
networks bringing together manufacturers,  users,  universities  and research  centres 
to  work  on  the  same  technological  or industrial  objective  under  shared-cost  RTD 
activities  (cf.  first paragraph of  Section  2.1(a)). 

(c)  Specific measures such as action to promote standardization and measures to provide 
general  tools to research centres,  universities and undertakings.  The Community's 
contribution  covers  up to  100% of  the cost of  the measures. 

2.2 

Preparatory,  accompanying  and support measures: 

-  studies  in  support of  this programme and in preparation  for  future activities; 
-  conferences,  seminars,  workshops or other scientific  or technical  meetings,  including 

intersectoral  or multidisciplinary  coordination  meetings; 

-  use of  external  expertise,  including  access  to scientific  databases; 

-  32 

i(«tC 

- 

- 

- 

- 

scientific  publications,  including  the  dissemination,  promotion  and  utilization  of  the 
results  (in coordination  with  the activities conducted  under the third area of activity); 
studies to assess the socio-economic consequences and any technological risks associated 
with  all  the projects  under this programme; 
training  activities  related  to  research  covered  by  this  programme,  excluding  training 
grants; 
independent  evaluation  (including  studies)  of  programme  administration  and  of  the 
implementation  of  the activities; 

-  participation  in  the  activities  carried  out  under  agreements  with  the  international 
organizations working in the energy field (International Energy Agency,  United Nations, 
etc.). 

-  measures  in  support  of  the  operation  of  networks  to  provide  information  and 
decentralized  assistance  to  SMEs  in  coordination  with  the  Euromanagement  auditing 
activity  of  RTD. 

| 

The  activities  relating  to  the  dissemination  and  utilization  of  results  carried  out  under  this 
programme  will  complement  those  carried  out  under  the  third  area  of  activity  and  will  be 
implemented  in  close  coordination  with  the latter.  The partners  in  RTD  projects  are  excellent 
vehicles  for  the  dissemination  and  utilization  of  results.  Back-up  will  be  provided  via 
publications, conferences,  promotion of results,  studies of technical and economic potential, etc. 
To ensure optimum exploitation,  factors liable to encourage the subsequent utilization of results 
should  be taken into account  from  the outset and throughout the RTD projects. 

3 3-

Lf,  1A 

ANNEX IV 

DESCRIPTION OF THE JOINT RESEARCH CENTRE'S  (JRC) RESEARCH 

ACTIVITIES  CORRESPONDING TO THE AREAS COVERED BY THIS SPECIFIC 

PROGRAMME AND THE SUBJECT OF THE PROPOSAL FOR A COUNCIL 

DECISION FOR THE JRC PROGRAMME 

(COM(94)68 FINAL - 94/0095 (CNS)). 

The JRC will contribute to the development of technologies  for cleaner  and more efficient  use 
of  energy  through  prenormative research,  with the emphasis on environmental  aspects,  in the 
following  sectors  and  in  close  co-operation  with  the  corresponding  shared  cost  action 
programme: 

-  photovoltaic energy:  the activities will include component tests and  studies on  the design 
and control of large-capacity  systems.  The research  will be based  on the use of the ESTI 
("European  Solar Testing  Installation")  of  the JRC  and  on  networks  with  partners  in  the 
Member  States.  Basic scientific  research  into energy  savings will be continued; 

materials for clean technologies:  research will cover the development of materials for clean 
technologies such as long-lived catalyst supports for emission control,  nanoporous ceramic 
membrances  for  advanced  ceramic  filters,  ceramic  alloys  and  composite  materials  for 
high-temperature applications (turbines and heat exchangers). 

34-

FINANCIAL STATEMENT 

1.  TITLE OF OPERATION 

Clean and efficient  energy  technologies 

2.  BUDGET HEADING INVOLVED 

B6-7151 

3.  LEGAL BASIS 

Article  130i of the Treaty  on European  Union. 
Decision of the Council and of the European Parlement on a Fourth Framework Programme for 
the Community actions on research,  on technological development and on demonstration  1994-
1998. 

. 

4.  DESCRIPTION  OF OPERATION 

4.1 

Specific  objectives  of  operation 

to  encourage  research  and  technological  development  activities  in  the  field  of  clean  and 
efficient  energy  technologies  as  a  contribution  to  the  security  of  energy  supplies  and  to 
sustainable development; 

to speed up the development and dissemination of technologies which are almost mature but 
of which the technical and economic viability  still remains largely  to be demonstrated; 

to  encourage  partnerships  between  universities,  industry,  users  and  operators  of  energy 
networks; 

to  contribute  towards  economic  and  social  cohesion  by  developing  appropriate  energy 
sources  suitable for  decentralized  use and harnessing  local resources. 

4.2 

Fields covered 

a)  R &D 

The projects  will cover  research  and development activities in the following  fields: 

improved  conversion  and use of energy; 
renewable energy  sources; 
support activity  to the definition  and the implementation  of  RTD strategies. 

35 -

y 43 

b)  Demonstration 

-  Rational use of energy in buildings, industry, energy industry (including electricity and heat) 

transport  and  urban  infrastructure; 

-  New  and  renewable  energies,  in  particular  solar,  biomass,  geothermy  minihydraulic  and 

wind energy; 

-  Solid  fuels  (coal,  ..etc.):Production  and valorisation; 

Hydrocarbons:  exploration  (including  security  and  environment  protection),  exploitation 
(marginal  fields),  transport. 

4.3 

Period  covered 

1994-98 

5.  CLASSIFICATION  OF  EXPENDITURE/REVENUE 

-Non-compulsory  expenditure/differentiated  appropriations. 

6. TYPE OF EXPENDITURE OR REVENUE 

Studies/subsidies 

- 

In principle,  direct activities will  be  100%  funded. 

-  The concerted  activities  may  qualify  for  a contribution  of  up to  100% of  the coordination 

costs. 

Subsidy for  joint  financing  with others  in the public  and/or private  sector. 

-  Shared-cost activities  will  normally  qualify  for  a contribution  of  not  more than 50%. 

-  Universities  and other  research  centres  participating  in  shared-cost  projects  will  have the 
option  of  requesting,  for  each  project,  either  50%  funding  of  total  expenditure  or  100% 
funding  of  the additional  marginal costs. 

-  Demonstration  projects  will  be  subject  to a participation  not exceeding 40%. 

- 3 6-

The  other  shared-cost  actions  (for  instance,  networks,  training),  feasibility  awards, 
supporting  measures)  will  be financed  with  up to  100% of  additional  costs  or the costs  of 
the measure. 

Associated  measures 

They  will  be subject to a participation  between  50 and  100%. 

Staff,  administrative  and operating  costs. 

They  will  also  cover  the  costs  of  officers  and  others,  experts  meetings,  conferences  and 
congresses, information, publications, recurrent administrative and technical expenses as Well 
as other expenditures  for internal infrastructure  linked to the realization of the objectives of 
an action  in which  they are included. 

7.  FINANCIAL  IMPACT 

7.1 

Total  cost  of  the  calculation 

a)  R&D phase 

*  Staff  costs:  17,41  MECU  (3,6% of  the estimated amount of  483,5  MECU). 

The staff  situation  in  1994 is  maintained  at the level  of  38  posts.  The allocation  of  these posts 
is as  follows:  20A+9B+9C. 

New  posts  will  be  progressively  added  to the  "tableau des  effectifs"  in  1995,  1996 and  1997, 
following  the  budgetary  allocation  of  each  exercise.  The  new  posts  will  be justified  by  the 
configuation of the programme which, in comparison with the 3rd F.P.,  will include new fields 
of  activity:  integration  of  renewable  energies,  large  integrated  projects  relative  to  energy 
optimisation  in transport. 

It is  important  to  note  that the  staff  of  this  specific  programme  will  also  be  in  charge  of  the 
scientific  follow-up  of actions initiated during the 3rd F.P.  and of  other previous actions. 

*  Adminstrative  costs,  including  staff  "non  statuaire":  8.7  MECU  (1.8%  of  the  estimated 

necessary  amount of 483.5  MECU). 

* 

Intervention  costs:  457.39  MECU  (94.60%  of  the  estimated  necessary  amount  of  483.5 
MECU),  including  associated  costs  of  accompanying  measures,  evaluation  and  concerted 
actions. 

- 3 7-

y^r 

b)  Demonstration 

-  Staff costs:  12.09  MECU  (2.5% of  the total budget) 

- 

24  posts  are  allocated  to  demonstration  actions  of  which  12  A  posts,  4  B  posts  and  8  C 
posts. 

12 posts are allocated  to the dissemination and to the strategy of which 6 A posts, 2 B posts 
and 4  C posts. 

New posts will  be progressively  added to the existing  "tableau des effectifs"  in  1995,  1996 and 
1997, according to the budget allocation of each phase. The new posts are justified by the nature 
of  the  programme  which  with  regard  to  the  3rd  F.P.  include  the  new  activities:  energy 
demonstration  activities  in the programme. 

-  Administrative costs: 

(including  the non-statuory  staff); 
12.09  MECU  (2,5% of  the total budget) 

- 

Intervention costs: 

459.32  MECU  (95% of  the total budget) 

7.2 

Ventilation  in MECU  and % 

a)  R&D phase: 

Improvement of  the conversion  and utilization  of  energy: 

Introduction of  renewable energies 

30-40% 

60-70% 

TOTAL 

483.50  MECU  (1)(2)(3)  100% 

(1)  Included are  17.41  MECU  (3.6%)  for  staff  costs  and  8.70  MECU  for overheads. 

(2)  This amount includes the expenses with the dissemination and valorisation of results of about 

5  MECU  of  the total deemed  necessary. 

(3)  To  this  amount  should  be  added  20  MECU  for  the  EC-Programme  of  the  JRC  and  15 

MECU  for  scientific  support and competition. 

38 

V46 

b}  Demonstration phase: 

Rational use of energy 

Renewable energies 

Fossil  fuels 

TOTAL 

20-30% 

40-50% 

30-40% 

483.5 MECU (0(2) 

100% 

(1)  Included are 2.5% for staff costs and 2.5% for administrative overheads. 

(2)  This includes 20 MECU for expenses relative to the dissemination and valorisation of the 

results of the programme. 

7.3. Indicative amount of credits: 

The schedule will be established on the basis of the overall amounts for the fourth framework 
programme adopted indicatively for the periods 1995-96 and 1997-98 at the conciliation meeting 
on  21 March  1994.  The  RTD  appropriations  for  each financial year  will  be  proposed  and 
adopted  each  year  on  the  basis  of  the  resources  available  in  the  context  of  the  financial 
perspective. 

Committed 
credits 

Credits of payment 

1995 

1996 

1997 

1995 

1996 

1997 

1998 

300,69 

68,24 

172,31 

247,00 

247,00 

70,22 

63,11 

73,74 

43,68 

74,33 

TOTAL 

967,00 

68,24 

133,33 

191,75 

1998 and 
onwards 

88,49 

65,52 

172,67 

247,00 

573,68 

TOTAL 

300,69 

172,31 

247,00 

247,00 

967,00 

-39 

Y*y. 

8.  WHAT ANTI-FRAUD MEASURES ARE PLANNED? 

Numerous administrative and financial controls are carried  out at every  stage of the procedure 
for awarding and  implementing the contract.  These include: 

Prior to conclusion of the contract: 

- 

- 

shortlisting  of  the  proposals,  based  on  their  scientific  merits  and  on  how  realistic  the 
research  costs are, considering  the nature and duration of the project; 

analysis by the negotiators of the financial data submitted by the proposers in the negotiation 
form. 

After signature  of the contract: 

- 

examination  of  the  statements  of  expenditure  before  payment  at  various  levels  (financial 
controller and  scientific  manager); 

-  on-the-spot  inspections  of  the  supporting  documents  to  detect  any  errors  or  other 
irregularities.  To tighten up these inspections,  in July  1991 DG XII set up a central audit 
unit responsible for all the inspections.  The inspections are carried  out either by members 
of  the  audit  team  or,  under  their  supervision,  by  firms  of  auditors  with  which  the 
Commission  has concluded  framework  contracts. 

9.  ELEMENTS OF COST-EFFECTIVENESS  ANALYSIS 

9.1 

Specific  and quantifiable objectives; target population: 

Quantification  of the objectives depends on: 

the time scale of the RTD work,  which varies  widely  from  one area  of  the programme to 
another (medium to long-term projects are ill-suited  to quantification); 

- 

the  type  of  activity: 
it  is  easier  to  set  quantifiable  objectives  and  compare  the  results 
obtained with them in the case of demonstration projects, whereas most R&D work merely 
identifies  potential which must subsequently  be demonstrated  and  validated; 

the establishment of instruments allowing energy prices to reflect the social costs more fully 
and of an appropriate legal,  regulatory  and  fiscal  framework. 

40 

Ug 

a) R&D  activities 

The principal specific  objective of the activities on  "improved conversion  and use of energy" is 
to  reduce  energy  intensity  (the  ratio between  energy  consumption  and  economic  activity)  and 
achieve  a  corresponding  reduction  in  emissions  of  pollutants,  particularly  of  C02,  from 
energy-producing  and energy-consuming  sectors (electricity generation, industry, buildings and 
transport).  Activities  to  increase  the  efficiency  of  energy  conversion  installations,  to  make 
systems,  technologies  or processes  more efficient  or to smooth  the way  for  the introduction  of 
new technologies to the market will help to achieve this objective.  Additional action to harness 
indigenous  oil  or gas  resources  will  further  improve the Community's  security  of  supply. 

RTD activities of this kind can have a highly positive impact on the economy by reducing energy 
imports and making industry more competitive,  by lowering production costs and by generating 
new technologies which will open up new markets.  Naturally,  these economic benefits  have an 
extremely  favourable  impact on  employment. 

The  specific  objectives  of  the  RTD  activities  on  "renewable  energy"  sources  are  to  achieve 
scientific  and  technological  progress  in  the  various  branches  concerned  (for  example,  new 
models  or  designs,  greater  efficiency  and  lower  costs  for  systems,  etc.)  and  to  ensure  the 
commercial success  of products developed  from the demonstration projects.  It will therefore be 
possible to measure the effectiveness  of  the programme in terms of  quantifiable progress  in the 
various  areas of  activity. 

It must be added  that market penetration  by  these  new  decentralized  energy  sources  is  not the 
direct objective of this programme, since this also depends on instruments with an impact on the 
the  demonstration  stage.  As  these  instruments  (for 
market  and  on  society  in  general  after 
example,  the  Altener  scheme  to  reduce  administrative  obstacles)  are  outside  the  programme, 
closer coordination between them and the RTD work will be sought.  The programme will also 
bring  significant  benefits  both  for the environment  and for  employment. 

Industry, research institutes and university centres will be the main beneficiaries  from these RTD 
activities:  they  will  receive  financial  support for  their research.  The  Community  programme 
will  also  make  it  possible  to  establish  and  support  networks  allowing  fuller  exchanges  of 
know-how and of  national results. These networks will bring together regional and local bodies 
or  trade  associations  concerned  with  new  energy  technologies.  The  RTD  results  will  be  of 
benefit  to all  sectors  since  energy  is a  factor  in all economic  activity. 

- 41  -

^1 

b) Demonstration  activities 

Specific objectives: Reduction in the growth of the energy consumption  (in thoussand tep/year), 
production  of  alternative  fuels  (renewable  energy  in  Mtep/year)  development  of  production 
technologies  (in  Mtep/year),  reduction  of  pollutant  emissions  (Mton  C02/year,  1000  ton 
S02/year),  creation  of jobs per MECU  invested,  generation  of  GDP per  MECU  invested. 
Support to  120 projects/year  and about 80 associated  measures. 

Target: industry and SME's in the member states for the measures associated  with political and 
economical  decisions. 

Accompanying measures: 

Cooperation  will  be established  in individual fields of energy  technology  whenever  appropriate 
both at international  level  (e.g.  with  the International  Energy  Agency,  or United  Nations)  and 
at national  and  regional  level  (e.g.  with Central  and Eastern  Europe or the Mediterranean and 
developing  countries)  in conjunction with the other Community policies  concerned. 

In  order  to  ensure  consistency  and  favour  the  synergies  between  RTD  and  the  market, 
dissemination  activities  will  be  stepped  up.  These  aim  at  spreading  information  on  the 
technologies  emerging  from  RTD as widely  as possible and at promoting such  technologies on 
the market.  Instruments  that could  speed  up the deployment of  the technologies on the market 
will be  studied and applied.  The priority  will be to harness  the OPET network  (Organizations 
for the Promotion of Energy Technologies) established  not only in the European Union but also 
in Eastern Europe, the CIS and the developing countries.  Other instruments could be tested and 
deployed  depending  on  their  effectiveness. 

Opportunities  for  training  for  researchers  (excluding  training  grants)  will  be  created  in  the 
programme  (schemes  to  second  researchers  to major RTD projects,  summer  schools,  etc.). 

Target 

Large-  and  small-scale  industry  (energy  producers  and  users),  universities,  research  centres, 
operators  of  energy  networks,  local  authorities,  architects  and  town  planners 

42 -

L ( *0 

9.2  Grounds  for  the  operation 

9.2.1  Need  for  Community  financial  aid 

Energy  production  and  use  underpin  all  human  activity.  They  must  satisfy  two  major 
imperatives: 

safeguard  security  of  supply; 

keep energy  compatible with  the balance of nature,  in line with  the principle of  sustainable 
development,  as  introduced  by  the  Maastricht  Treaty  and  reiterated  by  the  fifth  action 
programme on the environment. 

Research,  technological  development  and  demonstration  activities  have  a  key  role  to  play, 
alongside other instruments, in attaining these objectives, taking account of economic constraints. 

Transfrontier  cooperation  on energy  RTD will  allow  faster: 

-  development of  technological  innovations for better conversion and use of energy and in the 
field  of  renewable  energy  sources  (solutions  offering  optimum  costs,  efficiency  and 
flexibility  and  minimum impact on the local  or global  environment); 

-  dissemination  of  these  technologies  to users  (companies,  private citizens,  local  authorities, 
etc.) with the aid of technical and economic demonstration schemes to test the reliability and 
efficiency  of  the best available technologies. 

RTD  activities  on clean  and efficient  energy  technologies  should  make it possible: 

to make energy-using  industries  more competitive,  thanks to the potential improvements in 
energy  efficiency 
identified  in  the  first  area  of  activity  (reduction  of  unit  energy 
consumption); 

to  reduce  the  risks  of  fluctuation  in  energy  prices  by  means  of  gradual  diversification  of 
energy  sources  and  the  development  of  technologies  allowing  further  harnessing  of  the 
Community's energy  resources  on competitive terms; 

to  create  new  activities  and  jobs,  particularly  in  the  manufacture  of  equipment  and  the 
production  of  usable,  renewable  energy  sources  (biomass); 
to bring  benefits  for  all  citizens  of  the Community  (reduction  in  local  and global  pollution 
levels). 

43 

n 1 

9.2.2  Choice  of  ways  and  means 

The  programme  will  be  implemented  by  means  of  shared-cost  activities,  concerted  action, 
specific  measures,  preparatory,  accompanying  and  support  measures  and  schemes  for 
dissemination and utilization of the results, as provided for in Annex  III to the Decision adopting 
the programme. 

Shared-cost projects will receive different rates of EC financial support depending on the nature 
of  the project,  particularly  the economic  and technical risks involved,  the field concerned  and 
the proximity to the market.  In absolute terms, the scale of the projects should allow substantial 
innovation  and  technological  breakthroughs  by  means  of  concentration  of  efforts.  Whenever 
appropriate,  projects  will  be grouped  into clusters  to achieve greater  synergy  of  resources and 
results.  Furthermore,  special  consideration  will  be  given  to  integrated  projects  which  tackle 
social, economic or purely technical problems taking a multidisciplinary approach and/or address 
issues taking into consideration the path from research to demonstration and deployment on the 
Integrated  projects  will  be  carried  out  in  fields  such  as  integrated  applications  of 
market. 
renewable  energy  sources,  combustion  and urban transport. 

These projects will be backed up by concerted action in specific fields where simple coordination 
of  the  efforts  of  the  Member  States  and  of  the  relevant  industries  would  make  them  more 
effective.  A special procedure for SMEs will be introduced to encourage them to participate in 
the programme  (technology  stimulation). 

9.3  Monitoring  and evaluation of the  operation 

9.3.1  Details  and  frequency: 

-  The operation  will  be  monitored by  staff  from  the DG  responsible  for  the  implementation 

of  the programme,  assisted  by the committees  for the programme. 

Experts  will  conduct  studies  at  the  start  of  the  programme  with  a  view  to  measuring  the 
scale  and impact of  the activities. 

In  order  to  contribute  to  the  overall  assessment  of  the  Community  activities  provided  for  in 
Article 4(2) of  the Decision adopting the fourth  framework  programme,  the Commission  shall, 
in due course,  have an assessment  made by  independent experts  of  the activities  carried  out in 
the  fields  directly  covered  by  this programme,  and of  their  management  during  the  five  years 
preceding  the assessment. 

- 44  -

At the end of  this programme,  the Commission  shall  instruct independent  experts  to conduct a 
final evaluation  of  the results achieved  compared  with  the objectives  et  out  in  Annex  II to the 
fourth framework programme and Annex I to this Decision.  The final evaluation  report shall be 
forwarded  to the Council,  the European  Parliament and the Economic  and Social  Committee. 

9.3.2  Assessment  of  the  results  obtained: 

The results will be examined in the light of the criteria and objectives set out in Annexes  II and 
III to  the  Decision  adopting  the  fourth  framework  programme  and in  Annexes  I and  II to the 
Decision  adopting  the specific  programme,  in particular: 

to  develop  efficient  and  safe  infrastructure  meeting  the  requirements  of  the  Community's 
transport and energy  policies; 

- 

to produce and use energy efficiently,  cleanly and safely  without harming the environment, 
on the basis  of  modern organization  of  production  taking  into account  human  factors; 

- 

to promote  the quality of  life,  placing  the accent on health and 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 and of  society,  for example for a high  level  of  employment; 

to increase the synergies between the international cooperation activities in the energy sector 
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; 

to encourage  the use of  new energy  technologies. 

-45  -

W 

Proposal  for  a 

COUNCIL DECISION 

94/0090<CNS) 

adopting  a specific  research, 

technological  development  and  demonstration  programme  in  the 

field of  transport 

(1994-1998) 

< / £y 

2 

PROPOSAL  FOR  A COUNCIL  DECISION 

adopting  a specific  research,  technological 
development  and  demonstration  programme  (1994-98) 
in  the  field  of  transport 

THE  COUNCIL  OF  THE EUROPEAN  UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130i(4)  thereof, 

Having  regard  to the proposal  from  the Commission,1 

Having  regard  to the opinion of  the European  Parliament,2 

Having  regard  to  the opinion  of  the Economic  and Social  Committee,3 

Whereas,  by Decision  ../..EC,4  the Council  and the European 
Parliament adopted a fourth framework  programme  for Community activities  in the field of 
research,  technological  development  and  demonstration  (RTD)  for  the  period  1994-98 
specifying  inter  alia  the activities  to  be  carried  out  in  the  field  of  transport;  whereas  this 
Decision  takes account  of  the grounds  set out in the preamble  to that Decision; 

Whereas  Article  130i(3)  of  the  Treaty  specifies  that  the  framework  programme  shall  be 
implemented  through  specific  programmes  developed  within  each  activity  under  the 
framework  programme  and that each specific  programme  shall define  the detailed  rules  for 
implementing  it,  fix  its duration and provide  for  the resources  deemed  necessary; 

Whereas this programme will be carried out mainly through shared-cost  activities,  concerted 
activities  and preparatory,  accompanying  and support  measures; 

Whereas,  in  accordance  with  Article  130i(3),  an estimate  should  be  made  of  the financial 
resources  needed  to  carry  out  this  specific  programme;  whereas  the final amounts  will  be 
decided upon by the budgetary authority in accordance with the relative priority  assigned  to 
the  areas  covered  by  this  programme  within  activity  I  under  the  fourth  framework 

1  OJ N"  C230,  16.8.93,  p.4. 

2  OJN-  ...,...,  p. 

3  OJN-  ...,...,  p. 

4  OJN-  ...,...,  p. 

H>-r 

< / *) 

programme; 

Whereas  Decision  .../.../EC  (fourth  framework  programme)  lays  down  that  the  overall 
maximum amount of the fourth framework programme will be reexamined  by 30 June  1996 
at  the  latest  with  a  view  to  its  being  increased;  whereas,  as  a  consequence  of  this 
reexamintion,  the amount deemed  necessary  to carry  out this programme  could  increase; 

Whereas  this  programme  may  make  a  significant  contribution  to  growth,  strengthening 
competitiveness  and the development of  employment in the Community,  as indicated  in the 
White Paper on  "Growth,  Competitiveness  and  Employment".5 

Whereas  the  Commission  communication  to the  Council  on  the future  development  of  the 
common transport policy6 states that the prime objective of research for a European transport 
policy  is  to contribute  to the development,  integration  and management  of  a more  efficient 
and  safer  transport  system  that respects  the environment  and the quality  of  life,  in order to 
promote.sustainable  mobility  of  people and goods; 

Whereas  the development of trans-European  transport  networks  facilitating  network access, 
interconnection  and  interoperability  will  have  a  predominant  role  in  creating  an  open, 
competitive market;  whereas  the research  activities  must be concentrated  on the conditions 
necessary 
interconnection,  particularly  as  regards 
intermodality  and  access  possibilities;  whereas  they  must  promote  the  design  and 
management of  infrastructures  compatible with a safer  environment  for  the user and with a 
better quality/price ratio; 

interoperability  and 

to  network 

Whereas  the  research  activities  for  a  common  transport  policy  must  be  focused  at  the 
strategic European level on modelling and transport scenarios with a view to gaining a better 
understanding  of  transport  demand and of  the impact of  transport  systems  in Europe; 

Whereas, in order to optimize trans-European transport networks, the research activities must 
contribute  to  developing  the  efficiency  of  transport  modes  and  of  individual  operators, 
enhancing  the  scope  for  intermodal  operations,  improving  accessibility  for  users  and 
supporting  the development of  multimodal transport at the urban,  rural,  regional and trans 
European  levels; 

Whereas  the  achievement  of  these  objectives  requires  a  European  approach  to  research 
activities in the field of transport, particularly with a view to exploiting the synergies between 
the various specific activities, at national and Community level, and those conducted by other 
international  organizations; 

Whereas  the RTD activities  must be system-oriented  and integrated,  and take account of the 
strategic goals of European transport policy and the results  of research  conducted within the 
other  themes  of  the  first  activity,  in  order  to  devise  specific  solutions  applicable  to  the 

COM(93)  700 final of  5.12.1993 

COM(92)  494  final,  2  December  1992 

41& 

l28 

transport  sector; 

Whereas the research activities in this field will primarily concern the identification  of needs 
calling  for  new  technologies,  and  the  evaluation,  integration  and  global  validation  of 
technological innovations; 

Whereas  this  research  must  also  attach  particular  importance  to  ergonomics  and  human 
factors  in an operational  framework  and to defining  a new,  harmonized  set of  methods  for 
evaluating  the global impact  of  European  transport  systems  with  a view  to optimizing  the 
trans-European  networks; 

Whereas  several concerted  activities in the field of transport  research  are carried  out in the 
framework of European cooperation in the field of scientific and technical research (COST); 
whereas  some activities provided  for in this programme may follow on from  or supplement 
those concerted  activities; 

Whereas the content of the fourth framework programme for Community RTD activities was 
established  in accordance with the subsidiarity  principle;  whereas  this  specific  programme 
sets out the content of the activities to be carried out in accordance with this principle in the 
field of  transport; 

Whereas  Decision  .../.../EC  (fourth  framework  programme)  lays  down  that  Community 
action  is  justified  if,  inter alia,  the  research  helps  to  reinforce  the  economic  and  social 
cohesion of the Community and to encourage its harmonious development while at the same 
time meeting  the objective  of  scientific  and  technical quality;  whereas  this programme  is 
intended  to help meet these objectives; 

Whereas this programme will help to strengthen synergy between the RTD activities carried 
out  in the field of  transport  by  research  centres,  universities  and enterprises,  in particular 
SMEs, in the Member States and between the latter and the corresponding  Community RTD 
activities; 

Whereas the rules for the participation of undertakings, research centres (including the JRC) 
and universities and the rules governing the dissemination of research  results specified  in the 
measures  provided  for  in Article  130j of the Treaty  apply to this specific  programme; 

Whereas,  in accordance  with  Article  130m of  the Treaty,  it may be appropriate  to engage 
in  international  cooperation  activities  with  international  organizations  and  third  countries 
other than the countries covered by the EEA  Agreement for the purpose of implementing this 
programme; 

Whereas  this programme  also comprises  activities  for  the dissemination  and  utilization  of 
RTD  results,  in particular  targeting  small and  medium-sized  enterprises,  and  in particular 
those in Member  States or  regions  which participate least  in the programme,  and  schemes 
for promoting  the mobility and training of researchers  within  this programme  to the extent 
necessary  for  proper  implementation  of the programme; 

Whereas provision  should  be made for  measures to encourage the involvement of SMEs in 
this programme,  in particular  through  technology promotion  measures; 

utf 

Whereas  an  assessment  should  be  made  of  the  economic  and  social  impact  and  any 
technological risks arising  from  the activities carried  out under  this programme; 

Whereas progress with this programme should be continuously and systematically  monitored 
with a view to adapting  it,  where appropriate,  to scientific  and technological  developments 
in this  area;  whereas  in  due course  there should  be an  independent  evaluation  of  progress 
with  the  programme  so  as  to provide  all  the background  information  needed  in  order  to 
determine the objectives of the fifth RTD framework  programme; whereas at the end of this 
programme  there  should  be  a  final  evaluation  of  the  results  obtained  compared  with  the 
objectives  set out in this Decision; 

Whereas  the Scientific  and Technical Research  Committee (Crest)  has been consulted; 

Whereas  the JRC may participate in the indirect activities covered  by this Programme; 

HAS ADOPTED THIS DECISION: 

Article 1 

A specific research,  technological development and demonstration programme in the field of 
to 
transport,  as  set  out  in  Annex I,  is  hereby  adopted  for  the  period  from 
31 December  1998. 

Article 2 

1. 

2. 

3. 

4. 

The amount deemed necessary  for carrying out the programme is ECU 240 million, 
including  8.5%  for  staff  and administrative  expenditure. 

An indicative breakdown  of this amount is given  in Annex II. 

The amount deemed necessary  for  carrying  out the programme,  as indicated above, 
could  increase  as  a  result  of  and  in  accordance  with  the  Decision  referred  to  in 
Article  1(3) of Decision  .../.../EC  (fourth  framework  programme). 

The budgetary authority shall determine the appropriations available for each financial 
year  in accordance  with  the scientific  and  technological  priorities  set  in  the  fourth 
framework  programme. 

Article 3 

Detailed rules for implementing this programme, in addition to those referred  to in Article 5, 
are set out in Annex III. 

Article 4 

1. 

The  Commission  shall  continually  and  systematically  monitor  with  appropriate 
assistance from  independent, external experts, the progress within this programme in 
relation  to the objectives  set out in Annex I.  It shall in particular assess whether the 

HZK 

2. 

3. 

1. 

objectives,  priorities  and  financial  resources  are  still  appropriate.  It  shall  submit 
proposals  to adapt  or  supplement  this  programme  depending  on  the results  of  this 
monitoring  process. 

In order to contribute to the overall assessment of Community activities provided  for 
in  Article 4(2)  of  the  Decision  adopting  the  fourth  framework  programme,  the 
Commission  shall,  in due course,  have an assessment  made by independent experts 
of  the activities carried  out in the field directly covered  by this programme,  and of 
their  management during  the five years preceding  the assessment. 

At the end of this programme,  the Commission  shall instruct independent experts to 
conduct a final evaluation of the results achieved compared with the objectives set out 
in Annex III to the fourth  framework  programme and Annex I to this Decision.  The 
final evaluation  report  shall be forwarded  to the Council,  the European  Parliament 
and  the Economic and Social Committee. 

Article 5 

A work  programme  shall be drawn  up by  the Commission  in  accordance  with  the 
objectives set out in Annex I and shall be updated where appropriate.  It shall set out 
in  detail  the  scientific  and  technological  objectives  and  specify  the  stages  in  the 
implementation  of the programme and the proposed financial arrangements. 

The work  programme  may also  make provision  for  participation  in certain  Eureka 
activities. 

2. 

The Commission  shall issue calls for proposals for projects on the basis of the work 
programme. 

Article 6 

1. 

2. 

The Commission  shall be responsible  for  the implementation  of  the programme. 

In the cases provided  for  in Article 7(1) below the Commission  shall be assisted by 
an advisory committee consisting of representatives of the Member States and chaired 
by the representative  of the Commission. 

The Commission representative shall submit to the Committee a draft of the measures 
to be taken.  The Committee shall give its opinion on this draft  within a period which 
the Chairman may determine on the basis of the urgency of the issue, if necessary by 
taking a vote. 
The opinion  shall be recorded  in the minutes;  in addition, each Member  State shall 
have the right to request  that its position  be recorded  in the minutes. 
The  Commission  shall  take  the  utmost  account  of  the  opinion  delivered  by  the 
committee.  It shall inform  the committee of the manner in which its opinion has been 
taken into account. 

1. 

The procedure laid down in Article 6(2) shall apply to: 

Article 7 

Hf 

7 

the  preparation  and  updating  of  the  work  programme  referred  to  in 
Article 5(1), 

the evaluation  of  the RTD  projects  proposed  for  a  Community  contribution 
and of the estimated amount of this contribution on a project basis,  where this 
amount exceeds ECU  0.4  millions." 

the  measures  to be taken to evaluate the programme, 

any adjustment to the indicative breakdown of the amount shown in Annex II, 
which  has not been  the subject  of  a budgetary  decision. 

2. 

The  Commission  shall  inform  the  Committee,  at each  of  its  meetings,  of  progress 
with  the implementation  of  the programme  as a whole. 

Article  8 

The Commission is authorized to negotiate,  in accordance with Article  228(1),  international 
agreements with European third countries with a view to involving  them in all or part of the 
programme. 

This  Decision  is  addressed  to the Member  States. 

Article  9 

Done at Brussels, 

For the Council 
The  President 

8 

ANNEX  I 

SCIENTIFIC  AND  TECHNOLOGICAL  OBJECTIVES  AND  CONTENT 

This  specific  programme  fully  reflects  the broad lines of the fourth  framework  programme, 
and applies the selection  criteria and spells out the scientific  and technical objectives  set out 
in that programme. 

Paragraph (...)  of Annex III (first  activity) of the framework  programme is an integral part 
of  this programme. 

General  considerations. 

a. 
The  development  and  implementation  of  the  common  transport  policy  calls  for 
research  designed  to achieve an efficient  and cost-effective  transport  network for goods and 
passengers under the best possible environmental and social conditions and with an acceptable 
level  of  energy  consumption  (sustainable  mobility). 

This  specific  research  programme  is  intended  to  improve  the  efficiency  of  the  individual 
transport  modes  and  speed  up  their  integration  into  a  European  transport  network  and  to 
support  Community  transport  initiatives  at both national and European  levels. 

In 1991 transport services in Europe,  including own account transport and private transport, 
accounted for 5.6  million jobs and between 7 and 8% of GNP, while the transport equipment 
industry  accounted  for  2.6  million jobs. 

The  demand  for  transport  has been risen in  spectacular  fashion  (70%  since  1970)  and this 
trend is continuing.  The growth has resulted in increased congestion,  inefficiency  and lower 
safety performance.  The consequent cost to the European economy is estimated to be at least 
ECU  50 billion per year for road and ECU  4 billion for aviation growing  to ECU  10 billion 
by  2000.  Transport  is  the  second  largest  consumer  of  non-renewable  energy  and,  unlike 
industrial  and domestic  users,  its  level  of  consumption  is  steadily  increasing. 

The  results  of  transport  research  will  therefore  have  a  direct  effect  on  the  economy  and 
quality of life  in the Community.  In addition to the direct effect  on the transport  equipment 
industries,  it will  contribute  to the development  of  the whole  European  industrial  fabric. 

The  general  objective  of  research  under  this  specific  programme  is  to  arrive  at 
b. 
prenormative or prelegislative conclusions making it possible to incorporate into the transport 
sphere  the  development  of  new  generic  technologies  and  further  the  development  of  the 
European  Union  by  establishing  an efficient  transport  system. 

The  aim  of  the  research  in  question  is  to  provide  information  for  technical  and  political 
decisions  and quantify  the foreseeable  impact of  the various  possible  options. 

<fii 

With this in mind, it is necessary to acquire an understanding of mobility in order to analyse 
potential developments. In some cases, it is also necessary to set up experiments in order to 
confirm  in practice  the findings  of more theoretical,  technological  studies and  in particular 
the results of various other specific programmes.  The methodologies for  these experiments 
are part  and  parcel  of  this  research  activity.  They  should  make it  possible  to establish  in 
socio-economic  terms  the  merits  of  introducing  new  technologies  and  carrying  out  any 
technical adjustments  that may be necessary. 

Two types of approach  are needed: 

strategic research  into the general  functioning  of the transport  system, 
specific  research  concerning  the optimization of each mode. 

This research  covers passenger transport and goods transport.  Special attention will be paid 
to the interrelationships  between  the management of these two types of  flows. 

The two approaches  must take into account: 

general policy concerns:  competitiveness,  safety,  energy,  and environment, 
the different  geographical  levels: European,  national,  regional,  urban. 

The exploitation opportunities provided by new technologies, economic development 
c. 
and environmental improvements now make it possible to break down the barriers  separating 
different  modes of transport (and those between transport and information and communication 
systems)  and establish  an integrated  approach. 

This research programme therefore  has two priorities: to provide the basis for a strategy  for 
a trans-European  multimodal network and for  the optimization of networks. 

The first priority will provide industry and authorities with the appropriate decision-making 
instruments  based  on better  knowledge and understanding  of  traffic  flows  (by  establishing 
appropriate forecasting  models for European transport developments), their interactions and 
interdependencies  for  an  assessment  of  transport  demand,  developing  effective  transport 
network  scenarios,  determining  the  impact  of  changes  in  transport  demand,  modal  split, 
economic,  social,  environmental,  energy  and  institutional  influences  based  on  statistical 
information  making it possible to define the needs and constraints to orientate future actions. 
These  tools are essential before  large amounts of public and private  money are committed 
by  the  political  authorities  for  long-term  investments  in  infrastructure  projects,  and  the 
application of new management and communication  systems to transport  services. 

The  second  priority  will  ensure,  on  the  one  hand,  the  development  of  compatible 
management  systems  for  the  individual  transport  modes  as  these  are  crucial  for  network 
interoperability,  interconnection  and  accessibility  as well as,  on the other  hand,  improving 
capacity,  safety,  reliability  and quality  of  the transport  services. 

The research activities will be conducted within a coherent and coordinated framework  taking 
account of the activities under other themes: industrial technologies, telematics, environment 
and  energy,  where  they  relate  to  the  objectives  of  the common  transport  policy.  Work 
focusing on generic technologies will be carried out under the relèvent themes within the  first 
activity,  with  the  result  that  the  demonstration  activity  will  address  the  integration  and 

< / 3^ 

10 

systematic  validation  of  the  results  via  an  integrated  approach  aimed  at  achieving  the 
objectives  of  the common  transport  policy. 

Tangible  results  should  become  available  in  the  short  and  medium  term,  in  particular 
enabling a modular approach and phased implementation of transport systems in coordination 
with Eureka. 

Technology  stimulation  measures,  based  on  the  experience  of  CRAFT  activities  and 
feasibility  awards,  will  be carried  out to encourage and facilitate  participation  by SMEs. 

Outline proposals  may be submitted at any time (a continuously open call for proposals) and 
those proposals  selected will receive a feasibility  award to search for partners and to prepare 
a detailed proposal.  That proposal  will  then be evaluated in order to decide on the funding 
of  the research  project  itself. 

A. 

Strategic  research  for  a trans-European  multimodal  network 

The purpose  of  this research  is  to improve  the efficiency  of  the European  transport  system 
regarded  as a whole with different  modal components.  The research  is  subdivided  into five 
areas  of  investigation: 

Understanding  mobility.  An  understanding  of  mobility  (of  passengers  and  goods)  and 
foreseeable  developments  in  mobility  at  European  level  is  a  prerequisite  for  improving 
European  transport  policy. 
Research  will  be  carried  out  into  the  establishment  of  a  European  database  which  is  as 
compatible as possible  with the existing  national,  regional or local databases.  Attention will 
focus on defining  the procedures  for aggregating  existing bases and using,  for this purpose, 
byproducts  of  existing  systems  or  systems  being  developed  whose  primary  purpose  is 
different  (centralized  reservations,  road information,  electronic  tolls,  logistics,  car phones, 
etc.). The general aim is to achieve an adequate overall understanding,  at the lowest possible 
cost, while respecting  the privacy of individuals and allowing links with more detailed bases 
and less  aggregated  geographical  levels.  Special attention will be paid to flows  into and out 
of  the Community. 
This database should  make it possible  to highlight links and types of  flows  for which modal 
switching  can  be  considered,  and  should  make  it  possible  to  provide  information  for  a 
European  flow  forecasting  model. 

Certain  regions  and  transport  links  in  the  Community  are  affected  by  extremely  acute 
congestion  problems.  By  dealing  with  this  matter  on  a  European  scale,  with  a  common 
transport  policy,  it  should  be possible  to  make better overall  use  of  the existing  networks. 
An  interesting  avenue  of  approach  would  seem  to  be  the  diversification  of  entry  and  exit 
points for flows  of goods and people:  "extra-Community" optimization  may facilitate "intra-
Community" optimization, by reducing internal trips. In this connection, special attention will 
be  paid  to  the  consequences  of  the  increasing  opening  up  of  the  Community  to  Eastern 
Europe.  The above research concerning the present situation and medium-term developments 
should  be  supplemented  by  research  aimed  at  establishing  long-term  forward  planning 
scenarios. 

Developing  intermodality.  The development of  intermodality and complementarity  between 

<r-33 

11 

the different  modes of  transport  is generally  regarded  as a promising  way of  improving  the 
European transport  system.  The above research  will,  as a whole,  seek to clarify  the area of 
excellence  of  each  mode and the technological  and organizational  conditions  governing  the 
achievement  of  complementarity.  The desire  to develop intermodality  and complementarity 
is  based  on  the  (often  implicit)  observation  that  the  comparative  efficiency  of  modes  is 
variable depending on the area in question and the type of flows  involved. The research  will 
aim  to  objectivize  this  observation  by  developing  multicriteria  methodologies  making  it 
possible  to  define  the  conditions  under  which  each  mode  can  be  better  employed.  It  will 
contribute  towards  helping  to  formulate  a  European  transport  policy  compatible  with  the 
sustainable  development  objective. 

Economics of the transport system.  The transport system does not have an intrinsic purpose 
in  itself  but  is  intended  to  enable  other  activities  to  take  place  (production,  consumption, 
leisure,  etc.). 
It  is  increasingly  becoming  a  burden  for  household  budgets  and,  more 
generally,  for the economy as a whole.  Efforts  must be made to combat or even reverse this 
trend.  Two possibilities  should be explored as a matter of priority:  new infrastructures  and 
funding. 
The choice of new infrastructures  has major budgetary consequences and has a lasting  effect 
It  is  a  virtually  irreversible  act  necessitating  solid 
on  the  modal  split  between  flows. 
guarantees. 
The  system  should  be funded  at the lowest  cost by  spreading  the burden between the direct 
and  indirect  beneficiaries  so  that,  as  far  as  possible,  the  sum  total  of  individual  choices 
approximates  to the optimum. 

System  organization  and  interoperability. 
Implementing  transport  policy  may  result  in 
organizational problems associated with technological developments and institutional changes. 
Efforts  should be made to improve the existing organizational set-ups,  while complying with 
the principle of  subsidiarity  and free  competition. 
The  different  national  systems  need  to  be  interoperable  in  order  to  ensure  continuity  of 
services  for  users  throughout  the  European  network.  The  research  will  aim  to define  the 
conditions  needed  for  such  interoperability,  with  particular  attention  being  paid  to 
standardization. 
A  final  point  is  that  the  introduction  of  new  technologies  and  the  Europeanization  of  the 
market will bring about changes in working practices.  Consequently,  it will be necessary  to 
provide  training  in  line  with  the  changing  structures.  There  needs  to  be  a  degree  of 
convergence in working conditions and training if network interoperability  is to be achieved 
satisfactorily. 

Forward  studies.  In  addition  to  research  aimed  at  acquiring  a  better  understanding  and 
ensuring  an  improvement  in  the  European  network  in  the  short  and  medium  terms,  it  is 
necessary  to prepare  for  the longer-term  future  through  appropriate  research. 

Incorporating  and  applying  new  generic  technologies  in  the  transport  sphere,  including 
strategies  for using the global positioning  systems by satellite developed under the telematics 
specific  programme,  in  order  to  improve  network  efficiency  and  safety,  remain  major 
concerns.  Appropriate  scientific  and technical  research  should  make it possible  to find out 
which  are  the  most  promising  in  terms  of  matching  means  and  processes  to  the  general 
objectives  of  European  transport  policy. 

Lastly,  a  better  understanding  of  the  European  transport  system  and  its  probable 

HÏH 

12 

developments  should  make it possible  to highlight  the main dysfunctions.  Research  aimed 
at  resolving  them  should  be  carried  out,  in  particular  concerning  the  establishment  of 
economic  and policy  instruments,  covering  both  the development  of  new  technologies  and 
institutional,  organizational  and socio-economic  changes. 

In particular,  the aim  will  be to  maximize  system  synergies  and  compatibilities  to  develop 
the interoperability  and interconnection of individual transport  modes for  their integration in 
the  trans-European  transport  network  through  a  full  knowledge  and  understanding  of  the 
European 
interrelationships  and 
interdependencies.  Within these  objectives  national initiatives  will  undoubtably play a role, 
but research  at Community  level  is  also  essential  to: 

individual  elements, 

transport  system, 

their 

its 

- coordinate and reinforce  research  to maintain technological development,  and to face up to 
competition  from  America and Asia; 
-  control  the development  of  international  traffic,  which  requires  a strategy  and initiatives; 
-  enable the common  transport  policy  to be supported  through  Community  research. 

This  work  will  help  achieve  a  full  understanding  of  the  European  transport  system,  by 
providing  the  necessary  elements  for  the  development  of  a  multi-modal  trans-European 
network,  through socio-economic and technological research to guide the development of the 
common transport policy, taking account of social benefit (welfare economics), external costs 
and economic  instruments. 

This knowledge (expertise) includes exploring the new technological  means for gathering and 
processing  data  on  European  transport,  the  comprehension  of  modelling  techniques  and 
techniques  for  developing  scenarios  of  mobility  needs  at  urban  regional  and  international 
level;  common  methodologies  for  assessing  technological  innovation  or  new  transport 
concepts  in relation  to economic  efficiency,  safety  performance  and environmental  impact; 
common criteria  for evaluating  the capacity of each transport  mode to contribute  effectively 
to  the  total  trans-European 
lastly,  validation  parameters, 
transport  network  and, 
implementation  strategies  and economic  instruments. 

This work will  make it possible to assess  the nature and volume of  transport  flows,  develop 
common  methodologies  for assessing  the contribution  of  new  technologies  and the growing 
constraints  of  environmental  impact,  safety  performance,  energy  efficiency  and the impact 
of economic instruments.  It is necessary  at the same time to define  development strategies, 
experimental  programmes  including pilot projects  making use of  existing  infrastructure  and 
technological  innovations. 

This  information  system  will  be  further  developed  through  new  technologies  (eg  EDI)  to 
facilitate  and  accelerate  the  data-collection  process,  improve  the  quality  and  reliability  of 
information  collected  and  improve  user  access.  The  statistics  will  also  benefit  from  the 
progress  made  in  spatial  representation  and  modelling  systems  (geographical  information 
systems)  which  will  permit  a  better  interpretation  of  data  as  a  function  of  topographical 
elements. 

In the course of this work it will be necessary  to ensure the coherence of the activities within 
theme 6 of the first activity as well as with all other  transport-related  activities of the fourth 
framework  programme  to guide the initiatives  of  the common  transport  policy. 

</K 

B.  Network  optimization 

13 

In  addition  to  the  above  research  aimed  at  overall  optimization  of  the  European  transport 
system,  it is also necessary  to carry out research into the internal optimization of each mode 
(air,  rail,  road,  urban,  inland  waterway  and  maritime  transport).  Of  course,  the  specific 
optimizations  must  be  compatible  with  the overall  optimization  which  remains  the priority 
objective.  It will  be  necessary  to iron  out any contradiction  between  sectoral  optimization 
and overall  optimization. 

The research  in question  will  take into account areas of  investigation  common  to all  modes 
but which  need  to be  specified  in terms of  the features  of  each  individual  mode. 

Railways 

The work will  basically jbe aimed at removing  obstacles  to the compatibility  of  the national 
rail systems and, to this end, should provide economic and technical solutions to the problem 
of the interoperability  of the rail network as a subsystem  and part of a European intermodal 
system. 

Firstly,  one  of  the  priority  issues  is  the  compatibility  of  train  traffic  control  systems,  on 
which research was  started in the framework  of the EURET programme.  This research has 
the  objective  of  developing  a  European  rail  traffic  management  system  and  its  principal 
functionalities  through  the  integration  of  the  results  of  research  on  generic  technology  in 
other  programmes.  It  was  developed  with  the collaboration  of  the  railways  and industry. 
This  work  needs  to be continued  so  as to develop  a common  architecture  for  the European 
rail  traffic  management  system,  before  moving  on  to the stage of  pilot  projects  to validate 
the technology  through  specific  applications. 

In  this  context  it  is  necessary  to  develop  the  system  specifications,  study  the  ergonomie 
aspects and human factors,  communications and equipment design.  The interfaces  between 
connected  systems,  i.e.  communications,  management,  and information  for  the public and 
other  services  must  be  taken  into  account.  Finally,  considering  the  importance  of  this 
common  architecture  for  the development  of  the European rail network,  and  notably high 
speed  trains,  the  research  results  will  be  validated  in  the  framework  of  safety  criteria 
established  at a Community  level. 

Secondly,  rail  safety  is  based  on  the  principle  of  the  intrinsic  safety  of  equipment  and 
systems.  For  the  new  functionalities,  it  is  necessary  to  use  hardware  and  software 
components  whose  failure  mode is not necessarily  known or  finite.  No  system  is  therefore 
ever  totally  safe  and  there  is  always  a  risk,  however  small,  of  failure.  This  risk  will  be 
quantified  to allow  harmonized  criteria to be applied throughout  the Community and ensure 
that  investment  decisions  for  safety  equipment  can  be  taken  as  a  function  of  their  'added 
value'.  The  research  work  will,  if  possible,  build  on  techniques  developed  for  other 
industries,  and  adapt  them  to  specific  rail  applications,  if  necessary  by  defining  new 
concepts. 

The capacity  of  a rail  section  is  limited  by the need to maintain  sufficient  distance between 
trains  to  enable  each  one  to  stop  in  complete  safety  in  the  remaining  portion  of  available 

V36 

14 

track.  To be able to achieve this, the current safety  systems often  leave a gap which is much 
greater  than  necessary,  in  the  absence  of  knowledge  of  train  braking  performance, 
communication  systems  and  the  specific  approved  spacing  used. 
In  high-density  areas 
improved  train  flow  is necessary;  this requires  recourse  to innovations  developed  in other 
programmes  and  new  techniques  and  safety  systems.  Research  work  is  also  needed  to 
improve performance  and reliability  of safety  systems. 

Thirdly,  with regard  to the interconnection  and interoperability  of rail  networks,  the work 
will concentrate on the elimination of obstacles to rail traffic,  especially at frontiers,  due to 
national equipment  and  requirements,  entailing  new common  solutions  to overcome  them. 
This  research  using  the results  of  other  Community  research  activities,  will  result  in  the 
development  of  interoperability  specifications,  and  mandatory  requirements  forseen  in 
Community drafts  in the framework  of the trans-European  high-speed and conventional rail 
networks,  and  their associated  sub-systems  (infrastructure,  electrical  power  systems etc). 

Integrated  transport  chains 

With the opening of the single market,  the future extension of the European Community and 
the progress  of the Central European countries towards market economies, the international 
transfer  of  goods  will inevitably  grow  strongly.  It  is  generally  expected  that  traffic  will 
double in 20 years.  Faced with such a growth in demand,  the public authorities need to try 
to modify  the supply structure radically, otherwise the major part of this growth will fall to 
the current  dominant  mode : road  transport. 

It  is  generally  recognized  that  road  transport  causes  significant  external  costs.  In  effect, 
considerable nuisance such as atmospheric pollution, lack of safety,  network congestion and 
noise arises  from  road  transport  and is currently  borne collectively. 

Multimodal transport therefore appears to be a promising solution.  Through its development, 
it could contribute to a reduction in road transport and an improvement in the quality of the 
environment. 

The  work  will  be  based  on  existing  research  in  technological,  economic,  social  and 
environmental fields and analyze the costs/benefits  of  transfers  between  modes through an 
evaluation of effective  transfer  options (e.g. short sea shipping).  It has four  main priorities: 

- improving the interfaces between transport  modes and transfer  points to ensure a rapid and 
reliable transfer  of goods or  transport  equipment,  taking  account of technical,  logistic and 
economic aspects as well as the access of small and medium-sized  enterprises  to multimodal 
transport; 
- for  multimodal loading units,  including those more specifically  intermodal,  the work will 
also consider  unit loads adapted  not only to the needs of industry  but also to  infrastructure 
constraints; 
-  for  existing  and  planned infrastructure,  modal interoperability  will be addressed,  notably 
to ensure links with peripheral  or  isolated  regions  of the Community; 
- for logistics, applied to the whole multimodal chain, the work will address the management 
and use of integrated  data-processing  and communication  media. 

w? 

Air  transport 

15 

Firstly the work will address air traffic management (ATM) as part of an overall European 
strategy  developed  in close cooperation  with Eurocontrol  and  the Member  States. Building 
upon existing  work defining  a consolidated  ATM concept,  it will evaluate and demonstrate 
the  integrated  elements,  both  operational  and  technological,  for  a  future  ATM  system 
foreseen  for 2006 - having at least double the existing capacity,  with enhanced safety  and at 
a  minimum  cost.  This  work  will  contribute  notably  to  the  definition  of  the  European 
application  of the work carried  out in the framework  of the ICAO (CNS/ATM). 

In particular, a strategic approach  will develop an overall ATM concept including integration 
of airport  management  systems  through appropriate  modelling and  simulation  to enable the 
definition  of the system  requirements  and high-level  functional  architecture. 

This work will also integrate the results of generic technology research developed under other 
programmes,  identify  the application-related  technologies necessary  to develop an  effective 
system  from  the technological,  operational and organizational  viewpoint. 

Operational  consolidation  will also address  the specific  aspects,  such  as the role of human 
intervention,  automation  of  the  planning  and  executive  control  functions,  the  use  of  an 
experimental  aeronautical  telecommunications  network  (ATN),  using,  and  adapting  as 
necessary,  the innovations  developed  in  the context  of  other  activities.  The  integration  of 
these  elements  will  be  validated  initially  on  experimental  test  benches  to  enable  the 
improvement in capacity and safety of the overall ATM system to be quantified.  To facilitate 
the integration  and validation process  a validation plan will be developed  together  with the 
methodology to be used in the process.  Suitable certification  methods will be developed and 
validated  for  such failure-critical  ATM systems. 

Secondly,  the work will addresss  air transport safety  to complement the work of the joint 
aviation authorities  and national aviation  administrations. 

In particular it will model and assess the airworthiness and operational factors  that affect  the 
safety of air transport, determine possible solutions to safety shortcomings and support  future 
standardization  and  regulatory  activities  in  the  field  of  certification  and  inspection  of 
airworthiness. 

Through strategic research,  including modelling of the influence of critical factors,  the work 
will address: passenger  survival criteria; external hazards (icing, collision with the ground, 
electromagnetic  integrity,  engine  ingestion,  etc.);  as  well  as  aircraft  reliability  and  safety 
standards  (airworthiness  requirements)  linked with noise,  emissions etc. 

More precisely, with regard to survival, the inspection of airworthiness and flight operations, 
work  will  take  account  of  the  results  of  the  industrial  technology  programme  concerning 
aircraft  design and will address the feasibility  and socio-economic and systematic evaluation 
of technologies design  to improve crash and fire protection, passenger  evacuation,  integrity 
and reliability  of crack-detection  techniques, certification  methods, human factor  issues  for 
long-range  and  high-workload  operations,  and  take-off  and  landing  criteria  for  runways 
rendered  difficult  because of atmospheric conditions. 

^5 

Urban  transport 

16 

Urban transport poses three types of problems,  namely energy efficiency,  transport-system 
efficiency  and environmental protection.  The technical responses  to these problems are not 
necessarily  the same but together they must contribute to resolving these three problems.  To 
this  end,  the  action  undertaken  in  the  telematics,  energy  and  transport  spheres  must  be 
developed  in a coherent  fashion. 

The  work  will  address  the  solutions  able  to  improve  the  "attractiveness",  efficiency  and 
capacity of urban transport  systems,  to rationalize traffic  management and transport demand 
by improving  the conditions of urban life and contributing  to the creation  of a real  citizens 
network.  In particular,  the work will address  : 
- ecological traffic  management, 
-  safety  management,  including  unprotected  users, 
- optimization of road  use, 
-  measures and conditions  to stimulate public transport  as opposed  to private  transport, 
-  design  of  transfer  ppints  between  local  and  long-distance  traffic  to  improve  town 
accessibility. 

In addition, it will also analyze on the one hand the financing and charging systems for urban 
transport  and  in particular  public  transport  as advocated  in  the White Paper  on a common 
transport policy,  and on the other hand the external costs entailed by the different  modes of 
transport in built-up areas (public/private,  level of responsibility).  In particular,  the effects 
of different  systems  of  financing  public transport  will be looked  at. 

With the coming of the internal market, all Member States are today looking for  new  forms 
of  organization  and  new  financing  modes  for  urban  transport  systems.  This  involves  the 
application of new technologies,  namely use of telematic tools,  new energy  sources,  use of 
new means of transport, traffic  regulation, urban tolls, planning of transfers  and management 
of parking.  It will be necessary  to integrate these elements taking account of the individual 
conditions  in  urban  areas,  and  to  proceed  to  a  large-scale  evaluation  of  this  integration 
through  pilot projects. 

Most built-up areas  will have to introduce a range of  measures  (road  pricing,  modal  split, 
...),  but  little  is  known  about  the complex  interactions  which  will  arise  in  these  different 
combinations  and  their  interfaces  with  interurban  systems.  A progressive  introduction  of 
selected  measures  could  be carried  out  in  towns,  chosen  for  the purposes  of  research,  to 
validate them and ensure  their gradual  implementation. 

A validation  of procedures  by simulation  and tests on the ground  is,  in effect,  necessary  to 
evaluate their environmental and socio-economic effects  as well as the contributions  of new 
technologies  and  types  of  organization  (industrial  or  telematic  innovations,  regulatory 
measures  or  new  transport  organizations)  necessary  for  the  achievement  of  sustainable 
mobility. 

Maritime  transport 

The research  has the objective of increasing efficiency,  improving  safety  and protecting  the 
environment  of  maritime  transport  through  the development  of  common  solutions  to  the 

ny 

17 

major problems, not only strategic but also technological, for the development of operational 
systems  which  integrate  new  generic  technologies,  organizational  factors  and  human 
resources. 

Firstly,  the  work  will  address,  amongst  other  things,  the  evaluation  and  modelling  of 
maritime transport supply and demand  and flows of goods, at both world and intra-European 
levels.  In particular,  the role of short-sea  shipping  in maritime transport  will be analyzed 
within the framework  of  the logistics  chain and the need for  harmonization  of procedures. 
This  will  include  the  development  and  evaluation  of  sea/inland  waterway  systems  and 
analysis of competitiveness between operators (both Community and non-Community) for the 
whole operation  (land and maritime),  management structures,  the chain of human resources 
and the quality of  service (total quality control, ...). 

Secondly,  the work will evaluate (particularly  through  simulations)  the contribution  of new 
technologies,  notably those developed under the telematics programme,  to the improvement 
of maritime traffic  management.  In particular,  information  exchange between ports and port 
communities  will help Û\t flow of goods,  improve safety  and the interface  role of ports.  It 
is also necessary  to analyze and develop new techniques for  the whole operation  (ships and 
ports),  notably  taking into account the problem of standardization  of cargo unitization. 

It is also necessary  to analyze the options for improving the provision of maritime transport 
through  the application  of new technologies,  notably new rapid  transfer  systems  for  goods 
and  passengers  and  by  the  analysis  of  their  impact  on  professional  qualifications  and 
infrastructure  capacity.  This  will address  the definition  of  a new  generation  of  operating 
systems  and  higher-performance  ships,  able  to  ensure  more  efficient,  safer  and 
environmentally  friendly  operations  (e.g.  higher  speed,  reduced  emissions  and  fuel 
consumption);  in  particular  the conceptual  and  design  requirements  resulting  from  safety 
measures  linked  with  the  transport  of  dangerous  goods  must  be  analyzed.  The  use  of 
alternative,  more environmentally  friendly  energy sources will also be examined, as well as 
the treatment  of refuse  from  ships and in the ports. 

Thirdly,  the  work  will  also  evaluate  the  factors  having  an  influence  on  maritime  safety. 
Simulation  methods  for  traffic  scenarios  will be developed.  The application  of  integrated 
telematic tools will be evaluated.  The impact on safety  of the whole chain of human  factors 
will  be  assessed  (e.g.  ship  operation,  traffic  management  and  control,  shore-based 
operations).  Common  criteria  for  establishing  the  level  of  training  of  crews,  as  well  as 
procedures  for  the  whole  operation  (ship  and  shore-based),  communications  and  traffic 
management  will be developed. 

Finally,  the work will address  specific  research  such as : 

- a common  methodology  to investigate and determine accident causes,  and the means and 
tools to remedy  them, 
-  the provision  of an operational  solution  for  a working  European  "electronic chart display 
and information"  system, 
- the harmonization of common procedures at European  level to facilitate the flow of goods, 
- a common approach  to evaluate the problems  of pollution  and  sedimentation  in ports and 
remedy  them. 

^LfO 

Inland  waterways 

18 

The  work  will  address  the  integration  of  new  generic  technologies  together  with 
organizational  factors  and human resources  for  inland waterways. 

It will analyze in particular the role of this transport mode in the whole chain and will define 
evaluation  criteria  for  scenarios  which  are able,  as a  whole,  to reflect  the importance and 
potential  of  inland  waterways  and  in  particular,  the  obstacles  which  could  hamper  the 
development and  transfer  of goods transport  demand  to inland  waterways. 

In particular,  the work will enable the transfer  of the results of generic technology research 
to inland waterways  with respect  to cost-benefit,  safety  and environmental  impact criteria, 
notably  to  improve  the  whole operation  of  ships  and  ports.  It  will  also  be  necessary  to 
examine the evolution  of barge  construction  and  characteristics  as  a  function  of  increased 
speed, reduced emissions and energy consumption.  Similarly, human factors with regard to 
safety on barges and inland infrastructure  need to be analyzed, particularly  the requirements 
for certification,  training and the operational use of information  and communication means. 
Finally,  the  work  will  address  restrictions  to  navigation,  low-depth  hydrodynamics, 
infrastructure,  ports,  traffic  management and organization,  and goods information  flows. 

Road transport 

Research  in  this  area  should  contribute  to  greater  efficiency  of  road 
capacity of road  infrastructure  and rationalization of  movements. 
Many  technologies  have  been  developed  independently  and  now  have  to  be  subjected  to 
comprehensive  assessment  in relation  to the objective of  sustainable  mobility. 
Assessment  will  be  done  through  modelling,  simulation  and  field  tests,  including  pilot 
projects. 
This  work  will  serve  as  an  instrument  for  identifying  appropriate  applications,  their 
interaction  and  their  socio-economic  effects. 

tranport,  enlarged 

This involves pre-normative and legislative activities in support of a common policy for road 
safety. 

In particular it will address, amongst other things, the integration of infrastructure,  vehicles, 
human  beings  and  telematic  tools  with  the  objective  of  improving  traffic  circulation  and 
safety. 

vv 

19 

ANNEX H 

INDICATIVE BREAKDOWN OF THE AMOUNT DEEMED NECESSARY 

1. 

2. 

2.1 

2.2 

2.3 

2.4 

2.5 

2.6 

Strategic  research  for  a trans-European 
multimodal network  (definition, 
demonstration  and validation) 

Network optimization 

Rail transport 

Integrated  transport  chains 

. 

Air transport 

Urban  transport 

18-22% 

78—82% 

16—18% 

5 - 7% 

16—18% 

10—12% 

Maritime transport  and inland waterways 

19—21% 

Road transport 

8-10% 

1  2 
100%\ 

The breakdown  between  different  areas  does not exclude the possibility  that projects  may 
come under  several areas. 

Including 4.75 %  for staff expenditure and 3.75% for administrative expenditure. 

Including  a  sum  of  about  ECU  2  million  which  will  be  allocated  to 
dissemination  and utilization of the programme results. 

HHt 

„ 

20 

ANNEX III 

DETAILED RULES FOR IMPLEMENTING THE PROGRAMME 

1.  The detailed  rules  for  the Community's  financial  contribution  are laid down  in Annex 

IV to the Decision  on the fourth  framework  programme.. 

The detailed  rules  for  the participation  of undertakings,  research  centres and 
universities,  and  for  the dissemination  of results  will be laid down  in the measures 
provided  for  by Article  130j of the Treaty. 

However,  for  the purpose of implementing  this programme,  the following  exceptions 
shall apply: 

Participation  in this programme  is open,  with financial support  from  the Community: 

a. 

to all legal entities,  established  and regularly  carrying  out RTD  activities 
in the Community,  or 
in a third  country  associated,  wholly or in part,  with the implementation  of the 
relevant programme  through an agreement concluded  between  the Community and 
the said  third  country 

b. 

to the Joint  Research  Centre 

Participation  in this programme  is open,  without financial  support  from  the 
Community,  and  on condition  that their participation  is in the interests  of  Community 
policies: 
to legal entities established  in a country  which has concluded  a scientific  and 
technical co-operation  agreement  with the Community relating  to activities covered 
by the programme,  provided  the participation  accords with the terms  of the 
agreement, 
to legal entities established  in a European  country, 
to international  research  organisations. 

a. 

b. 
c. 

The participation  of  European  international  organisations  may be financed  on the same 
basis as that for  Community  organisations  in duly specified  cases. 

2.  This programme  will be carried  out in the form  of: 

2.1  Financial participation  by the Community  in RTD activities carried  out by third 

parties  or  by JRC institutes  in association  with third parties: 

(a)  Shared-cost  activities: 

RTD projects  carried  out by undertakings,  research  centres and 
universities,  including consortia  for  integrated  projects  with a common 
theme; 
technology  stimulation  to encourage and facilitate  participation  by SMEs by 
granting  an award  covering  the exploratory  phase including  research  by 
partners  of an RTD activity and via cooperative research.  The award  will 

ktâ 

21 

be granted  following  the selection  of outline proposals  which  may be 
submitted  at any time; 

support  for  financing  the infrastructure  or  installations  necessary  for 
coordinated  action  (closer coordination). 

(b)  Concerted  action,  which consists  of coordinating,  particularly  with the aid of 

concertation  networks,  RTD projects  already  funded  by public authorities or 
private bodies.  Concerted  action can also include the requisite coordination  of 
thematic networks bringing  together  manufacturers,  users,  universities  and 
research  centres  to work on the same technological or  industrial  objective  under 
shared-cost  RTD activities  (cf.  first  paragraph  of Section 2.1(a)). 

(c)  Specific  measures  such as action to promote standardization,  and measures  to 
provide general tools to research  centres,  universities  and undertakings.  The 

. Community's contribution  covers up to  100% of the cost of these measures. 

2.2  Preparatory,  accompanying and  support  measures: 

studies in support  of this programme and in preparation  for  future 
activities; 
conferences,  seminars,  workshops  or other  scientific  or  technical meetings, 
including intersectoral  or  multidisciplinary  coordination  meetings; 
use of external expertise,  including access to scientific  databases; 
scientific  publications,  including the dissemination,  promotion and 
utilization of the results  (in coordination  with the activities conducted  under 
the third  area of activity); 
studies  to assess  the socio-economic consequences  and any  technological 
risks associated  with all the projects  under this programme.  Close 
cooperation  will be ensured  between the socio-economic  impact  studies and 
socio-economic research  programme,  to ensure that the results of the 
studies are exploited and used; 
training activities related  to research  covered  by this programme; 
independent evaluation  (including studies)  of programme administration  and 
of the implementation  of the activities. 
measures  in support  of the operation of  networks to provide  information 
and decentralized  assistance  to SMEs in coordination  with the 
Euromanagement auditing activity on RTD. 

, 

The activities relating to dissemination  and utilization  of  results carried  out 
under  this programme  will complement those of the third  activity  and will be 
closely  coordinated  with them.  The RTD project  partners  constitute privileged 
networks  for  the dissemination  and utilization  of  results.  They  will be enhanced 
by  means of publications,  conferences,  promotion  of  results,  studies of  technical 
and economic potential,  etc.  In order  to ensure optimum exploitation,  account 
must be taken right from  the outset in RTD projects  of  factors  that can 
encourage  subsequent  utilization  of results. 

ijifif 

FINANCIAL  STATEMENT 

1. 

TITLE OF OPERATION 

Specific programme of research,  technological  development arid demonstration  in the  field 
of  transport. 

2. 

BUDGET HEADING 

B6-7161 

3. 

LEGAL BASIS 

Article  130i of  the Treaty  on European  Union 

Council and European  Parliament  Decision  concerning  a framework  programme of 
Community activities  in the field of research,  technological  development and 
demonstration  (1994-98). 

4. 

DESCRIPTION OF OPERATION 

4.1  General objective 

Stimulus to conceptual and technological  innovations centred  on: 

strategic research  for  a trans-European  multimodal network 
optimization  of each of  the transport  modes. 

4.2 

Period covered 

1994-98 

5. 

CLASSIFICATION OF EXPENDITURE OR REVENUE 

Non-compulsory  expenditure/differentiated  appropriations 

6. 

TYPE OF EXPENDITURE 

Studies/subsidies 

In principle,  the direct activities  will be  100%  funded. 

The concerted  activities  may qualify  for  a contribution  of  up to  100% of the 
coordination costs. 

Subsidies  for joint  financing  with other  sources  in the public and/or  private sector 

The shared-cost  activities comprising  RTD projects  will qualify  for  a contribution 

HkS-^jé 

of  not more than 50%. 

Universities  and other  research  centres  participating  in RTD projects  and unable to 
substantiate  their  total costs  in  sufficient  detail  for  the Commission,  based  on an 
analytical accounting  system,  will  qualify  for  100%  funding  of  the additional 
costs. 

Other  shared-cost  activities  (for  example,  networks,  training,  feasibility  awards  or 
accompanying  measures)  will  qualify  for  up to  100% of  the additional  costs  or  of 
the costs  of  the measure. 

Staff,  administrative  and operating  costs 

These  also cover  the costs of  personnel  covered  by the Staff  Regulations  and other  staff, 
studies,  meetings  of  experts,  conferences  and congresses,  information  and publications, 
administrative,  technical  and operating  costs,  and certain  other  internal  infrastructure  and 
operating  costs  for  attainment of  the objective  and of  the activity  of  which  they  are an 
integral part. 

7. 

FINANCIAL  IMPACT 

7.1  Method  of  calculating  total  cost  of  operation 

* 

Staff  costs:  ECU  11.40  million  (4.75%  of  the ECU 240  million  deemed 
necessary). 

The  1994 staff  levels  will  be maintained,  i.e.  6  posts.  These posts  break down as 
follows:  4A  +  IB  -I-  IC. 
New  posts  will be added progressively  in  1995,  1996 and  1997,  depending  on the budget 
available each year.  This  increase  is  warranted  by the configuration  of  the programme 
which includes new  areas of  activity  not covered  by previous  programmes:  urban 
transport,  road transport,  airport  management,  air transport  safety,  inland waterways, 
short  sea  shipping  and strategic  research  which  result  in an increase  by  a factor  of  about 
10 in the size of  the programme  in comparison  with the previous. 

It is  important to note that the staff  working  on  this  specific  programme  will  also  be 
responsible  for  scientific  monitoring  and for  monitoring  the contracts  relating  to previous 
activities. 

* 

* 

Administrative  costs,  (including  personnel  not covered  by  the Staff  Regulations): 
ECU 9.00  million  (3.75%  of  the ECU  240  million deemed  necessary). 

Operating  costs:  ECU  219.60  million  (91.50%  of  the ECU  240  million  deemed 
necessary),  including  the cost  of  accompanying  measures,  evaluations and 
concertation  activities. 

Ulf 

7.2 

Itemized  breakdown  of  costs  (in  million  ecu  and %) 

Strategic  research  for  a trans-European 
multimodal  network 
Rail  transport 
Integrated  transport  chains 
Air transport 
Urban  transport 
Maritime  transport  and  inland 
waterway  navigation 
Road  transport 

43.20  - 52.80 

18-22% 

38.40  - 43.20 
12.00  -  16.80 
38.40  - 43.20 
24.00  - 28.80 
45.60-50.40 

16-18% 
5-7% 
16-18% 
10-12% 
19-21% 

19.20  - 24.00 

8-10% 

TOTAL 

240 

100%  (1+2) 

(1) 

(2) 

Including  ECU  11.40  million  (4.75%)  for  staff  costs  and ECU  9.00  million 
(3.75%)  for  administrative  costs. 

This  amount  includes  ECU  2.00  million  of  the  amount deemed  necessary  for  the 
cost  of  dissemination  and  utilization  of  the results. 

7.3 

Indicative  schedule  of  appropriations 

Commitment 
appropriations 

1995  37.00 
1996  115.00 
1997  72.00 
1998  16.00 

Payment  appropriations 

1995  1996  1997 

1998 
et seq 

TOTAL 

4.70  21.03 7.59 
46.02  34.52 
29.07 

3.68 
34.46 
42.93 
16.00 

37.00 
115.00 
72.00 
16.00 

Total  240.00 

4.70  67.05 71.18  97.07 

240.00 

8. 

WHAT  ANTI-FRAUD  MEASURES  ARE  PLANNED? 

Numerous  administrative  and  financial  controls  have been  introduced  at every  stage of  the 
procedure  for awarding  and  implementing  research  contracts.  These  include: 

Prior to  conclusion of the  contract: 

initial  selection  of  the proposals  on  the basis  of  their  scientific  merit and of 
how  realistic  the research  costs  are,  considering  the nature,  duration and 

w 

initial selection of the proposals on the basis of  their scientific  merit and of 
how realistic the research  costs are, considering  the nature,  duration and 
potential impact of  the project; 

analysis of the financial  data submitted  by the proposers  in the negotiation 
form. 

After signature  of the contract: 

examination of the statements of expenditure before  payment at various 
levels (financial  controller and  scientific  manager); 
on-the-spot  inspections of  the supporting  documents  to detect any errors  or 
other irregularities.  To tighten  up these controls,  the Commission  has set 
up a central audit unit which  is responsible  for  all the inspections.  The 
inspections are carried  out either by members of  the audit unit or,  under 
their supervision,  by firms of auditors with which the Commission  has 
concluded  framework  contracts. 

9. 

ELEMENTS  OF COST-EFFECTIVENESS  ANALYSIS 

9.1 

Specific  and  quantifiable  objectives; target  population 

(a) 

Specific  objectives 

A. 

Strategic research for  a trans-European  multimodal network 

Definition,  demonstration  and validation,  including pilot projects 

B. 

Network optimization 

Rail (traffic  management,  safety,  interoperability) 
Integrated  transport  chains (transshipment  and logistics) 
Air (air traffic  management,  safety) 
Urban  (traffic  management and optimization) 
Road  (traffic  management,  logistics,  safety) 
Maritime and  inland  waterway  navigation  (traffic  management  (VTS),  safety, 
human  factors) 

This research  will ensure network interoperability  through a system-oriented  approach 
based on  modelling,  scenarios,  evaluation  and demonstration  of  the integration of 
technological  innovations,  including pilot projects,  e.g.  concerning  the development of 
common  traffic  information  and  management  systems  for  maritime transport and 
integrated  experimental  test benches  for air traffic  control. 

Resources  will  need  to be concentrated  in order  to sustain  research  on  the optimization of 
the various  transport  modes.  Pursuit of  this objective  will  involve  research  work 
concentrating  on  the design and  integration  of  technological  innovations concerning  traffic 
management  systems  for all  transport  modes, e.g.  control and  command  of  the 

<w 

high-speed  rail  network,  air traffic  management  (ATM)  and  maritime  traffic  management 
(VTS),  etc.  Other  research  will  be conducted,  notably  on  safety  (man  vehicle 
infrastructure  and in particular  human  factors)  which  always  proves  to be a critical  factor 
in applying  innovations,  reliability  (e.g.  improvement  of  port  services,  airport  services, 
public transport,  etc.)  and quality  (e.g.  with  a view  to shifting  demand  from  one  mode to 
another)  with  due regard  for  environmental  factors  and energy  efficiency. 

Prenormative  research  activities  (e.g.  for  certification  of  aircraft,  cargo and  transshipment 
units and for  certification  of  crews)  and experiments  relating  to the development  of 
network  utilization  architectures,  the analysis  of  organizational  and human  factors, 
logistics  and other operational  factors  (e.g.  man/machine  division  of  tasks)  will  be 
developed,  integrated  and validated. 

There  will  be close  liaison  with other  Community  research  programmes.  Important 
contributions  are expected  from  other  programmes  developing  innovative  solutions  based 
on generic  technologies,  such  as  telematic  tools  for  traffic  management,  propulsion 
systems  in the field of  industrial  and  materials  technologies  and other  technologies  in  the 
field of  energy  and the environment  (e.g.  technologies  to reduce energy  consumption  and 
pollution). 

(b) 

Target  population 

A. 

Direct: 

Undertakings,  research  centres  and  universities 

B. 

Indirect 

All  users  of  private and professional  transport 
The private and professional  transport  services  industry 
The  transport  equipment  sector 
The economy  as a whole 

9.2  Grounds  for  the  operation 

9.2.1  Reasons  or  need  for  Community  action 

Transport  policy  is a common  policy  which  has  undergone  exponential  development  since 
the completion  of  the internal  market.  It must  be devised  and  implemented  on  the basis 
of  targeted  research,  the results  of  which  will  provide  the basis  for  the establishment  of 
an efficient,  profitable  transport  network  for  passengers  and goods  under acceptable 
conditions  as  regards  the environmental  and  social  dimension  and energy  consumption. 

The research  must  improve  the efficiency  of  each  transport  mode,  speed  up their 
integration  in a European  transport  system  and  support  the Community  initiatives  both at 
national and European  level. 

Transport  demand  has experienced  spectacular  growth  of  70%  since  1970,  and is 

<fSTO 

continuing  to grow owing to the required  mobility of people and goods.  This  growth  is 
reflected  in increasing  congestion,  inefficiency  and lack of  safety.  The costs  to the 
European  economy of these disfunctions  are put at over ECU 50 billion per annum  for 
road  transport  and ECU 4 billion for  air  transport  now, rising to  10 billion in the year 
2000.  Transport  is the second biggest consumer  of non-renewable energy  and,  unlike 
industry  and domestic users,  its consumption  is continuing to grow. 

Consequently,  the results  of research  on transport  have a direct  impact on the economy 
and quality of  life in the Community.  Apart  from  the direct effects  on the transport 
media industries,  they will contribute  to the development and efficiency  of the whole of 
the European  industrial  fabric. 

Utilization of  the opportunities offered  by  the new technologies,  economic growth  and the 
improvement  in the quality of life  now  make it possible to eliminate the barriers  between 
the different  transport  modes - and between  transport  and information  and 
communications  systems  - and to put in place an integrated  common  approach. 

The work should  therefore  have two priorities:  to provide the building blocks of a 
strategy  to implement a trans-European  multimodal network on the one hand and to 
optimize transport  networks on the other. 

The first priority  must provide industry  and  the authorities concerned  with the appropriate 
decision-making  tools, based on a better  knowledge and understanding  of traffic  flows 
(creation of appropriate  models for  forecasting  the development of European  transport), 
and of their interactions  and interdependencies.  They can then be used  to evaluate 
transport  demand,  develop scenarios  for  efficient  transport  networks,  evaluate the impact 
of variations  in demand and of the modal split  together  with their  institutional,  economic, 
social, environmental  and energy  impact on the basis of  statistical  information  that can 
serve to define these needs and the constraints  to be taken into account  with a view to 
giving guidance for  future  action. 

These tools should  enable the political authorities  to decide,  in  full  knowledge of the 
facts,  on the long-term  commitment of public and private capital  for  infrastructure 
investments  and  for  the application  of  new  management and communication  technologies 
to transport  services. 

The second priority  should ensure,  firstly,  the development of compatible systems  for  the 
management of the transport  modes,  an essential  step towards  guaranteeing 
interoperability,  interconnection  and accessibility  of the networks,  and,  secondly,  the 
improvement  in the capacity,  safety,  reliability  and quality of the transport  service. 

Research  will be conducted  in a coherent,  coordinated  framework,  taking account of the 
activities carried  on within the "industrial  technologies",  "telematics",  "environment"  and 
"energy"  themes to the extent that they attempt to respond  to the objectives  of the 
common transport  policy.  Work on generic  technologies will be involved  in each of  the 
corresponding  themes of the first activity. 

Specific  results  are expected in the short  and  medium term,  which  would permit a 

4SW 

modular approach  and a gradual  implementation  of transport  systems  while ensuring 
coordination  with EUREKA. 

9.2.2  Choice of  ways and means 

This programme  will be carried  out in the form  of: 

1. 

Financial participation  by the Community  in RTD activities carried  out by third 
parties or by JRC institutes  in association  with third  parties: 

(a) 

Shared-cost activities: 

RTD projects  carried  out by undertakings,  research  centres and universities, 
including consortia  for  integrated  projects  with a common theme; 

technology  stimulation  designed,  through  cooperative research,  to enable groups of 
undertakings  with no adequate research  resources  of their  own,  in particular 
SMEs,  to commission  third  parties  to carry  out research  needed  to solve a 
common  technical problem.  Technology  stimulation  may also involve  feasibility 
awards  to facilitate  SME participation  in RTD projects;  the Community's 
contribution  would  normally  not exceed  75% of the costs of  the initial activity 
with a maximum of (ECU 50 000)  for  a period  normally  not exceeding 
(9 months); 

support  for  financing  the infrastructure  or  installations  necessary  for  coordinated 
action  (closer  coordination). 

Concerted action,  which consists  of coordinating,  particularly  with the aid of 

(b) 
concertation  networks,  RTD projects  already  funded  by public authorities  or private 
bodies.  Concerted  action can also include the requisite coodination  of  thematic networks 
bringing  together  manufacturers,  users,  universities  and reseach  centres  to work on the 
same technological or industrial  objective  under  shared-cost  RTD activities  (cf.  first 
paragraph  of Section 2.1(a)). 

Specific  measures such as action  to promote standardization,  and  measures  to 

(c) 
provide general  tools to research  centres,  universities  and undertakings.  The 
Community's contribution  covers  up to  100% of  the cost of these measures. 

2. 

Preparatory,  accompanying  and  support  measures: 

studies  in support  of this programme  and  in preparation  for  future  activities; 
conferences,  seminars,  workshops  or other  scientific  or  technical meetings, 
including intersectoral  or  multidisciplinary  coodination  meetings; 
use of external expertise,  including access  to scientific  databases; 
scientific  publications,  including  the dissemination,  promotion  and  utilization of 
the results; 
studies to assess  the socio-economic  consequences and any technological risks 

fvi 

8 

associated  with all  the projects  under this programme; 
training  activities  related  to  research  covered  by  this programme; 
independent evaluation  (including  studies)  of  programme  administration  and of  the 
implementation  of  the activities. 
The activities  relating  to dissemination  and utilization of  results  carried  out under 
this programme  will  complement  those  of  the third activity  and will  be  closely 
coordinated  with  them.  The partners  in  RTD projects  are excellent  vehicles  for 
the dissemination  and utilization  of  results.  They  will  be enhanced  by  means of 
publications,  conferences,  promotion  of  results,  studies  of  technical  and economic 
potential,  etc.  In order  to ensure  optimum  exploitation,  account  must  be taken 
from  the outset  and throughout  RTD  projects  of  factors  that can  encourage 
subsequent  utilization  of  results. 

The action  will  above all  take the  form  of  shared-cost  activities  because  of  the very 
nature of  the work  relating  to efficiency  and profitability  (which particularly  affects 
operators  and their  suppliers)  and  its  highly  targeted  nature.  However,  concerted  action 
is  planned in certain cases,  e.g.  air  traffic  safety,  reduction  of  pollution  in ports  and a 
common operational  system  of  electronic  marine cartography. 

9.3  Monitoring  and  evaluation  of  the  operation 

9.3.1  Performance  indicators  selected 

Contracts  will  be awarded  after  selection  of  the proposals  (received  following  a call  for 
proposals)  on the basis  of  an evaluation  by  independent experts.  They  will  base their 
evaluation on certain  criteria  (conformity  with  the technical  objectives  of  the programme, 
conformity  with the priority  themes,  precompetitive  nature,  scientific  and technical 
quality,  realistic  approach  to project  management,  economic  importance  of  potential 
applications,  experience  of  the personnel  concerned,  importance  of  multinational 
cooperation,  etc.). 

9.3.2  Details  and  frequency  of  planned  evaluations 

For each contract:  intermediate  report  every  six  months  plus  a final report. 
Monitoring  of  the contractors'  working  meetings  by the officials  technically 
responsible  for  the activity. 
Quarterly  meetings  with  the representatives  of  the Member  States  in the 
Management  Committee. 
Mid-term  review  by independent experts. 

In order  to contribute  to the overall  assessment  of  Community  activities  provided  for  in 
Article 4(2)  of  the Decision  adopting  the  fourth  framework  programme,  the  Commission 
shall,  in due course,  have an assessment  made by  independent experts  of  the activities 
carried  out in  the field directly  covered  by  this programme,  and of  their  management 
during  the five years  preceding  the assessment. 

At the end of  the programme,  the Commission  shall  instruct  independent  experts  to 
conduct  a final evaluation  of  the results  achieved  compared  with the objectives  set  out in 

HS3 

Annex  III to the framework  programme  and  Annex  I to the Decision  adopting  this 
programme.  The final evaluation  report  shall  be  forwarded  to the Council,  the European 
Parliament  and the Economic  and Social  Committee. 

v sy 

Proposal for a 

COUNCIL DECISION 

94/0091 (CNS) 

adopting a specific  programme  in the 

field of targeted socio-economic  research 

(1994-1998) 

^srr 

PROPOSAL FOR A COUNCIL DECISION 
of  ... 
adopting a specific  programme of 
targeted socio-economic  research  (1994-98) 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130i(4) thereof, 

Having regard  to the proposal  from  the Commission,1 

Having regard  to the opinion  of the European  Parliament,2 

Having regard  to the opinion of the Economic and Social Committee,3 

Whereas,  by Decision  ../../EC,4  the Council and the European 
Parliament adopted a fourth  framework  programme for Community activities in the field of 
research,  technological  development  and  demonstration  (RTD)  for  the  period  1994-98 
specifying  inter alia the activities  to be carried  out in the field of targeted socio-economic 
research;  whereas this Decision takes account of the grounds set out in the preamble to that 
Decision; 

Whereas  Article  130i(3)  of  the  Treaty  specifies  that  the  framework  programme  shall  be 
implemented  through  specific  programmes  developed  within  each  activity  under  the 
framework  programme and that each specific programme shall define the detailed rules for 
implementing  it, fix its duration  and provide for  the resources deemed necessary; 

Whereas  this  programme  will  be  carried  out  mainly  through  indirect  activities  and 
preparatory,  accompanying  and  support  measures; 

Whereas,  in  accordance  with  Article  130i(3), an estimate  should  be  made of  the  financial 
resources  needed  to carry  out this  specific  programme;  whereas the final amounts will be 
decided upon by the budgetary authority in accordance with the relative priority assigned to 
the area covered by this programme within activity I under the fourth framework programme; 

1 
2 
3 
4 

OJ  No  ...,...,  p. 
OJ No  ...,...,  p. 
OJNo  ...,...,  p. 
OJ  No  ...,...,  p. 

- 2-

Whereas  Decision  .../.../EC  (fourth  framework  programme)  lays  down  that  the  overall 
maximum amount of the fourth  framework  programme will be reexamined by 30 June  1996 
at  the  latest  with  a  view  to  its  being  increased;  whereas,  as  a  consequence  of  this 
reexamination,  the amount deemed  necessary  to carry  out this programme  could  increase; 

Whereas the content of the fourth framework programme for Community RTD activities was 
established  in  accordance  with  the subsidiarity  principle;  whereas  this  specific  programme 
sets out the content of the activities to be carried out in accordance with this principle in the 
field of  targeted  socio-economic  research; 

Whereas  Decision  .../.../EC  (fourth  framework  programme)  lays down  that Community 
action  is  justified  if,  inter alia,  the  research  helps  to  reinforce  the  economic  and  social 
cohesion  of  the  Community  and to encourage  its  overall  harmonious  development  while at 
the  same  time  meeting  the  objective  of  scientific  and  technical  quality;  whereas  this 
programme  is  intended  to help  meet these objectives; 

Whereas this programme will help to strengthen  synergy between the RTD activities carried 
out  in  the  field  of  targeted  socio-economic  research  by  research  centres,  universities  and 
enterprises  in the Member  States  and between  the latter and the corresponding  Community 
RTD  activities; 

Whereas  the  activities  carried  out  under  this  programme  must  stimulate,  utilize  and 
supplement  the  activities  carried  out  to  evaluate  the  socio-economic  impact  in  the  other 
specific  programmes  implementing  the fourth  framework  programme;  whereas  to this end 
the measures  necessary  to ensure  mutual  information  and coordination  must be taken; 

Whereas the rules for the participation of undertakings,  research centres and universities and 
the rules governing  the dissemination  of  research  results  specified  in the measures  provided 
for  in  Article  130j of  the Treaty  apply  to this  specific  programme; 

Whereas,  in  accordance  with  Article  130m  of  the Treaty,  it  may  be  appropriate  to  engage 
in  international  cooperation  activities  with  international  organizations  and  third  countries 
other than the countries covered  by the  European  Economic Area (EEA)  Agreement for the 
purpose  of  implementing  this programme; 

Whereas  this  programme  also  comprises  activities  for  the dissemination  and  utilization  of 
RTD results and schemes  for promoting the mobility and training of researchers  to the extent 
necessary  for  its proper  implementation  of  the programme; 

-3 

Q ' S^ 

Whereas progress with this programme should be continuously and systematically  monitored 
with a view to adapting it,  where appropriate,  to scientific  and  technological  developments 
in this area;  whereas  in due course  there should  be an  independent evaluation  of  progress 
with  the  programme  so  as  to provide  all  the  background  information  needed  in  order  to 
determine the objectives of the fifth RTD framework  programme; whereas at the end of this 
programme  there  should  be  a final evaluation  of  the  results  obtained  compared  with  the 
objectives  set out in this Decision; 

Whereas the JRC will also contribute, through its own programme of direct activities, to the 
attainment of the Community RTD objectives  in the first area covered  by this programme; 

Whereas the Scientific  and Technical  Research  Committee (Crest)  has been consulted, 

HAS ADOPTED THIS DECISION: 

Article  1 

A specific programme of targeted socio-economic research, as set out in Annex I, is hereby 
adopted  for  the period  from  (date of adoption of this programmé)  to 31 December  1998. 

Article  2 

1.  The  amount  deemed  necessary  for  carrying  out  the  programme  is  ECU  105 million, 

including 25.70%  for  staff  and administrative  expenditure. 

2.  An indicative breakdown  of this amount is given in Annex II. 

3.  The amount deemed necessary for carrying out the programme, as indicated above, could 
increase as a result of and in accordance with the Decision  referred  to in Article  1(3) of 
Decision  .../.../EC  (fourth  framework  programme). 

4.  The  budgetary  authority  shall  determine  the appropriations  available  for  each  financial 
year  in  accordance  with  the  scientific  and  technological  priorities  set  in  the  fourth 
framework  programme. 

Article  3 

Detailed rules for implementing this programme, in addition to those referred  to in Article 5, 
are set out in Annex III. 

-4  -

k^S 

Article 4 

1.  The Commission shall continually and systematically  monitor, with appropriate assistance 
from  independent, external experts, the progress within this programme in relation to the 
objectives set out in Annex I. It shall in particular assess whether the objectives, priorities 
and financial resources are still appropriate.  Where appropriate, it shall submit proposals 
to  adapt  or  supplement  this  programme  depending  on  the  results  of  this  monitoring 
process. 

2.  In order  to contribute to the overall assessment  of Community  activities provided  for in 
Article 4(2) of the Decision adopting the fourth  framework  programme,  the Commission 
shall,  in due course,  have an assessment  made by independent  experts  of  the activities 
carried  out in  the fields directly  covered  by this programme,  and  of  their  management 
during the five years preceding  the assessment. 

3.  At  the  end  of  this  programme,  the  Commission  shall  instruct  independent  experts  to 
conduct a final evaluation of the results achieved compared with the objectives  set out in 
Annex ill  to the fourth  framework  programme and Annex  I to this Decision.  The final 
evaluation  report  shall  be  forwarded  to  the Council,  the  European  Parliament  and  the 
Economic and Social Committee. 

Article 5 

1.  A  work  programme  shall  be  drawn  up  by  the  Commission  in  accordance  with  the 
objectives  set out in Annex I and shall be updated where appropriate.  It shall set out the 
in  the 
detailed  scientific  and 
implementation  of the programme  and the corresponding  financial  arrangements. 

technological  objectives  and  specify 

the  stages 

2.  The  Commission  shall  issue  calls  for  proposals  for  projects  on  the  basis  of  the  work 

programme. 

Article  6 

1.  The Commission  shall be responsible  for  the implementation  of  the programme. 

2.  In the cases provided for in Article 7(1) the Commission  shall be assisted  by an advisory 
committee  consisting  of  representatives  of  the  Member  States  and  chaired  by  the 
representative  of the Commission. 

The Commission  representative  shall submit to the committee a draft  of the measures to 
be taken.  The committee shall deliver its opinion on this draft  within a period which the 
Chairman  may  lay  down  according  to  the  urgency  of  the  matter,  where  necessary  by 
taking a vote. 

The opinion  shall be recorded  in the minutes;  in addition, each Member  State shall have 
the right  to request  that its position  be recorded  in the minutes. 

The Commission  shall take the greatest  possible account of  the committee's opinion.  It 
shall  inform  the  committee  of  the  manner  in  which  its  opinion  has  been  taken  into 
account. 

- 5-

H  *  J 

(30 

1.  The procedure  laid  down  in  Article  6(2)  shall  apply to: 

Article  7 

-  the establishment  and updating  of  the work  programme  referred  to in Article 5(1), 

-  the  evaluation  of  the  RTD  projects  proposed  for  Community  funding  and  of  the 

estimated  amount of  project  funding  where  this exceeds  ECU  0.2  million; 

-  the measures  to be undertaken  to evaluate the programme, 

-  any changes  to  the indicative breakdown  of  the amount allocated  set out in  Annex II 

that has  not been  the subject of  a budgetary  decision. 

2.  The Commission  shall inform the committee, at each of its meetings, of progress with the 

implementation  of  the programme. 

Article  8 

The Commission  is authorised  to negotiate, in accordance with Article 228 (1), international 
agreements  with European  third countries  with a view to involving  them in all or part of the 
programme. 

This  Decision  is  addressed  to the Member States. 

Article  9 

Done at Brussels, 

For the Council 
The  President 

- 6-

ANNEX  I 

A  EUROPEAN  PROGRAMME  OF TARGETED  SOCIO-ECONOMIC 
RESEARCH  FOR  GROWTH,  EMPLOYMENT  AND  SOCIAL  INTEGRATION 

-7  -

SCIENTIFIC  AND  TECHNOLOGICAL  OBJECTIVES  AND  CONTENT 

This specific  programme fully  reflects  the broad lines of the fourth  framework  programme, 
and applies the selection criteria and spells out the scientific  and technological  objectives set 
out in that programme. 

Paragraph  7 of Annex  III (first  activity) of the framework  programme is an integral part of 
this programme. 

1.  General  objectives  and  context 

The White Paper approved  by the European  Council  in December  1993  started  discussions 
at European level and contributed to the decision-making  required at decentralized,  national 
or Community level to lay the foundation for sustainable development of Europe's economies 
enabling  them to withstand  international  competition  and create jobs. 

These  targeted  socio-economic  research  activities  aim  at  elucidating  decision-making  in 
future  by  developing  a  shared  knowledge  base  on  the challenges  facing  Europe,  based  on 
research  and other  work  in three areas: 

-  evaluation of  science  and technology  policy  options; 
-  research  on education  and training; 
-  research  into  social  integration  and social  exclusion  in Europe. 

Evaluation  of  science  and  technology policy  options for  Europe  will  provide  a  common 
knowledge  base  for  decision-makers  in  the  fields  of  science  and  technology  policy  at 
regional,  national and European level and for all those responsible  for other areas of activity 
in  which  science  and  technology  play  a  role,  with  the  ultimate  objective  of  encouraging 
greater  consistency  and closer  coordination  of  RTD efforts  and policies  in  Europe. 

These activities  will  follow  up the MONITOR  programme (FAST,  SAST and SPEAR) and 
will build on the work done by the JRC s Institute for Prospective Technological  Studies, the 
VALUE, SPRINT or EUROSTAT programmes and the experience acquired from the specific 
programmes  (evaluation  of  the socio-economic  impact of  research),  as decided  at the time 
of  adoption  of  the third  framework  programme. 

The JRC's Institute for Prospective Technological  Studies will contribute to the Community's 
RTD activities  in  this  field  and coordinate  its  work  closely  with  this  programme  !. 

A  more  detailed  description  of  the  JRC's  research  activities,  which  are  defined  in  a  proposal  for  a  separate 
Council  decision,  is given  in Annex  IV  for  information  in order  to ensure  the  transparency  in  relation  to their 
complementarity  with  corresponding  indirect actions. 

- 8-

(f&L 

The objective of  the Community's  research activities on education and training  must be to 
support  the efforts  made by  the Member  States  to  strengthen  the  links  between  research, 
education  and training  and to improve their education  and  training  systems  by stepping up 
research  and disseminating  the results  and innovations which it produces.  The objective is 
to help to promote  the development  in  Europe  of  a society  in  which  lifelong  training  and 
education permanently  play a central role. 

In  line  with  the  subsidiarity  principle,  this  research  will  supplement  the  Member  States' 
activities.  It  will  also be coordinated  with  the technological  research  on  the same  subject 
under the telematics programme and with the Community's activities in the field of education 
and training, i.e. the work on the SOCRATES and LEONARDO programmes, the successors 
to theCOMETT, ERASMUS, LINGUA, PETRA, FORCEandEUROTECNET programmes 
in  particular. 
In  this  context,  account  will  also  be  taken  of  the basic  data-gathering  and 
systems  analysis  work  conducted  within  the EURYDICE  network  and  of  the work  of  the 
CEDEFOP. 

Poverty  and social  exclusion  are major  problems facing  the Member  States. Research  into 
social  integration and social exclusion in  Europe is  necessary  in  order  to  gain  a  fuller 
understanding  of  these problems  so that remedies can be  found. 

There  are  two  objectives  in  this  field:  to  study  how  far  the actual  process  of  European 
integration  (single  market,  economic and  monetary  union,  world  context,  etc.) itself  gives 
rise to particular causes of social exclusion and integration, as opposed to factors  specific to 
the  changes  at  national  and  local  level,  and  to  allow  all  Member  States  to  benefit  from 
successful  social  integration  schemes,  by  conducting  comparative  research  and  by  joint 
application  of the results  of evaluations of the most innovatory  projects. 

Research  under  this  heading  is  closely  linked  to  Community  initiatives  (notably  the  new 
medium-term action plan against social exclusion) and national initiatives aimed at combating 
social exclusion  in Europe. 

*  *  * 

As  well  as  these  horizontal  targeted  research  activities,  socio-economic  research  will  be 
carried  out  within  each  specific  programme  under  the  first  activity  (evaluation  of 
socio-economic  impact  and  risks)  and  also  under  the  second  activity  (socio-economic 
conditions  for  international  scientific  and  technical  cooperation  and  links  with  the 
Community's external policy), the third activity (more efficient  uptake of RTD results) and 
the fourth activity (training and mobility of researchers in the social and economic sciences). 
This  programme  will  be designed  and  implemented  so  as  to  ensure  stronger  synergy  and 
support for research  extending, bringing to fruition  or stimulating similar work within other 
specific programmes.  Close contacts will be maintained with the COST projects  in the  field 
of  social  sciences  and  with  European  organizations  working  in  the  areas  covered  by  this 
programme. 

-9 

</£3 

2.  Community  activities 

L  Evaluation of science  and technology policy  options in Europe 

(a)  Specific  objectives 

The  immediate  specific  objectives  of  the programme,  defined  in  line  with  the  subsidiarity 
principle,  are: 

- 

- 

to bring together at European  level the efforts  of the various individuals and institutions 
involved  in  the evaluation  of  science  and  technology  policy  options;  to encourage  the 
development of  networks of scientists,  heads of parliamentary  offices  and governmental 
departments  responsible  for  the evaluation  of  science  and technology  options,  together 
with  experts  on  socio-economic  evaluation  of  technologies  from  industry  and experts 
from  other areas  of  socio-economic  life; 

on  the  basis,  and  in  particular  at  the  request,  of  these  networks,  to  produce  specific 
elements  of  analysis  allowing  evaluation  of  different  science  and  technology  policy 
options at regional,  national or European level.  These will take the form of reports,  sets 
of indicators, information files or periodic publications and will use new media (computer 
systems,  multimedia products,  etc.). 

(b)  Themes 

The  Community  research  on  this  topic  will  concentrate  on  three  principal  inter-related 
themes. 

(i)  Analysis  of  the RTD  situation  in  Europe  in the world  context 

The  primary  objective  of  the  research  will  be  to generate  facts  allowing  evaluation  of  the 
strengths and weaknesses of RTD in Europe,  compared with the other leading regions of the 
world: 

- 

the RTD situation in Member States, in non-Community countries,  in individual regions 
or in  inter-regional  associations; 

-  policies  pursued  at  regional,  national,  European  and  world 

objectives, 
implementing  procedures,  regulatory  and budgetary aspects and impact on the scientific 
and  technical  base  and  on  socio-economic  development,  including  the  macroeconomic 
level; 

level: 

strategies  of  the  industrial  and  business  circles  concerned  by  sector  or  type  of firm; 
globalization  and  transnational  cooperation; 
inertia  and  changes  observed  in  the 
producing  system  and constraints  on the development and take-up of  new  technologies. 

- W-

Lfé6 

(ii)  Evaluation  of  the  inter-relations  between  short-  and  medium-term  needs  and 

socio-economic  changes  and  new  scientific  and  technological  developments 

Strategic short- and medium-term  (five to ten year) forward analyses of the major economic, 
social  and cultural  challenges  and of  scientific  and technological  developments  will  provide 
firm guidance for the discussions  on the direction  to be taken by research  efforts  in Europe 
(at national, Community and European  level).  In particular,  efforts  will be made to identify 
the  science  and  technology  policy  options  with  the  most  favourable  impact  on  growth, 
competitiveness  and job creation  in Europe. 

The following  challenges  will  therefore  be analysed: 

the  economic,  industrial  and financial challenges.  This  work  will  concentrate  on  an 
in-depth analysis of the changes  under way or in prospect  in the world economy and in 
the  european  production  system  in  Europe  and  of  their  consequences  for  research, 
particularly  the  consequences  of  the emergence  of  new  regional  free  trade  zones  (the 
North American Free Trade Association,...), of fast-growing  regions (South-East Asia) 
or of regions in transition (Eastern  Europe and the CIS), the major worldwide problems 
(environment,  health and ageing,  mobility, energy,  food, etc.) and changes in production 
processes  and  forms  of  economic  organization; 

the socio-cultural challenges.  Europeans' growing awareness of the environment, ethical 
problems and safety  in all its forms,  including health and safety  at work,  the emergence 
of  new  leisure  pursuits  or  new  cultural  activities,  the  social  implications  of  the 
emergence  of  an  "information  society",  adaptation  of  mentalities  to  the  changes  in 
production  methods  and  the  impact  of  these  factors  on  consumption  patterns  will  be 
evaluated  with  regard  to the design,  production  and dissemination  of  new  knowledge, 
products and processes.  Special attention will also be paid to the relationships  between 
technological  development,  employment  and the organization  of  society. 

The potential  impact of  new  scientific  and  technological  developments  will  be evaluated  in 
the light  of: 

the potential benefits  of RTD and the advantages which it can offer  from  various points 
of view  - scientific  (e.g.  new insights  into natural phenomena,  new methods),  economic 
(e.g.  improving  the competitiveness  of companies in various  sectors)  or social  (e.g. job 
creation,  new  forms  of  work,  consumer  protection,  etc.); 

the potential  costs  and  risks:  from  the economic  point  of  view  (e.g.  widening  of  the 
gaps  between  regions)  and  from  the  social  point  of  view  (e.g.  destruction  of  jobs, 
marginalization of  technically  illiterate  sections of  society,  psycho-sociological  effects, 
etc.). 

These  strategic  forward  analysis  activities  will  focus  on  general  socio-economic  issues, 
emerging  fields  of  science  and  technology  or  fields  developing  at  the  interface  between 
different  areas  of  research  (e.g.  work  to  identify  technologies  of  major  importance  for 
industry  and other  sectors  of  activity  in  Europe). 

11 

^ 5" 

(iii)  Methods,  tools  and approaches 

Finally, a limited proportion of the resources  for the programme will be allocated to funding 
work on methods and tools  for socio-economic evaluation of  science and technology  (work 
on scientific  and technological  indicators,  on various  methods of  strategic  forward  analysis 
such  as  scenario  building,  structural  analysis,  consultation  of  experts  and  new  forms  of 
consultation  of  the players  involved  and  of  the public,  etc.  and  on  methods  of  evaluating 
research  programmes). 

*  *  * 

To provide material for the work in these three fields, an open information  system generating 
and providing access to RTD statistics and indicators will be developed with the cooperation 
of  Eurostat.  The  system  must contain  information  on  RTD  resources  (inputs)  and results 
(outputs)  and  on  Europe's  competitive  position,  must  cover  both  the  public  and  private 
sectors  and must contain data allowing comparisons  at world  level.  It will  be built around 
the statistics  and indicators  generated  at national,  Community  (EUROSTAT  and the JRC's 
Institute  for  Prospective  Technological  Studies)  and  OECD  level  or  by  international 
organizations (UNESCO,  UNIDO, FAO, etc.) and  original studies.  The relevant tasks will 
be  included  in  the statistical  framework  programme.  This  open  information  system  must 
allow  regular  publication  of  a  situation  report  on  RTD  in  Europe  in  particular.  The 
data-collection activities and the analyses will be coordinated  closely  with those carried out 
in the programme  on cooperation  with  third countries  and international  organizations. 

The  activities  in  this  field  will  draw  on  the  European  Technology  Assessment  Network 
(ETAN)  which  brings  together  the  leading  players  involved  and  users  of  evaluations  of 
science  and  technology  policy  options  in  Europe  and  provides  a  means  of  circulating 
information  on  the research  and other work  in progress  in the European  Union. 

2.  Research on education and training 

(a)  Specific  objectives 

The specific objectives of the programme,  defined in line with the subsidiarity principle, are: 

to provide the knowledge  base,  tools  and references  necessary  for  the development  of 
research on education and training in Europe.  To help to develop a common knowledge 
base,  infrastructure  and instruments  which  can be used  for  specific  activities; 

to bring together at European level the efforts  of the various individuals and institutions 
to  encourage  the  development  of 
involved  in  research  on  education  and  training; 
networks  of  specialists  in  educational  science  (pedagogics,  didactics,  educational 
sociology,  etc.),  the heads of education and training departments in administrations and 
businesses,  those responsible  for educational  systems and the two sides of industry;  to 
shape the intellectual structure of the multidisciplinary  field of research on education and 
training  at European  level. 

-  12 

if 6 6 

(b)  Themes 

The themes  covered  by  these activities  can  be subdivided  into  two  main categories: 

(i)  Methods,  tools  and technologies:  innovation  and quality  in education  and training 

-  New technologies  in education and training and methods of  learning:  Principles and 
comparison  of  the  effects  of  new  technologies  and  tools  in  education  and  training 
(educational software,  multimedia and hypertext systems;  audiovisual and multimedia 
methods;  virtual reality,  etc.).  Cognitive bases and operating  mechanisms for these 
technologies; 
comparison  of  various  methods  of  learning  and  interaction  with 
traditional  methods  and aids; 

-  Dissemination  of  innovations  in  teaching  methods:  processes  for  dissemination 
(whether  spontaneous  or planned)  of  innovations  in teaching  methods in educational 
systems  and economic  life;  intellectual bases and organizational  mechanisms  for the 
transfer and dissemination of technological innovations by means of training schemes; 
social  and  cultural  aspects  of  the  dissemination  of  innovations  in  education  and 
training; 

-  Quality  of  education  and training  systems:  Evaluation  methods  and quality  criteria 
establishment  of  quantitative  criteria; 

for  tools,  programmes  and  branches; 
cost-benefit  analyses,  etc. 

-  Teachers and trainers as the key components of education and training systems:  new 
forms of interactions between teacher and pupil;  methods of assessing  knowledge and 
comparison  of  attitudes  to  traditional 
representations  of  teachers  and  trainers; 
methods  and teach-yourself  systems  using  new  technologies,  etc. 

(ii)  Policies,  action  and needs 

-  New  or  emerging  education  and  training  needs  of  industry  and  European  society: 
needs for knowledge,  skills and qualifications  arising from completion of the internal 
market,  development  of  economic  and  social  potential  at  regional  level,  the 
globalization of trade, new methods of production and business organization, the calls 
for  greater  competitiveness,  etc. 

-  Impact of  the  action  taken  at  regional,  national  and  European  level;  effects  of  the 
introduction of  new training  schemes  in educational  systems  and of the development 
of  continuous  education  and  training; 
impact  of  greater  mobility,  increased  trade, 
closer  contact,  etc. 

-  Comparison  of  the  situation  and  policies  on  education  and  training; 

social  and 
cultural bases of the Member States' policies;  roots and impact of the diversity of the 
education  and training  systems  in  Europe. 

-  13 

^C 

3. Research into social  integration and social  exclusion in Europe 

(a)  Specific  objectives 

The  immediate  specific  objectives  of  the programme,  defined  in  line  with  the  subsidiarity 
principle,  are: 

to provide  the  knowledge  base,  tools  and  reference  necessary  for  the development  of 
research  on  social  integration  and  social  exclusion  in  Europe.  To  help  to  develop  a 
common knowledge base,  infrastructure and instruments which can be used for  specific 
activities; 

to  bring  together  at  European  level  the  various  researchers  into  economic  and  social 
sciences  and the humanities specializing  in this field so that they can work together and 
with the other players involved (government agencies, non-governmental organizations, 
trade unions,  trade associations,  etc.)  in order  to gain a fuller  understanding  of  social 
integration  and of  the various  forms  of  social  exclusion  and of  the causes  and options 
for  solutions. 

(b)  Themes 

Taking  account of  the changes  in progress  throughout  the European  contient on  the whole, 
the exploratory  activities  will  centre on  four topics: 

(i)  Forms  and processes  of  social  exclusion: 

This comparative targeted research will analyse the multidimensional processes of social 
exclusion.  For society as a whole, social exclusion takes the form of disintegration and 
fragmentation  of  social  relations  and,  hence,  of  loss  of  control  thereof  (e.g.  violence, 
interethnic  tensions,  crises  of  group  identity).  For  individuals  and particular  groups, 
social  exclusion  means deprivation  or discrimination. 

Particular  attention  will  be  paid  to  the  spatial  dimension  of  social  exclusion,  i.e.  the 
geographical  concentration  of  excluded  groups  (for  example,  urban  segregation),  and 
to the processes  of exclusion  associated  with living  in deteriorated  and devalued areas. 

Finally,  the  analysis  should  help  to  cast  light  on  the  pathways  to  exclusion  and 
integration,  inter alia  by  analysing  demographic  changes  (age  and  family  structures, 
etc.).  To give one example of the issues  to be covered,  one change forming part of the 
exclusion  process  is  the increasingly  precarious  position  of  sections  of  the population 
on  the  fringes  of  exclusion,  for  example  those  who  continuously  enter  and  leave  the 
welfare  systems  at brief  intervals  or  who  lose  one job  after  another. 

14 -

(ii)  Causes of  social  exclusion,  particularly  unemployment: 

This  work  will concentrate on: 

-  the  impact  of  the  economic  changes  affecting  Europe  in  terms  of  aggravation  or 

reduction  of  unemployment; 

-  the consequences  of European  integration  for  the national  forms  of welfare State; 

-  the development of the black economy in Europe and the consequences  thereof. 

(iii)  Migration 

The growing flood of immigrants from  the less developed countries outside Europe and 
from  Central and Eastern  Europe must be taken  into account in the traditional  models 
for  explaining  migratory flows and  the impact  thereof  in order  to assess  the possible 
implications in terms of potential social conflicts,  destabilization of labour markets and 
legal restrictions  on the rights of entry and asylum. 

(iv)  Evaluation  of  the impact of social integration  policies: 

The  research  on  the  development  and  impact  of  social  integration  policies  will 
concentrate on: 

-  comparative evaluation  of  the approaches  taken  by the existing  social policies  (e.g. 
switch  from  welfare  policies  to  active  integration  policies,  promotion  of  equal 
treatment,  particularly  for  men  and  women)  and  of  the  role  of  the various  players 
involved  (the  two  sides  of  industry,  non-governmental  organizations,  etc.)  taking 
account of changes in the forms and processes of social exclusion in Europe; in these 
comparisons particular attention will be paid to the socio-economic factors concerning 
protection  of the health and safety  of workers.  These activities will take account of 
the results of the research  conducted in other programmes,  particularly  if they could 
contribute to structural improvements in this field. This includes the programmes on 
biomedicine and health  (particularly  the research  on occupational and environmental 
health),  telematics  applications  of  common  interest  (particularly  telematics  for 
improving  employment  and  the  quality  of  life)  and  industrial  and  materials 
technologies (particularly  the reliability of production  systems).  In particular,  socio 
economic  consequences  of  protection  of  the  health  and  safety  of  workers  on  the 
conditions  of  competitiveness  in  the Community  or  other  regions  will be analysed. 
Account will be taken of the conditions associated with the special nature of small and 
medium-sized  enterprises. 

-  taking account of in the dimension  of social  cohesion  and citizenship  the process of 
European  integration,  of development of its institutions  and the specific  activities at 
Community  level. 

-  15 -

W 

The research  in this third area will require preliminary work on the methods for constructing 
data which can be compared Europe-wide and the establishment or reinforcement of common 
research infrastructure  (databases on the parties involved and research results; directories and 
manuals,  glossaries  and thesauruses,  etc.).  A limited  proportion  of  the resources  allocated 
to this field will  therefore be earmarked  for the definition  of a strategy  for carrying  out this 
work  and developing  such  infrastructure  and to the associated  pilot projects. 

-  16-

ANNEX II 

INDICATIVE BREAKDOWN OF THE AMOUNT 

Area  1 

Area 2 

Area 3 

TOTAL 

4 5 - 5 1% 

20 - 27% 

25 - 32% 

100% - ECU  105 million1'2-3 

The breakdown  between  different  areas  does  not exclude the possibility  that projects  may 
come under  several areas. 

Including 20.10%  for  staff  expenditure and 5.60%  for  administrative expenditure. 

2 

An amount of approximately ECU  1  million is deemed necessary  for the dissemination 
and  utilization  of  the results  of the programme. 

A sum of ECU  33 million, the difference between the amount deemed necessary for this 
programme  and  the  amount  foreseen  in  the  fourth  RTD  framework  programme  for 
targeted  socio-economic  research,  is earmarked  for  "the RTD specific  programme  to 
be carried  out through  direct  action  and  S/T  support  activities  in  the framework  of a 
competitive approach". 

17-

ANNEX  III 

DETAILED  RULES  FOR  IMPLEMENTING  THE  PROGRAMME 

1.  The detailed  rules  for the Community's financial contribution  are  laid down  in Annex 

IV  to the Decision  on  the fourth  framework  programme. 

The  detailed  rules  for  the  participation  of  undertakings,  research  centres  and 
universities,  and  for  the  dissemination  of  results  will  be  laid  down  in  the  measures 
provided  for  by  Article  130 j  of  the Treaty. 

However, for the purpose of implementing this programme,  the following  specifications 
shall  apply: 

Participation  in  this programme  is open,  with  financial  support  from  the  Community: 

a. 

to all  legal  entities,  established  and regularly  carrying  out  RTD  activities 

-  in  the Community,  or 

-  in  a  third  country  associated,  wholly  or  in  part,  with  the  implementation  of  the 
relevant programme through an agreement concluded  between  the Community and 
the said  third country 

b.  to the Joint  Research  Centre. 

Participation in this programme is open, without financial support from the Community, 
and on condition  that their participation  is  in the interests  of  Community  policies: 

a. 

to  legal  entities  established  in  a  country  which  has  concluded  a  scientific  and 
technical co-operation agreement with the Community  relating  to activities covered 
by  the  programme,  provided  the  participation  accords  with  the  terms  of  the 
agreement, 

b. 

to legal  entities  established  in a European  country, 

c. 

to international  research  organisations. 

The participation  of  European  international  organisations  may be financed  on the same 
basis  as  that for  Community  organisations  in duly  specified  cases. 

2.  This  programme  will  be carried  out in the form  of: 

2.1  Indirect  activities,  i.e.  financial  participation  by  the  Community  in  RTD  activities 

carried  out  by  third  parties,  mainly  in the form  of: 

-  18-

m 

-  Shared-cost  activities,  i.e.  RTD  projects  carried  out  by  undertakings,  research 

centres and  universities  with a common theme; 

-  Concerted  action,  which  consists  of  coordinating,  particularly  with  the  aid  of 
concertation  networks,  RTD projects  already funded  by public authorities or private 
bodies; 

-  Measures  appropriate  to  the  characteristics  of  the  programme  such  as  thematic 
studies,  measures to encourage the establishment and standardization of databases on 
the players  and  research  projects  involved  and  schemes  to provide general  tools to 
research  centres,  universities and undertakings  (thesauruses,  directories,  etc.).  The 
Community's  contribution  covers  up to  100% of the costs of  the measures. 

2.2  Preparatory,  accompanying  and support measures: 

-  studies  in support  of this programme and in preparation  for  future  activities; 
-  conferences,  seminars, workshops or other scientific or technical meetings, including 

intersectoral  or  multidisciplinary  coordination  meetings; 

-  use  of  external  expertise,  including  access  to  scientific  databases  and  visits  by 

scientists; 

-  scientific  publications,  including the dissemination,  promotion  and  utilization  of the 

results; 

-  training  activities  related  to research  covered  by this programme; 
-  independent  evaluation  (including  studies)  of programme  administration  and  of the 

implementation  of the activities. 

The activities  relating  to the dissemination  and  utilization  of  results  carried  out under 
this programme will complement those carried  out under  the third  area of activity and 
will be implemented in close coordination with the latter.  The partners in RTD projects 
are excellent vehicles for  the dissemination  and utilization of results.  Back-up will be 
provided  via publications,  conferences,  promotion  of  results,  studies  of technical and 
economic potential,  etc.  To ensure optimum  exploitation,  factors  liable to encourage 
the subsequent  utilization  of  results  should  be taken  into account  from  the outset and 
throughout  the RTD projects. 

3.  The measures  taken to implement the programme will depend on the specific  nature of 

the activities  concerned. 

However,  in  order  to coordinate  the Community's  research  closely  with  the national 
work  and,  in  the  process,  develop  a  joint  information  and  analysis  infrastructure 
accessible  to  all,  the  activities  concerning  the  evaluation  of  science  and  technology 
policy options will be based on the European technology assessment network (ETAN), 
which will be funded  from  this programme.  This network will bring together the main 
regional,  national  and  European  bodies actively  involved  in evaluation  of  science and 
technology  policy  options  (including  the European  Parliament's  STOA,  the European 
Parliamentary  Technology  Assessment  Network  and  the  two  sides  of  industry  in 
Europe), including the Commission departments most directly involved (particularly, the 

-  19-

V?3 

management team for this programme, the JRC's Institute for Prospective Technological 
Studies  and the  Forward  Studies  Unit).  The Commission  will  provide  the  secretarial 
services.  The network will be responsible  for advising  the Commission,  via a steering 
committee appointed by the member organizations, on the work programme for this  first 
part of  the programme,  on application and utilization of  the results  or on the national, 
transnational  or  European  work  which  the  members  of  the  network  wish  to  share  at 
Community  level.  The  activities  will  also  be  coordinated  with  the work  of  the other 
Commission  departments  most directly  concerned  with  RTD  activities  in  Europe  and 
special attention will  be paid to making the best use of  the expertise available from the 
various  socio-economic  circles  in Europe. 

The  operation  of  this  network  will  ensure  that  the  work  programme  includes  the 
research  topics  of  greatest  relevance  to the work  in progress  at regional,  national and 
international  level  and of  greatest  use to the end-users  of  the results. 

Wherever  possible  the  research  projects  will  allow  participation  by  experts  and  by 
working  parties  representing  the  interests  of  the  end-users  of  the  results.  Their 
involvement  will  ensure  the  cooperation  of  the  players  and  users  concerned  by  the 
objectives of  the project,  follow-up  work and real-time dissemination  of the results  as 
they are generated. 

4. 

International organizations  in Europe may exceptionally be funded on the same basis as 
Community  organizations. 

Cooperation  with  organizations  in  third  countries  outside  Europe  (e.g.  the  National 
Science  Foundation  or the Office  of Technology  Assessment  in  the United  States and 
the  National  Institute  of  Science  and Technology  Policy  in  Japan)  will  be  organized 
where  this  enables  the objectives  of  this programme  to be achieved  more  effectively. 

20-

^ 

ANNEX IV 

DESCRIPTION OF THE JOINT RESEARCH CENTRE'S  (JRC)  RESEARCH 
ACTIVITIES CORRESPONDING TO THE AREAS COVERED BY THIS 
SPECIFIC PROGRAMME AND THE SUBJECT OF THE PROPOSAL FOR A 
COUNCIL DECISION FOR THE JRC PROGRAMME 
(COM(94)68 FINAL - 94/0095 (CNS)). 

The  European  Science  and  Technology  Observatory  of  the  Institute  for  Prospective 
Technological Studies of the JRC will provide an information  service on progress in science 
and  technology  and  ensure  surveillance  of  scientific  developments  and  technological 
innovation 

In order to improve communications and to avoid duplication of effort,  the Observatory  will 
work  in  close  co-operation  with  Eurostat  and  establish  close  links  with  European 
organizations and the OECD, but also with ES A,  CERN,  EUREKA,  etc.  Its activities will 
be  conducted  in  close  co-operation  with  those  foreseen  under  the  heading  for  the 
corresponding  shared  cost action programme. 

It will act within  the ETAN  network,  whose creation  is foreseen  in the shared  cost actions 
programme  as  the  focal  point  within,  on  the  one  hand,  a  network  consisting  of  various 
similar  observatories  in  the  Member  States,  and  on  the  other,  university  and  industrial 
experts  responsible  for  evaluating  the  relevance,  development  and  impact  of  scientific 
technological breakthroughs. 

In  a  Community  perspective,  it  will  contribute  by  gathering  information 
for  the  regular 
evaluation  of  the  state  of  RTD  in  Europe  and  comparing  it  with  the  situation  in  other 
developed  countries. 

The aim of the technological watch system will be to detect new scientific breakthroughs and 
technological  innovation  at an early  stage and  to alert  those responsible  in the Community 
to the implications and consequences, notably for technological research and for the industrial 
world. 

21 

W 

SPECIFIC PROGRAMME OF TARGETED SOCIO-ECONOMIC  RESEARCH 
(1994-1998) 

Financial statement 

-22  -

W 

FINANCIAL STATEMENT 

1.  TITLE OF OPERATION 

Specific  programme  of targeted  socio-economic  research. 

2.  BUDGET HEADING 

B6-7171. 

3.  LEGAL BASIS 

Article  130i of the Treaty  on European  Union. 
Proposal for a Council Decision concerning the fourth framework  programme of Community 
activities in the field of research,  technological development and demonstration  (1994-1998) 
(COM(93) 276 final). 

4.  DESCRIPTION OF OPERATION 

4.1 General  objective of the operation 

The  fundamental  objective  of  this  programme  is  to  elucidate  decision-making  at 
decentralized,  national  or  Community  level  and  lay  the  foundation  for  sustainable 
development of Europe's economies enabling them to withstand international competition and 
create jobs.  The plan is to achieve this objective by developing a shared  knowledge base on 
the challenges  facing  Europe,  based on targeted  socio-economic  research. 

4.2 Fields covered 

The research  will concentrate on three areas: 

1.  Evaluation  of science and technology policy options in Europe 

The  Community  research  on  this  topic  will  concentrate  on  three  principal  inter-related 
themes. 

(i) Analysis  of the RTD situation  in Europe in the world  context. 

The primary  objective  of  the research  will  be to generate  facts  allowing  evaluation  of  the 
strengths and weaknesses of RTD in Europe, compared with the other leading regions of the 
world. 

(ii)  Evaluation  of  the  inter-relations  between  short-  and  medium-term  needs  and 
socio-economic  changes and  new scientific  and  technological  developments. 

-23  -

tiff 

Strategic short- and medium-term (five to ten year) forward analyses of the major economic, 
social and cultural challenges and of scientific  and technological developments  will provide 
firm guidance for the discussions on the direction  to be taken by research  efforts  in Europe 
(at national, Community and European level).  In particular,  efforts  will be made to identify 
the  science  and  technology  policy  options  with  the  most  favourable  impact  on  growth, 
competitiveness  and job creation  in Europe. 

(iii)  Methods,  tools and approaches 

Finally, a limited proportion of the resources for the programme will be allocated to funding 
work on methods and tools for  socio-economic evaluation  of  science and  technology. 

To provide material for the work in these three fields, an open information  system generating 
and providing access to RTD statistics and indicators will be developed. 

2.  Research on education and training 

The themes covered  by these activities can be subdivided  into two main categories: 

(i) Methods,  tools and technologies:  innovation  and quality in education  and training 

-  New technologies  in education  and training and  methods of learning. 

-  Dissemination  of innovations in teaching methods. 

-  Quality of education  and training systems. 

- Teachers  and trainers  as the key components of education  and  training  systems, 

(ii) Policies, action and needs 

-  New or emerging  education  and training  needs of industry  and  European  society. 

-  Impact of the action  taken at regional,  national and European  level. 

-  Comparison  of  the situation  and policies on education and  training. 

3.  Research  into social integration and social exclusion in Europe 

Taking account of the changes in progress throughout Europe, the exploratory activities will 
centre on four  topics: 

- 2 4-

L/¥3 

(i)  Forms and processes  of  social  exclusion 

This  comparative  targeted  research  will  analyse  the  multidimensional  processes  of  social 
exclusion. 

(ii) Causes of  social exclusion,  in particular  unemployment: 

This work will concentrate on the impact of the economic changes affecting  Europe in terms 
of aggravation or reduction of unemployment; the consequences of European integration  for 
the national forms of the welfare State and the development of the black economy in Europe. 

(iii) Analysis of  migration: 

The growing flood of immigrants from  the less developed countries outside Europe and from 
Central  and  Eastern  Europe  must  be  taken  into  account  in  the  traditional  models  for 
explaining migratory flows and the impact thereof in order to assess the possible implications 
in terms of potential social conflicts,  destabilization  of labour markets and legal restrictions 
on the rights of entry  and asylum. 

(iv) Evaluation  of the impact of  social integration  policies: 

-  comparative evaluation  of  the approaches  taken  by the existing  social policies and of  the 
role of the various playeres  involved taking account of changes in the forms  and processes 
of social exclusion in Europe; particular attention will be paid to the socio-economic  factors 
concerning protection of the health and safety of workers. In particular,  the  socio-economic 
consequences  of this protection  on by the conditions of competitiveness  in the Community 
or  other  regions  will  be analysed,  together  with  the conditions  associated  with  the special 
nature of small and  medium-sized  enterprises. 

-  European  integration,  social cohesion  and citizenship. 

The research in this third area will require preliminary work on the methods for constructing 
data which can be compared Europe-wide and the establishment or reinforcement of common 
research  infrastructure. 

4.3  Duration 

1994-98. 

5.  CLASSIFICATION  OF EXPENDITURE 

Non-compulsory  expenditure/differentiated  appropriations. 

6.  TYPE OF EXPENDITURE 

Studies/subsidies 

25 -

kft 

-  In principle,  the direct activities  will be  100%  funded. 

- The concerted  activities  may qualify  for  a contribution  of up to  100% of the coordination 
costs. 

Subsidy for joint financing with oher sources in the public and/or private sector 

- The shared-cost  activities comprising  RTD projects  will qualify  for  a contribution  of not 
more than 50%. 

-  Universities  and  other  research  centres  participating  in  RTD  projects  and  unable  to 
substantiate  their total costs in sufficient  detail for  the Commission,  based  on an analytical 
accounting  system,  will qualify  for  100%  funding  of  the additional costs. 

-  Other  shared-cost  activities  (for  example,  networks,  training,  feasibility  awards  or 
accompanying  measures)  will qualify  for  up to  100% of the additional costs or of the costs 
of the measure. 

Staff,  administrative and operating costs 

These also  cover  the costs  of  personnel  covered  by the  Staff  Regulations  and  other  staff, 
studies,  meetings  of  experts,  conferences  and  congresses,  information  and  publications, 
administratives,  technical and operating  costs,  and certain  other  internal  infrastructure  and 
operating  costs  for  attainment  of the objective of  the activity  of which  they are an integral 
part. 

7.  FINANCIAL  IMPACT 

7.1  Method  of calculating  total cost of operation 

* Staff  costs:  ECU 21.10  million  (20.10%  of the ECU  105 million  deemed necessary). 

The  1994 staff  levels will bejnaintained,  i.e. 25 posts.  These posts break down as follows: 
14A  +  2B  +  9C. 

New posts  will  be added  progressively  in  1995,  1996 and  1997, depending  on  the bduget 
available each year.  These new posts are warranted  by the configuration  of the programme 
which includes two new areas of activity not previously covered:  research  on education and 
training  and  research  into  social  integration  and  social  exclusion  in  Europe  as  well  as 
technology assessment. These new posts are moreover warranted by the strong  staff-intensive 
nature of the programme activities. 

It  is  important  to  note  that  the  staff  working  on  this  specific  programme  will  also  be 
responsible for the scientific monitoring and for monitoring the contracts for earlier activities. 

* Administrative costs,  including personnel  not covered by the Staff  Regulations:  ECU 5.88 
million  (5.60%  of  the ECU  105 million  deemed  necessary). 

- 2 6-

* Operating costs:  ECU 78.02 million (74.30% of the ECU  105 million deemed necessary), 
including  the cost of accompanying  measures,  evaluations and concertation  activities. 

7.2  Itemized breakdown  of cost  (in  million ecu and  %) 

Evaluation  of science and  technology 
policy options 

47.25-53.55  45-51% 

Research  on education  and  training 

21.00-28.35  20-27% 

Research  into social  integration 
and social exclusion  in Europe 

TOTAL 
1 

26.25-33.60  25-31% 

105(1) (2) (3) 

100% 

Including ECU 21.10 million (20.10%)  for  staff  costs and ECU 5.88  million  (5.60%) 
for  administrative costs. 

2  This amount includes ECU  1 million of the total amount deemed necessary  for  the cost 

of dissemination  and application  of the results. 

3 

In addition to this amount there is ECU 33 million for  the EC programme for the JRC. 

7.3 Indicative schedule of appropriations 

The schedule will be established on the basis of the overall amounts for the fourth  framework 
programme  adopted  indicatively  for  the  periods  1995-96 and  1997-98  at  the  conciliation 
meeting on 21 March  1994. The RTD appropriations for each financial year will be proposed 
and adopted each year on the basis of the resources  available in the context of the financial 
perspective. 

Commitment 
appropriations 

1995 

1996 

1997 

1998 

13.00 

18.00 

38.00 

36.00 

Payment  appropriations 

1995 

1996 

1997 

5.61 

3.05 

8.57 

2.18 

3.77 

18.42 

TOTAL 

105.00 

5.61 

11.62 

24.37 

8  .  ANT I  FRAUD  MEASURES 

1998  et 
seq. 

2.16 

5.66 

19.58 

36.00 

63.40 

TOTAL 

13.00 

18.00 

38.00 

36.00 

105.00 

Numerous  administrative  and  financial  controls  have been  introduced  at every  stage of the 
procedure  for  awarding  and  implementing  research  contracts.  These include: 

Prior to conclusion of the contract. 

27 

98 c 

- 

shortlisting  of the proposals  on the basis of the scientific  merit of  the project and of how 
realistic  the research  costs  are,  considering  the nature,  duration  and potential  impact of 
the project; 

-  analysis  of  the financial  data submitted  by  the proposers  in  the  negotiation  form. 

After signature  of the contract: 

- 

examination  of the statements of expenditure before payment at various  levels  (financial 
controller  and  scientific  manager); 

-  on-the-spot  inspections  of  the  supporting  documents  to  detect  any  errors  or  other 
irregularities.  To  tighten  up these controls,  the Commission  has  set  up a,eentral audit 
unit which  is  responsible  for  all  the inspections.  The inspections  are carried  out either 
by members of the audit unit or,  under their supervision,  by firms of auditors with which 
the Commission  has concluded  framework  contracts. 

9.  ELEMENTS  OF  COST-EFFECTIVENESS  ANALYSIS 

9.1  Specific  and  quantifiable  objectives: target  population 

The  immediate  specific  objectives  of  the programme,  defined  in  line  with  the  subsidiarity 
principle,  are: 

1.  Evaluation of science  and technology policy  options in Europe 

to bring together at European  level the efforts  of the various individuals and institutions 
involved  in  the evaluation  of  science  and  technology  policy  options;  to encourage  the 
development of networks of  scientists,  heads of parliamentary  offices  and governmental 
departments  responsible  for  the evaluation  of  science  and  technology  options,  together 
with  experts  on  socio-economic  evaluation  of  technologies  from  industry, and  experts 
from  other  walks  of  socio-economic  life; 

on  the  basis,  and  in  particular  at  the  request,  of  these  networks,  to  produce  specific 
methods of analysis allowing evaluation of different science and technology policy options 
at  regional,  national  or  European  level.  These  will  take  the  form  of  reports,  sets  of 
indicators,  information  files  or periodic  publications  and will  use  new  media (computer 
systems,  multimedia  products,  etc.). 

-28 

yg-1 

2.  Research on education and training 

- 

- 

to  provide  the  knowledge  base,  tools  and  references  necessary  for  the development  of 
research  on education and training in Europe.  To help to develop a knowledge base and 
common  infrastructure  and instruments  which can  be used  for  specific  activities; 
to bring together at European level the efforts  of the various individuals and institutions 
to  encourage  the  development  of 
involved  in  research  on  education  and  training; 
networks  of  specialists  in  educational  science  (pedagogics,  didactics,  educational 
sociology,  etc.),  the heads of education and training departments  in administrations and 
businesses,  those responsible  for educational  systems  and the two  sides  of  industry;  to 
shape the intellectual structure of the multidisciplinary  field of research on education and 
training  at European  level. 

3.  Research into social  integration and social  exclusion in Europe 

- 

- 

to provide  the knowledge  base,  tools  and  references  necessary  for  the development  of 
research  into  social  integration  and  social  exclusion  in  Europe.  To  help  to  develop a 
knowledge  base  and  common  infrastructure  and  instruments  which  can  be  used  for 
specific  activities; 

to  bring  together  at  European  level  the  various  researchers  into  economic  and  social 
sciences  and the humanities  specializing  in this field  so  that they can work together and 
with the other players  involved (government agencies,  non-governmental  organizations, 
trade  unions,  trade  associations,  etc.)  in  order  to  gain  a  fuller  understanding  of  social 
integration and of the various forms of social exclusion and of the causes and options for 
solutions. 

9.2  Grounds  for  the operation 

-  The  objectives  of  growth,  a  high  level  of  employment  and  a  higher  quality  of  life  in 
Europe  call  for  targeted  socio-economic  research  at Union  level  to contribute  towards 
definition  of  the  Community's  activities  to  promote  research  and  technological 
development, a contribution to education and training of quality in the Member  States and 
a policy  in  the social  sphere. 

-  This programme  will  help to strengthen  synergy  between  the RTD  activities carried out 
in  the  field  of  targeted  socio-economic  research  by  research  centres,  universities  and 
enterprises 
in  the  Member  States  and  between  the  latter  and  the  corresponding 
Community  RTD activities. 

29 

</  8<L 

-  The activities  carried  out  under  this programme  must stimulate,  utilize and  supplement 
the  activities  carried  out  to  evaluate  the  socio-economic  impact  in  the  other  specific 
programmes  implementing  the fourth  framework  programme;  to this end, the measures 
necessary  to ensure  mutual information  and coordination  will  be taken. 

9.3  Monitoring  and evaluation  of  the operation 

As provided  for by Article 4 of the proposal  for a Council  Decision  referred  to in section  3 
of this statement, the Commission will continuously and systematically  monitor progress with 
this  programme  in  relation  to  its  objectives.  In  particular,  it  will  assess  whether  the 
objectives,  priorities  and financial  resources  are still  appropriate. 

In  order  to  contribute  to  the  overall  assessment  of  Community  activities  provided  for  in 
Article 4(2)  of  the  Decision  adopting  the  fourth  framework  programmes,  the  Commission 
shall, in due course,  have an assessment  made by independent experts of the activities carried 
out in the fields directly covered by this programme and of their management during the five 
years preceding  the assessment. 

At the end of this programme,  the Commission  shall instruct independent experts to conduct 
a final  evaluation  of  the results  achieved  compared  with the objectives  set out in  Annex  III 
to the fourth  framework  programme  and  Annex  I to the Decision  adoting  this programme. 
The final  evaluation  report shall  be forwarded  to the Council,  the European  Parliament and 
the Economic  and  Social  Committee. 

30-

t/S 

Proposal for a 

COUNCIL DECISION 

9*oma*> 

adopting a specific research, 

technological development and demonstration programme 

in the field of 

cooperation with third countries and international organizations 

(1994-1998) 

<m 

1 

PROPOSAL FOR A COUNCIL  DECISION 

adopting a specific  research, 
technological  development and demonstration  programme 
in the field  of cooperation  with third  countries 
and international organizations  (1994-1998) 

THE COUNCIL OF THE EUROPEAN  UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130i(4) thereof, 

Having regard to the proposal from the Commission,1 

Having regard to the opinion of  the European Parliament,2 

Having regard to the opinion of  the Economic and Social  Committee,3 

Whereas, by Decision  ../..EC,4 the Council and the European Parliament adopted a Fourth 
Framework  Programme  for  Community  activities  in  the  field  of  research,  technological 
development  and  demonstration  (RTD)  for  the  period  1994-98  specifying  inter  alia  the 
activities to be carried out in the field of cooperation with third countries and international 
organizations; whereas this Decision takes account of the grounds set out in the preamble to 
that Decision; 

Whereas  Article  I30i(3)  of  the  Treaty  specifies  that  the Framework  Programme  shall  be 
implemented  through  specific  programmes  developed  within  each  activity  under  the 
Framework Programme and that each specific programme shall define the detailed rules for 
implementing  it,  fix  its duration and provide for the resources  deemed  necessary; 

Whereas  this programme  will  be carried  out  mainly  through  indirect  activities,  concerted 
activities and accompanying  measures; 

Whereas,  in  accordance  with  Article  130i(3),  an estimate  should  be  made  of  the financial 
resources needed  to carry out this specific programme; whereas the definitive amounts will 
be  decided  by  the  budgetary  authority  in  accordance  with  the  breakdown  fixed  by  the 
Framework Programme; 

1  OJNo  ...,...,  p. 

2  OJ No  ...,  ...,  p. 

3  OJ No  ...,  ...,  p. 

4  OJNo...,  ..., p. 

k&ï 

Whereas  Decision  ../../EC  (Fourth  Framework  Programme)  provides  that  the  maximum 
overall  amount of  the Fourth Framework Programme will  be reexamined  by  30 June  1996 
at  the  latest  with  a  view  to  being  increased;  whereas  the  amount  deemed  necessary  for 
implementation of  this programme may be increased as a result of  this examination; 

Whereas  the  strengthening  of  the  S&T  base  of  the  European  Union  also  depends  on  an 
adequate level of  cooperation with third countries and international  organizations,  based on 
the  principle  of  mutual  interest;  whereas  such  cooperation  may  contribute  to  the 
implementation  of  Community  policies  vis-à-vis  third  countries;  whereas  cooperation  on 
research  and  technological  development  with  third  countries  will  help  to  boost  the 
Community's scientific and technological capability; whereas cooperation should be improved 
with other fora for cooperation in the field of science and technology; whereas a contribution 
should be made to safeguarding the scientific potential of the countries of Central and Eastern 
Europe and the new independent States of  the former Soviet Union and to enhancing  their 
economic  and social  development; whereas collaboration with non-European  industrialized 
countries should be promoted where appropriate; whereas it is necessary  to contribute to the 
development of the scientific and technological potential of the developing countries; whereas 
the  European  Union  can  contribute  to  solving  regional  and  global  problems  calling  for 
international cooperation; whereas a contribution should also be made to strengthening S&T 
cooperation between third countries, in particular countries of  the same region; 

Whereas  complementarity  with other Community activities  and coordination  with Member 
States  should  be  increased;  whereas  it  is  necessary  to  concentrate  international  S&T 
cooperation  activities, 
including  those  formerly  conducted  outside  the  Framework 
Programme,  in  a  single programme in order to ensure a  coherent  approach;  whereas  this 
programme should focus on activities complementing those carried out by the Member States; 

Whereas  the content of  the Fourth Framework Programme for  Community  RTD  activities 
was  established  in  accordance  with  the  subsidiarity  principle;  whereas  this  specific 
programme specifies  the content of  the activities  to be carried  out  in  accordance  with  this 
principle in the field of cooperation with third countries and international organizations; 

Whereas Decision  .../.../..EC (Fourth Framework Programme) lays down that Community 
action  is justified  if,  inter  alia,  the  research  helps  to  reinforce  the  economic  and  social 
cohesion of the Community and to encourage its harmonious development while at the same 
time  meeting  the  objective  of  scientific  and  technical  quality;  whereas  this  programme  is 
intended to help  meet these objectives; 

Whereas this programme will help to strengthen synergy between the RTD activities carried 
out in the field of cooperation with third countries and international organizations by research 
centres,  universities  and enterprises  in  the Member  States  and  between  the  latter  and  the 
corresponding  RTD activities of third countries and international organizations; 

H?e 

Whereas the rules for the participation of undertakings, research centres (including the JRC) 
and universities and the rules governing the dissemination of research results specified  in the 
measures  provided  for in Article  130j of  the Treaty  apply to this specific  programme; 

Whereas the countries covered by the EEA Agreement will be involved in the implementation 
of  this  programme;  whereas,  in  accordance  with  Article  130m  of  the  Treaty,  it  may  be 
appropriate  to  engage  in  international  cooperation  activities  with  other  third countries  and 
international  organizations; 

Whereas the international cooperation activities with third countries will be implemented both 
centrally  in  this  programme and  in  the  specific  programmes  of  the first activity  and their 
coordination  must be ensured; 

Whereas  this programme comprises activities  for the dissemination and utilization of  RTD 
results and activities to stimulate the mobility and training of  researchers; 

Whereas this programme also includes basic research, in order in particular to safeguard and 
develop the scientific  potential of  the countries of  Central and Eastern  Europe and the new 
independent States of  the former Soviet Union; 

Whereas provision should be made for measures to encourage the involvement of European 
industry,  including  SMEs, in this programme; 

Whereas an assessment  should be made of  the economic and social impact of  the activities 
carried out under this programme; 

Whereas progress with this programme should be continuously and systematically monitored 
with a view  to adapting it,  where appropriate,  to scientific  and technological  developments 
and to the development  of the Union's relations  with these third countries;  whereas  in due 
course there  should be an independent evaluation of progress with the programme so as to 
provide all  the background  information  needed  in order  to determine  the objectives of  the 
fifth RTD  Framework  Programme;  whereas at the end of  this programme there should  be 
a  final  evaluation  of  the  results  obtained  compared  with  the  objectives  set  out  in  this 
Decision; 

Whereas the JRC  may participate in the indirect activities covered  by  this programme; 

Whereas the Scientific  and Technical  Research  Committee (CREST)  has been consulted, 

u&r 

HAS  ADOPTED  THIS  DECISION: 

Article  1 

A specific research, technological development and demonstration programme in the field of 
cooperation  with  third countries  and  international  organizations,  as  set  out  in  Annex I,  is 
hereby adopted  for the period from ...  to 31 December  1998. 

Article  2 

1. 

2. 

3. 

4. 

The amount deemed necessary  for carrying out the programme is ECU 540  million, 
including  10.1 %  for staff and administrative expenditure. 

An indicative breakdown of this amount is given in Annex  n. 

The amount deemed necessary  for carrying out the programme,  as indicated above, 
could  increase  as  a  result  of,  and  in  accordance  with,  the  decision  referred  to  in 
Article  1(3) of Decision  .../EC (Fourth Framework Programme). 

The budgetary authority shall determine the appropriations available.for each  financial 
year in accordance with the breakdown set in the Fourth Framework Programme. 

Article  3 

Detailed rules for implementing this programme, in addition to those referred to in Article 5, 
are set out in Annex HI. 

Article  4 

1. 

2. 

The  Commission  shall  continuously  and  systematically  monitor,  with  appropriate 
assistance from independent, external experts, the progress within this programme in 
relation to the objectives set out in Annex I.  It shall in particular assess-whether the 
objectives, priorities and financial resources are still appropriate.  Whererappropriate, 
it  shall  submit proposals  to adapt or  supplement this programme depending  on  the 
results of  this monitoring process. 

In order to contribute to the overall assessment of Community activities piovided for 
in  Article 4(2)  of  the  Decision  adopting  the  Fourth  Framework  Programme,  the 
Commission  shall,  in due course,  have an assessment  made by  independent  experts 
of  the activities  carried out under this programme,  and of  their management during 
the five years preceding the assessment. 

kn 

3. 

1. 

2. 

3. 

1. 

2. 

At the end of this programme,  the Commission shall instruct independent experts to 
conduct a final evaluation of the results achieved compared with the objectives set out 
in Annex HI to the Fourth Framework Programme and Annex  I to this Decision.  The 
final evaluation  report  shall be forwarded  to the Council,  the  European  Parliament 
and the Economic and Social  Committee. 

Article  5 

A  work  programme  shall be drawn up by  the Commission  in  accordance  with  the 
objectives set out in Annex I and shall be updated where appropriate.  It shall set out 
the detailed objectives and specify the stages in the implementation of the programme 
and the corresponding financial arrangements. 

For the purposes of cooperation with the countries of Central and Eastern Europe, the 
new independent States of the former Soviet Union and the developing countries, the 
Commission  shall  issue  calls  for  proposals  for  projects  on  the  basis  of  the  work 
programme.  Cooperation may also be carried out through other structures. 

The  Commission  shall  take all  initiatives  that  may  be  necessary  to  implement  the 
objectives of the programme in the other geographical regions. 

Article  6 

The Commission shall be responsible for the implementation of  the programme. 

In  the  cases  provided  for  in  Article 7(1)  the  Commission  shall  be  assisted  by  a 
committee of  an advisory nature consisting of  representatives  of  the Member States 
and chaired by the representative of the Commission. 

The Commission representative shall submit to the committee a draft of the measures 
to  be  taken.  The committee shall  deliver  its  opinion  on  this  draft  within  a  period 
which  the  Chairman  may lay down  according  to  the  urgency  of  the  matter,  where 
necessary  by taking a vote. 

The opinion  shall be recorded in the minutes;  in addition each  Member  State shall 
have the right to request that its position be recorded in the minutes. 

The Commission shall take the greatest possible account of the committee's opinion. 
It shall inform the committee of the manner in which its opinion has been taken into 
account. 

kW 

6 

Article  7 

1. 

The procedure laid down in Article 6(2) shall apply to: 

the  establishment  and  updating  of  the  work  programme  referred  to  in 
Article 5(1), 

the evaluation of  the RTD projects proposed  for Community  funding and of 
the  estimated  amount  of  such  funding,  by  project,  when  this  is  more  than 
0.2  MECU, 

the measures to be undertaken to evaluate the programme, 

any changes  to the indicative breakdown  of  the amount allocated  set out  in 
Annex n  that has not been the subject of a budgetary decision, 

2. 

The Commission  shall inform  the Committee,  at each of  its  meetings,  of  progress 
with the implementation of the programme as a whole. 

Article  8 

The Commission is authorized to negotiate, in accordance with Article 228(1), international 
agreements with European third countries with a view to involving them in all or part of the 
programme. 

This Decision is addressed to the Member States. 

Article  9 

Done at Brussels, 

For the Council 
The President 

Hfo 

(3i 

7 

ANNEX  I 

SCIENTIFIC  AND TECHNOLOGICAL  OBJECTIVES  AND  CONTENT 

This specific programme fully reflects the broad lines of the Fourth Framework Programme, 
and applies the selection criteria and spells out the scientific and technical objectives set out 
in that programme. 

This programme implements  the second activity of the Framework  Programme. 

BACKGROUND 

This  activity  is  the vehicle for  international  cooperation  on  RTD  with  third countries  and 
international organizations.  The essential aim of this activity is to add value to Community 
RTD via targeted RTD cooperation and synergy with other Community activities, to improve 
the Community's scientific and technological base and to support the implementation of other 
Community policies.  It will  also aim at stepping up coordination  of  the S&T  cooperation 
between Member States and third countries in order to avoid duplication and to better define 
the Community's areas of activity on the basis of  the subsidiarity principle. 

Cooperation  will  be based on  the principle of  mutual benefit,  which  means not only  direct 
or short-term advantage, as perceived by those involved in a project, but also the long-term 
or indirect advantage to the Community in terms of its industrial competitiveness and external 
relations. 

The  activities  involved  in  cooperation  will  be  accompanied  by  systematic  monitoring  and 
analysis of developments in the policies and in the machinery for implementing R&D in third 
countries  in order  to  adapt Community  cooperation policy and to derive maximum  benefit 
for the Community and its partners. The collection of data and information and analyses will 
be closely coordinated with the œiresponding activities to be carried out in the programme 
on  targeted  socio-economic  research.  Other  accompanying  measures  include  activities 
relating to the study,  dissemination and utilization of  results,  training and coordination and 
the organization of  conferences,  seminars,  etc. 

Non-nuclear  cooperation  activities  and  activities  developed  in  the  earlier  Framework 
Programmes  and  the  APAS,  will  be incorporated  into  this programme.  The  geographical 
scope covers all of Europe, including the independent States of the former Soviet Union, the 
non-European  industrialized  countries  and  the  developing  countries.  Moreover,  greater 
opening-up of the specific programmes of the other activities to third countries will provide 
new opportunities  for cooperation. 

m 

In cases where intellectual property is involved, the guidelines adopted jointly by the Council 
and Commission in June  1992s, will be respected. 

THE PROPOSED RTD ACTTVnTES 

A. 

SCIENTIFIC  AND TECHNOLOGICAL COOPERATION  IN  EUROPE 

The Agreement setting up the European Economic Area (EEA) will enable six of the seven 
EFT A  countries to become involved in all  the specific  non-nuclear programmes  under the 
third Framework Programme.  Suitable adaptation of the EEA Agreement is planned in order 
to  permit  their  full  involvement  in  the  Fourth  Framework  Programme.  Other  Western 
European countries outside the EEA  may become associated via bilateral agreements. 

1. 

Cooperation with other font  for  European scientific  and technological  cooperation 

The aim is to boost the coherence and overall cost-effectiveness of European research, while 
taking full account of national programmes and activities wiuhm the Euror^anEccmornic Area 
as a whole,  via COST,  EUREKA  and links with European  international orgardzations and 
with relevant bodies at world level. 

COST 

The  COST  projects,  which  supplement  the  projects  under  Community  programmes,  aie 
expanding vigorously  and will continue to pave the way towards identifying  new areas  for 
scientific cooperation in Europe, a recent example of which is socio-economic research.  The 
essential  role  of  COST  in  integrating  scientists  from  Central  and  Eastern  Europe  into  a 
broader European context will assume increasing importance.  The assessment of the current 
COST projects and the practical application of their results have been pinpointed as priorities 
for the years ahead. 

The Commission intends to continue the controlled development of  COST activities and to 
provide  the  support  needed  for  the  proper  functioning  of  the  secretariats  of  the  relevant 
committees  and  for  international  coordination.  The  support  of  the  COST  countries  is 
illustrated by their readiness to second national experts in order to run certain secretariats. 

RECH 74 7613/92, 26 June 1992. 

Wt 

EUREKA 

The dovetailing  of  EUREKA  with the Community's RTD  Framework  Programme is based 
on respecting the specific aspects of the two frameworks.  The Edinburgh European Council 
in December  1992 stressed  the need to intensify  synergy  between them. 

Recent developments  within the Community and EUREKA  open  up new  avenues and give 
practical expression to a common intention to extend concertation,  which must be pragmatic 
and follow  a case-by-case  approach.  The pre-competitive parts of  the EUREKA projects 
could be dealt with under the Framework Programme, and the results of Community projects 
could be taken into account in EUREKA projects closer  to the market. 

The practical  implementation of  this joint policy will  meet the following  aims: 

me movement of  information  and flexible  concertation among  the two  fora will  be 
guaranteed  by 
the  network  of  Community  programme  managers  and 
EUREKA-project coordinators,  set up earlier. 
more efficient  use of the existing counselling and information-distribution networks, 
at Community level  (VALUE,  STRIDE,  OPETs, etc.) and at the level of EUREKA 
and  the  Member States,  in  order  to  improve  transparency  for  industry  and 
researchers,  and in particular SMEs. 

The  pre-competitive  parts  of  EUREKA  projects  could  be  selected  and  financed  by  the 
specific programmes of the first activity, in accordance with the procedures for these specific 
programmes. 

International  organizations 

The aim is to strengthen the coherence of research in Europe via closer coordination with the 
European and international scientific organizations and with the networks of research workers 
they have frequently  set up.  links  with the ESF,  CERN,  ESA,  EMBL,  ESO, etc.  will  be 
stepped  up  and  Member States  should  coordinate  their  position  more  closely  within  the 
international political organizations  (UN,  FAO, WHO,  OECD,  ITU,  etc.). 

The  intention  is  to  negotiate  cooperation  agreements  with  relevant  European  scientific 
organizations with a view  to mutual involvement in projects of common interest  This  will 
not  concern  the  main  fields  of  activity  of  those  organizations,  but  rather  the  common 
application of  ancillary,  and often unique, expertise derived  from their main activities. 

H13 

10 

2. 

Coopération  with the  countries of  Central and  Eastern  Europe  and  with the  new 
independent  States  of the former  Soviet Union 

The  principal  aim  is  to  help  safeguard  the  scientific  and  technological  potential  of  these 
countries,  to  redirect  research  towards  social  needs,  and  thus  restore  their  production 
systems,  and also to improve the quality of life in the societies in question.  The Community 
will be able to benefit from cooperation with the East European countries by obtaining access 
to the sometimes highly advanced results of research in those countries. 

There are three principal aims here: 

To  stabilize  R&D  potential:  it  is  first  of  all  a  question  of  safeguarding  human 
resources and existing equipment.  The current earnings of research workers in these 
countries are low  and the lack of  hard currencies  suggests  a difficult  future leading 
to isolation of East European researchers  whose access  to equipment is difficult  and 
who have little contact with their foreign counterparts.  One of the main consequences 
is that, if the opportunity arises, researchers leave this sector to go abroad or take up 
other professional  activities.  There is therefore an urgent need to promote  scientific 
and technical cooperation as a catalyst for action on a long-term basis:  East European 
scientists should be associated with high-tech research,  e.g.  in the field of advanced 
technologies  essential to the creation of  the future infrastructure  of  those countries. 
Links  should  be  forged  between  research  and  industry,  especially  via  the  use  of 
computerized communications networks, in order to promote the integration of these 
countries into European and world markets. 
To help solve problems specific to the East European countries by means of targeted 
R&D. 
To  widen  and  deepen  cooperation  via  involvement  in  specific  Community 
programmes: identification of R&D areas where these countries are in the forefront 
at  world  level,  and  the  introduction  of  balanced  cooperation.  Several  of  these 
countries have a very high quality of  science,  but the potential has not always been 
used  in  order  to  stimulate economic  development  Thus  a  reform  of  science  and 
technology  structures in favour of  a more decentralized,  flexible and open approach 
is urgent in order  that research  and development  may play  an  effective  part in  the 
transition of these countries towards a market economy and their integration into the 
Community environment.  In order to better merge tjie East European countries with 
the fabric of  the world market,  special attention will be paid to their participation in 
information  technology, 
pre-normative  activities  in  industrial  areas  such  as 
telecommunications,  advanced  materials,  and energy  (by  making  use,  for example, 
of  the  "energy centres''  set up in these countries under the THERMIE programme) 
and  in  the  dissemination  and  exploitation  activities  carried  out  within  the  third 
activity. 

<f?V 

11 

The activities with the countries of Central and Eastern Europe and with the new independent 
States of the former  Soviet Union will be conducted via: 

specific  actions to meet  specific  needs.  Mention  should  be  made of  the  following 
examples:  1)  resource  utilization  and  production  cycles  in  the  East  have  caused 
environmental  deterioration  which  goes  beyond  national  frontiers  and  continents. 
There is an urgent need to find a common solution in areas such as the rational use 
of  energy  resources,  and  climate  change;  2)  it  is  important  that  the  information 
infrastructure  established  in  the East  develops  in  compatible  fashion  to  that  in  the 
European  Union  and  that  research  conducted  in  this  area  is  complementary  and 
convergent;  3) action to combat environmental and public health problems in the new 
independent  States of  the  former  Soviet Union,  in  particular  as  a  result  of  major 
accidents; 
the International Association  for the Promotion of Cooperation  with Scientists  from 
the New Independent States of  the Former Soviet Union  (ENTAS), provided  that a 
new agreement is reached between its members. 
the opening-up of the specific programmes of the Fourth Framework Programme to 
these countries, notably the associated countries.6 

This activity will supplement that of  the Member States and synergy  with the PHARE and 
TACIS programmes will be guaranteed.  At the same time it will help to coordinate Member 
States' activities in this area. 

B. 

COOPERATION  WITH  NON-EUROPEAN  INDUSTRIAIJZED  THIRD 
COUNTRIES 

The  aim  is  to  further  the  Community's  interests  by  ensuring  that  the  direction  of  the 
Community's industrial research  is in tune with the potential international  markets for  the 
future  applications of  this research,  in  order  to improve the competitiveness  of European 
industry and to optimize its efforts by seeking or easing access to scientific and technological 
sources in the countries in question, since these highly industrialized countries conduct RTD 
similar or  complementary  to  that  conducted  by  the EC.  To  some  extent,  the  reasoning 
behind cooperation between the Community and those countries on RTD is the same as that 
underlying intra-Community cooperation. 

In  other  instances  cooperation  with  these  countries  is  a  basic  prerequisite  for  the 
implementation of  "megascience" research  projects  such as fusion,  the human genome and 
global change.  This is the background to such multilateral cooperation and consultation as, 
for  example,  within  the  OECD  or  multilateral  projects  such  as  the  "Human-Frontier 
Programme" and "Intelligent Production Systems".  To this should be added involvement in 
research  in the preparation of international standards. 

6 

Other Community instruments could help to finance such participation. 

LfK 

12 

The dialogue on scientific policy with the abovementioned countries will be deepened.  This 
could  lead  to  cooperation  on  the basis  of  a  sectoral  agreement  or  a  wider  agreement  on 
scientific  and technical cooperation.  Nevertheless,  since the countries concerned  are both 
Community partners and competitors, it is important to be selective as regards the areas of 
cooperation and to concentrate on a few carefully  selected sectors in the light of Community 
priorities. 

This cooperation requires a degree of flexibility as regards the types of cooperation, ranging 
from  consultation  to  an  exchange  of  information  and  experts,  to  programmes  of 
post-doctorate fellowships in foreign  laboratories, to joint projects or studies, and possibly 
to reciprocal involvement in projects or complete research programmes. 

A  closer  link  is  planned  between  scientific  and  technical  cooperation  and  education  and 
training. 

These activities also underpin the Community's external policy activities and offer  all of the 
Member States the advantage of equal access to foreign  sources of science and technology. 

Activities facilitating access to, and dissemination of,  such information will be encouraged. 

C. 

SCIENTIFIC  AND  TECHNOLOGICAL  COOPERATION  WITH  THE 
DEVELOPING COUNTRIES 

The main aim of this activity is to enable the DCs, whose levels of development can  differ 
widely, to be associated with developing the knowledge and innovative technologies needed 
to  solve  the  problems  arising  from  their  own  sustainable  economic  development.  This 
general  aim  has  two results:  one is  to  harness  training  and  the relationships  that  will  be 
established  between  research  workers  and their  institutions in order  to maintain  and even 
boost  DC  research  and 
the 
human-resource and institutional level.  The other will be to enable the European  scientific 
community to maintain and improve excellence in the scientific areas that are relevant to DC 
problems.  In order to achieve this general objective, dissemination and utilization activities 
will be implemented in conjunction  with the third activity.  In addition, this operation will 
be implemented in  synergy with other Community policies on development and economic 
cooperation. 

technological  development  capacity in  particular  at 

In order to achieve this objective with due regard to the principle of sustainable development, 
research  activities will target three sectors which are interrelated  and of  major  importance 
in most of the DCs and emphasize, where necessary, interdisciplinary aspects. 

U<j6 

13 

the  sustainable  management  and  use  of  renewable  natural  resources,  including 
forests,  oceans  and  other  aquatic environments,  water,  soil  and  biodiversity,  with 
particular emphasis on their interactions and on the relationship between  utilization 
and conservation,  including environmental  protection.  The problems lying at the 
interface  of  natural resources  namely policy and demographic factors,  development 
human settlements will also be covered. 

improvement  of  agricultural  production  within  this  framework  of  sustainable 
management  of  renewable  natural  resources.  This  concerns  the  areas  of  plant 
breeding and  protection  in order  to adapt them better to environmental conditions, 
thus  permitting  better  utilization  of  the  available  land;  livestock  farming,  with  a 
special  emphasis  on  better  health  protection  of  animals,  breed  improvements  and 
sustainable  production  of  animal  feed;  aquaculture,  in  order  to  facilitate  the 
development of this activity and its environmental integration; improvements in the 
conditions of product storage and processing, areas in which losses are considerable 
in  the  DCs;  analysis  of  production  systems  and  the  scope  for  intensifying  rural 
systems. 

health and population, focusing on control of the predominant diseases in the DCs, 
improving health-care systems and the impact on the environment and on health of 
demographic  change and  urbanization.  This  concerns  research  into  vaccines,  the 
biology of pathogens and their vectors, the development of new diagnostic methods 
and the production of new drugs; research into population, health-care systems and 
methods of  intervention,  account being taken of the specific  constraints  and of  the 
socio-economic context of the DCs. 

In close consultation with the Directorates-General concerned, these priorities will be focused 
within each of these sectors when the work programme is prepared, since this will be drawn 
up  for  the  individual  regions  (several  DCs,  e.g.  the  Mediterranean  region),  with  the 
flexibility  needed to take account of ecological, demographic and public health criteria, their 
economic  situation  and  the  European  Union's  development  and  economic  cooperation 
policies. 

In order to strengthen the research capabilities of the DCs, in particular those which are the 
most advanced as regards science and technology, it is also necessary to organize cooperation 
in  other  areas  of  science  and  technologies,  e.g.  communications  technologies,  industrial 
technologies, materials technologies, and biotechnology.  RTD cooperation activities should 
be pursued to promote the gradual, harmonious integration of those countries into the world 
economy, while helping to bring them out of their isolation, provided that such activities are 
not already the subject of other activities under the Framework Programme. 

Hit 

14 

Improving  the  conditions  for  science  and  technology  depends  in  particular  on  setting  up 
advanced  information  and communication  networks  and  systems,  and  access  to  European 
networks is relevant to the development of these countries and should be taken into account 
in  technology  transfer  activities  in the  framework  of  the various  policies  of  the European 
Union. 

Another  aim  of  this  activity  is  to  make  it  easier  for  DCs  to  participate  in  the  major 
Community research actions on topics of global importance.  Some of  the topics are highly 
relevant  to  the  DCs  (desertification,  demographic  growth,  uncontrolled  urban  growth, 
economic and social imbalances),  while others that also affect  the future of  the planet as a 
whole are common to the DCs and the industrialized countries (greenhouse effect,  pollution, 
communicable diseases, pandemics).  It is therefore important that the scientific  community 
in the DCs and in Europe should work together to solve these problems, using to best effect 
the  resources  available  in  both  (human  resources,  skills,  technologies,  natural  resources, 
etc.). 

The  research  activities  undertaken  in  order  to  achieve  the  second  aim  are,  by  their  very 
nature,  global  and  must be dealt with  in a  global  rather  than  regional.manner.  They  are 
often defined in international fora in which the EU is active.  Among the more urgent topics 
are global change, communicable diseases of a pandemic character and the social dimension 
of health-care provision,  Earth observation in cooperation with other bodies,  including the 
JRC, and the assessment  and conservation of  natural  resources. 

Finally,  for the most technically advanced of the DCs, research topics of  mutual interest to 
them  and  the EU  may be  identified  within the  specific  programmes  of  activity  I  open  to 
them.7 

In  view  of  the  cooperative  nature of  the research and  the  essential  characteristics  of  the 
partnership,  it will basically be implemented via joint shared-cost projects.  In the  specific 
cases  of  topics  of  mutual  interest,  concerted  actions  could  also  be  considered.  The part 
played  by joint  research  networks  is  also  important,  as  are  actions  concerning  scientific 
stimulation,  meetings,  workshops  and  conferences.  The  training  and  education  provided 
under this activity will in essence be provided via joint research contracts and accompanying 
measures,  the networks being, as it were,  a means of continuous training and the contracts 
a basis guaranteeing  that the training will be put to good use. 

Other Community instruments could help to finance such participation. 

kn 

15 

ANNEX  H 

INDICATIVE  BREAKDOWN  OF  THE 
AMOUNT DEEMED  NECESSARY 

Area  Al 

Cooperation  with other fora  for 
scientific  and technological  cooperation 
in Europe 

Area  A2 

Cooperation with the countries  of 
Central and Eastern Europe and the 
new independent States of  the former 
Soviet Union 

Area B 

Cooperation with  non-European 
industrialized  third countries 

AreaC 

Cooperation with the developing 
countries 

7-8.5% 

39-47% 

6-7.5% 

39-47% 

100%\ 

1  2 

The breakdown  between  different  areas  does  not exclude  the possibility  that projects  may 
come under several areas. 

Including 4.6%  for staff expenditure and 5.5%  for administrative expenditure. 

A sum of  ECU 4  million will be allocated to the dissemination and utilization of the 
results of  the programme. 

H 9 9 

16 

ANNEXAI 

DETAILED  RULES  FOR  IMPLEMENTING  THE  PROGRAMME 

1. 

The  detailed  rules  for  the  Community's  financial  contribution  are  laid  down  in 
Annex  IV to the Decision on the Fourth Framework Programme. 

The  detailed  rules  for  the  participation  of  undertakings,  research  centres  and 
universities  and  for  the dissemination  of  results  will  be  laid  down  in  the measures 
provided  for by Article  130j of  the Treaty. 

However,  for the purpose of implementing this programme, the following exceptions 
shall apply: 

Participation in this programme is open, with financial support from the Community : 

a. 

to all legal entities, established and regularly carrying out RTD  activities 

in the Community,  or 
in  part,  with  the 
in  a  third  country  associated,  wholly  or 
implementation  of  the  relevant  programme  through  an  agreement 
concluded between the Community and the said third country 

b. 

to the Joint Research Centre. 

Participation  in  this  programme  is  open,  without  financial  support  from  the 
Community, and on condition that their participation is in the interests of Community 
policies  : 

a. 

b. 
c. 

to legal entities established in a country which has concluded a scientific and 
technical  cooperation  agreement  with  the  Community  relating  to  activities 
covered by the programme, provided the participation accords with the terms 
of  the agreement, 
to legal entities established in a European country, 
to international research organisations. 

The  participation  of  European  international  organisations  may  be  financed  on  the 
same basis as that for Community organisations in duly specified areas. 

Cooperation  with  other  fora  for  European  cooperation  involves  stimulation  and 
coordination activities,  in particular with EUREfCA,  in the framework of COST and 
with European organizations. 

SCO 

17 

The  exchange  of  information,  coordination  and  stimulation  of  activities  of  mutual 
benefit are planned with regard to cooperation with non-European industrialized third 
countries.  The programme resources may also be used for Community  participation 
in  the  exploratory  phase  of  a  joint  project,  whereas  the  financing  of  a  possible 
operational  phase  of  the  project  would  have  to  be  covered  by  the  programme 
concerned. 

This programme cannot cover the cost of participation of third countries, in particular 
associated countries to whom the specific programmes of the Framework Programme 
are open. 

Cooperation with the countries of Central and Eastern Europe,  the new  independent 
States of  the former Soviet Union and the developing countries in  specific  areas not 
covered  by  the programmes of  activities  1,  3  and 4  will  normally  take the form  of 
shared-cost  activities  or  concerted  action.  A  balance  will  be  ensured  between 
cooperation with the Central and Eastern European countries and the new independent 
States on the one hand, and with the developing countries on the other.  The  financial 
contribution for  the partners  from  the  Central  and Eastern  European  countries,  the 
new independent States and the developing  countries  may exceed 50%. 

The pilot  phase  of  the International  Association  for  the  Promotion  of  Cooperation 
with Scientists from the New Independent States of the Former Soviet Union (INTAS) 
expires at the end of  1994.  The Commission will transmit a proposal to the Council 
in due course regarding the future of this association and the geographical areas and 
themes to be covered. 

Cooperation with the countries of  Central and Eastern Europe,  the new  independent 
States of the former Soviet Union and the developing  countries will be implemented 
in-close  liaison  with  other  Community  initiatives  such  as  PHARE  and  TACIS,  or 
other  fora  for  cooperation  such  as  the  Lomé  Convention,  the  new  Mediterranean 
policy  and  the  regulation  on  financial  and  technical  assistance  to,  and  economic 
cooperation  with,  the developing  countries  in  Asia  and  Latin America,  in  order  to 
permit cross-fertilization between the efforts and results of these activities on the one 
hand,  and cooperation in the framework of  Community RTD  policy  on the other. 

2. 

This programme will be carried out in the form  of: 

2.1 

Financial  participation  by  the  Community  in  RTD  activities  carried  out  by  third 
parties or by JRC Institutes in association  with third parties 

(a) 

Shared-cost activities: 

RTD  projects carried out by undertakings,  research  centres and universities, 
including consortia for integrated projects with a common thematic objective; 

So-7 

18 

support  for  financing  the  infrastructure  or  installations  necessary  for  the 
implementation of a coordinated action (strengthening  of  coordination). 

(b) 

Concerted activities, which consist of coordinating,  particularly with the aid 
of concertation networks, RTD projects already  funded by public authorities 
or  private  bodies.  Concerted  activities  can  also  include  the  requisite 
coordination  of  thematic  networks  bringing  together  manufacturers,  users, 
universities  and  research  centres  to  work  on  the  same  technological  or 
industrial  objective  under shared-cost  RTD  activities  (cf.  first  paragraph  of 
Section 2.1(a)). 

(c) 

Specific measures  such as measures in support of  the Community's external 
policies  and  measures  to provide  tools  for  general  use  in  research  centres, 
universities  and undertakings.  The Community's  contribution  covers  up  to 
100% of the costs of the measures. 

2.2 

Preparatory,  accompanying and support measures: 

studies in support of this programme and in preparation  for future activities; 
conferences,  seminars,  workshops  or other  scientific  or  technical  meetings, 
including intersectoral or multidisciplinary coordination  meetings; 
use of external expertise, including access to scientific  databases; 
scientific publications, including the dissemination, promotion, and utilization 
of  the  results  (coordinated  with  the  activities  conducted  under  the  third 
activity); 
study  and  monitoring  of  the  developments  in  the  science  and  technology 
policies  of  the  third  countries  and  of  the  socio-economic  conditions  of 
international cooperation; 
training activities related to research covered by this programme; 
recourse to the energy centres  set up in certain countries under the Thermie 
programme; 
concertation  and  coordination  activities,  e.g.  exchange  of  information  to 
improve coordination with the Member States; 
independent evaluation (including studies) of programme management and of 
the implementation of its activities. 

Col 

19 

SPECIFIC PROGRAMME OF 
RESEARCH, TECHNOLOGICAL DEVELOPMENT AND 
DEMONSTRATION IN THE FIELD OF 
COOPERATION WTTH THIRD COUNTRIES AND 
INTERNATIONAL ORGANIZATIONS 

FINANCIAL STATEMENT 

ÎC3 

20 

FINANCIAL  STATEMENT 

1. 

TITLE OF  OPERATION 

Cooperation with third countries  and international organizations. 

2. 

BUDGET  HEADING  INVOLVED 

B6-7211 

3. 

LEGAL  BASIS 

Article  130i of  the Treaty on European Union. 

Council and European Parliament Decision on the Fourth Framework Programme for 
Community  activities  in  the  field  of  research,  technological  development  and 
demonstration  (1994-98). 

4. 

DESCRIPTION  OF  OPERATION 

4.1 

General  objective of  operation 

The  principal  aim  is  to  strengthen  the  Community's  scientific  and  technological 
capability,  to  support  the  implementation  of  Community  policies  vis-à-vis  third 
countries and to contribute to solving regional and global problems. 

A. 

Scientific and technological cooperation in Europe 

A.l.  Collaboration  with  other fora  for  scientific  and  technical  cooperation  in 

Europe 

COST:  support  for  the  coordination  of  concerted  cooperation  activities  (minimum 
5-25  participant countries)  through a flexible system pennitting  the rapid launch  of 
a concerted research activity where the need arises, without financing of the research 
as such. 

EUREKA:  coordination  of  activities  and  preparation  of  dossiers  for  high-level 
meetings,  particularly of  the ministers responsible. 

International organizations:  increase the added value of  Community RTD activities, 
improve  the  Community's  scientific  and  technological  base  and  support  the 
implementation of other Community policies. 

Çoii 

21 

A.2.  Cooperation with the countries of  Central and Eastern  Europe  and  the  new 

independent States of the former  Soviet Union 

Contribute  to safeguarding  and reorienting  the scientific  and  technological  potential 
of  these countries and promote,  by concerted  international  efforts,  the research and 
technological  development activities of  the countries of  Central and Eastern  Europe 
and  the new  independent  States of  the former  Soviet Union  as  a factor  essential  to 
their social  and economic progress  and the consolidation  of  their democracy  on the 
one hand, and to the scientific and technical cooperation between the scientists from 
these countries  and the European Community on the other. 

Cooperation  with  the  countries  of  Central  and  Eastern  Europe  and  the  new 
independent  States  of  the  former  Soviet  Union  will  complement  other  Community 
activities,  notably PHARE and TACIS, and will be carried out in close  liaison with 
the activities of  Member States. 

B. 

Cooperation with non-European  industrialised  countries 

Boost  the Community's  scientific  and technological capability  by  facilitating  access 
to know-how  developed in industrialized third countries. 

C. 

Scientific  and technological cooperation with the developing  countries ... 

Enable the DCs to be involved in the elaboration of knowledge to solve the problems 
relating  to their development. 

Enable  the  European  scientific  community  to  maintain  and  improve  excellence  in 
areas of  science relevant to the problems of DCs. 

Enable DCs  to participate in the solution of global problems. 

4.2 

Fields covered bv the programing 

A. 

Scientific  and technological cooperation in Europe 

A.l.  Collaboration  with  other fora  for  scientific  and  technical  cooperation  in 

Europe 

COST: 
information  technology,  telecommunications,  transport,  oceanography, 
materials,  environment,  meteorology,  agriculture/biotechnology,  food  technology, 
social sciences,  biomedical research,  urban engineering, chemistry,  forests and fluid 
dynamics. 

SOÇ 

22 

EUREKA:  European networks for the promotion of market-oriented R&D projects 
in all the advanced technology sectors. 

International organizations: reinforce the consistency of research in Europe through 
closer coordination  with European scientific organizations and with the networks of 
scientists they have often  set up. 

A.2.  Cooperation  with the countries of  Central and Eastern Europe and with the 

new independent States of the former Soviet Union 

This  activity  will basically concern  specific  research  topics related  to  situations of 
critical  importance in  the countries of  Central and Eastern  Europe and  the  former 
Soviet Union, with priority to subjects affecting  groups of countries. 

B. 

Cooperation with non-European industrialized third countries 

All scientific and technical areas of mutual interest  Cooperation will, however, be 
concentrated in a number of specific sectors, following a selection process that takes 
account of the socio-economic interests of the Union. 

C. 

Scientific and technological cooperation with the developing countries 

Cooperation aimed at (i) the management of renewable natural resources, agricultural 
production, protection of the environment and health, and (ii) the strengthening of the 
research capabilities of the DCs, in particular those which are the most advanced in 
terms of science and technology. 

4.3  Duration 

1994-98. 

5. 

CLASSIFICATION OF EXPENDITURE OR REVENUE 

Non-compulsory exr^diture/differentiated  appropriations. 

6.  TYPE OF EXPENDITURE OR REVENUE 

Studies/subsidies 

In principle, the direct activities will be 100%  funded. 

The concerted activities may qualify  for a contribution of up to  100% of the 
coordination costs. 

Subsidies for joint financing with other sources in the public and/or private sector. 

The shared-cost activities will normally qualify for a contribution of not more 
than 50%. (The financial contribution for CEEC, NIS and DC partners may 
exceed 50%.) 

ïtâ 

(33) 

23 

Universities  and  other  research  centres  participating  in  RTD  and  unable  to 
substantiate their total costs in sufficient detail for the Commission,  based on 
an  analytical  accounting  system,  will  qualify  for  100%  funding  of  the 
additional costs. 

Other  shared-cost  activities  (for  example,  networks,  training,  feasibility 
awards  or  accompanying  measures)  will  qualify  for  up  to  100%  of  the 
additional costs  or of  the costs  of  the measure. 

In the context of cooperation with scientists from the countries of Central and 
Eastern  Europe and  the new independent States of  the  former Soviet Union, 
the resources  will  be allocated as a matter of priority to research  teams from 
these countries. 

Staff,  administrative  and operating  costs 

These  also  cover  the costs  of  personnel  covered  by  the Staff  Regulations and other 
staff,  studies,  meetings  of  experts,  conferences  and  congresses,  information  and 
publications,  administrative,  technical and operating costs, and certain other internal 
infrastructure  and  operating  costs  for  attainment  of  the  objective  of  the activity  of 
which they are an integral part. 

7. 

FINANCIAL  IMPACT 

7.1  Method  of calculating total cost  of  operation 

* 

Staff  costs:  ECU  24.78  million  (4.59  % of  the  ECU  540  million  deemed 
necessary). 

| 

The  1994  staff  levels  will  be  maintained,  i.e.  71  posts.  These  posts break down as 
follows:  36  A  +  10 B  +  25  C. 

It is important to note that the staff working on this specific  programme will also be 
responsible  for  the  scientific  monitoring  and  for  monitoring  the  contracts  for  the 
activities carried out as part of the programme under the third Framework Programme 
and other earlier activities. 

4c 

Administrative costs including personnel not covered by the Staff Regulations: 
ECU 29.70  million  (5.50% of  the ECU 540  million deemed  necessary). 

Operating  costs:  ECU  485.52  million  (89.91%  of  the  ECU  540  million 
deemed necessary), including the cost of accompanying measures, evaluations 
and concertation  activities. 

<&? 

7.2  Itemized  breakdown of cost (in million ECU and %) 

24 

37.80-45.90 

Cooperation with other fora for scientific 
and technological cooperation in Europe 
Cooperation with the countries of 
Central and Eastern Europe and 
the new independent States of 
the former Soviet Union 
Cooperation with non-European 
industrialized third countries 
6-7.5% 
Cooperation with the developing countries  210.60-253.80  39-47% 

210.60-253.80  39-47% 

32.40-40.50 

7-8.5% 

TOTAL 

540 

100% 

1 

Including ECU 24.78 million (4.59%) for staff costs and ECU 29.70 million (5.50%) for 
administrative costs. 

7.3  Indicative schedule of appropriations 

The schedule will be established on the basis of the overall amounts for the fourth  framework 
programme  adopted  indicatively  for  the  periods  1995-96  and  1997-98  at  the  conciliation 
meeting on 21 March  1994. The RTD appropriations for each financial year will be proposed 
and adopted each year on the basis of the resources available in the context of the  financial 
perspective. 

^

—

~— 

— 

- 

•• 

- 

•• 

| 

Payment  appropriations 

Commitment 
appropriations 

1995 

1996 

1997 

1998 et  seq 

TOTAL 

1995 

1996 

1997 

1998 

56.45 

36.40 

148.00 

168.00 

167.55 

13.79 

93.40 

3.75 

32.76 

98.57 

/ 

TOTAL 

540.00 

36.40 

107.19 

135.08 

2.51 

21.84 

69.43 

167.55 

261.33 

56.45 

148.00 

168.00 

167.55 

540.00 

8.  WHAT ANTI-FRAUD MEASURES ARE PLANNED? 

There  are  numerous  administrative  and financial checks  at  all  stages  of  the  award  and 
implementation of research contracts.  These include: 

Prior to conclusion  of the contract: 

initial selection of the proposals on the basis of the scientific value of the project and how 
realistic  the  cost  of  the research is  compared  with  its  nature,  duration  and potential 
impact; 

analysis of the financial data supplied by the proposers in the negotiation form. 

5"^ 

After signature  of the contract: 

25 

scrutiny at several levels (financial management, scientific officer responsible) 
of  the statements of expenditure before payment, 

checks  on  the spot involving  examination of  supporting  documents to detect 
errors  or other irregularities.  In order to improve the effectiveness  of  these 
checks,  the Commission  has  set up an audit unit to centralize all  the checks 
carried out.  The checks are either carried out by members of the audit unit, 
or by audit companies with whom the Commission has concluded framework 
contracts,  under the supervision  of  the staff of the audit unit. 

9. 

ELEMENTS  OF COST-EFFECTIVENESS  ANALYSIS 

911 

Specific  and quantifiable  objectives and target  population 

This  activity  is  the  instrument  of  international  cooperation  on  RTD  with  third 
countries  and international  organizations.  The  specific  objective  is  to  increase  the 
added value of Community RTD activities, to improve the Community's scientific and 
technological  base  and to  support the implementation  of  other Community  policies 
through targeted RTD cooperation in synergy with other Community activities.  It is 
also designed to increase coordination of Member States' S&T cooperation with third 
countries in order to avoid duplication of effort and to define more clearly the range 
of  Community actions on the basis of the subsidiarity principle. 

Cooperation will be based on the principle of mutual benefit and will be accompanied 
by systematic monitoring and analysis of R&D policy developments and implementing 
mechanisms  in  third  countries,  with  a  view  to  adjusting  Community  cooperation 
policy  as  necessary  and  to  deriving  maximum  benefit  for  the  Community  and  its 
partners. 

A. 

Scientific  and technological cooperation in Europe 

A.l.  Collaboration  with  other fora  for  scientific  and  technical  cooperation  in 

Europe 

COST:  the  objectives  are  to promote  coordination  between  research  institutes and 
organizations of 25 European countries (the 12 Member States and 13 third countries 
contributing  financially  to  the operation)  in order  to ensure that the research has  a 
European dimension.  Industry is also concerned to the extent that the research topics 
correspond  to products closer to the market in some areas. 

EUREKA:  support to the EUREKA  Secretariat. 

A.2  Cooperation  with  the countries of  Central and Eastern Europe and  with the 

new  independent States of the former  Soviet Union 

The specific  objectives  focus on three main areas: 

ÇoQ 

26 

stabilization of R&D potential: the prime aim is to safeguard human resources 
and existing equipment; 

contribution  to solving  problems  specific  to  the Eastern  European  countries 
with the aid of  targeted R&D activities; 

widening  and  deepening  of  cooperation  through  participation  in  specific 
Community  programmes:  identification  of  the  R&D  sectors  in  which  these 
countries  rank  among  the  best  in  the  world  and  establishment  of  balanced 
cooperation. 

Activities with the countries of Central and Eastern Europe will take place through: 

participation of  these countries  in the specific  programmes  under the Fourth 
Framework Programme.  The current budget does not allow  for covering the 
costs of participation from research funds; 

specific  activities to meet particular needs; 

INT AS,  International  Association  for  Cooperation  with  Scientists  from  the 
New  Independent  States  of  the  Former  Soviet  Union,  provided  that a  new 
agreement is reached between its members. 

B. 

Cooperation with non-European industrialized  countries 

The  aim  is  to  provide  support  to  the  Community's  external  activities,  while  also 
developing cooperation with Member States in this area. 

C. 

Scientific and technological cooperation with the developing  countries 

The specific  objectives are: 

(1) 

(2) 

(3) 

(4) 

To  promote  development  and  economic  cooperation  through  high  quality 
research providing  solutions to important development problems. 

To  strengthen  and  retain  research  capacities,  including  human  capital,  in 
developing countries. 

To encourage scientific  collaboration between Europe and the DCs,  between 
DCs and within Europe. 

To take account of the Union's political obligations towards the DCs,  and of 
the  recommendations  of  international  fora  such  as  the  Rio  Conference 
(UNCED). 

This activity  targets all  DCs.  Priorities  will  be  established  by  region,  in  dialogue 
with the DCs,  and taking account of their needs and priorities. 

S/to 

9.2 

Grounds for the  operation 

27 

A. 

Scientific  and technological  cooperation  in Europe 

A. 1.  Collaboration with other fora for  scientific and technological  cooperation  in 

Europe 

COST: 

this  type  of  cooperation  has  the  advantage  of  not  offering  to  finance  the 
research itself,  but always  stimulates  the interest  of  several  participants and 
permits application of the subsidiarity principle; 

the activities often give rise to larger scale research programmes or activities 
in  the  Community  framework,  and  the  cooperation  networks  frequently 
continue to function after the activities have ended; 

Multiplier  effects: 

Collaboration is an instrument for mobilizing funds for national research projects. 

A.2.  Cooperation with the countries of  Central and Eastern  Europe  and  with the 

new  independent States of the former  Soviet Union 

Derived benefits  (impact beyond the specific objectivées)): 

The direct and indirect effects of this activity should enable Community laboratories 
to embrace new research topics and to acquire in-depth knowledge of  the problems 
and scientific  and technical opportunities in the countries of  Eastern Europe. 

This  type  of  cooperation  has  the  advantage  of  promoting  access  for  Community 
laboratories to research centres of excellence in the countries of Eastern Europe, and 
hence enabling cooperation to develop on the basis of  mutual  benefit. 

Multiplier  effects: 

The logic  behind  such cooperation  is to boost European  integration  at the  scientific 
level by extending the networks of laboratories supported by the Commission, hence 
expanding their field of competence.  At the same time, our partners in the countries 
of  Central and Eastern Europe and the new independent States of  the former Soviet 
Union  will  benefit  in  a  spirit  of  mutual  advantage  from  greater  knowledge  of 
Community activities. 

B. 

Cooperation  with non-European industrialized  countries 

This  activity,  based  on  the  principle  of  mutual  benefit,  is  necessary  in  order  to 
strengthen the Community's scientific and technical capability and to help implement 
Community policies vis-à-vis  industrialized third countries. 

S"->M 

28 

C. 

Scientific and technological  cooperation  with the developing  countries 

The  developing  countries'  S&T  requirements  for  their  economic  and  social 
development are on a par with those of Europe in terms of intellectual rigour, human 
capital and resources.  Nevertheless, there are real difference as regards the research 
topics,  which  essentially  concern  ecosystems  and  societies  of  tropical  regions, 
conditions  of  implementation  in  difficult  environments  and  in  countries  that  are 
sometimes  extremely  poor,  and  the  importance  and  diversity  of  the  practical 
implications of research results.  Furthermore, the term "developing country" covers 
a  wide  range  of  circumstances  with  regard  to  scientific  and  technological 
development,  from  a  very  low  level  to  one  approaching  that  of  the  developed 
countries. 

Each Member State has developed scientific cooperation programmes with DCs,  the 
importance of which is frequently associated to cultural traditions or historical links. 
Consequently,  Europe has a research and knowledge potential in  these areas  which 
puts  it  at  the  forefront  of  the  industrialized  countries,  even  if  the  activities  of 
individual Member States are thematically and geographically fragmentary and often 
carried out in a bilateral  framework. 

This  activity  is  therefore  designed,  in  synergy  with  Community  development 
activities,  to  integrate  these  various  research  initiatives  in  a  global,  concerted, 
coordinated approach which will cause Community efforts in this area to assume their 
true dimension. 

Multiplier  effects 

With regard to the DCs,  cooperation forms part of the strategy of  solving the major 
problems affecting  the development of  much of  mankind (poverty,  health, nutrition, 
environment,  etc.). 
It also endeavours to develop economic relations with the more developed  countries 
of  Asia,  Latin America and the Mediterranean. 

9.3  Monitoring  and evaluation of the  operation 

Performance  indicators selected. 

* 
* 
* 
* 
* 
* 

number and quality of projects 
number and quality of  scientific  networks 
number of  scientists from the Eastern countries  involved 
number of  third countries involved 
number of  Community partners 
utilization of  the scientific  results 

57* £. 

Details and frequency of planned evaluation. 

29 

* 
* 

Studies and publications and/or scientific/technical  reports 
Evaluation by specialist working parties, peer reviews,  publications 

In order to contribute to the overall assessment of Community activities provided for 
in  Article  4(2)  of  the  Decision  adopting  the  Fourth  Framework  Programme,  the 
Commission  shall,  in due course,  have an assessment  made by  independent  experts 
of  the activities carried out in the field directly covered  by  this programme,  and of 
their management during the five years preceding  the assessment. 

At the end of this programme,  the Commission  shall instruct independent experts to 
conduct a final evaluation of the results achieved compared with the objectives set out 
in Annex m  to the Framework Programme and Annex I to the Decision adopting this 
programme.  The  final  evaluation  report  shall  be  forwarded  to  the  Council,  the 
European Parliament and the Economic and Social  Committee. 

r - 43 

Proposal for a 

COUNCIL DECISION 

94/0093(CNS) 

adopting a specific programme 

for the dissemination and exploitation of the results of activities 

in the field of research, technological development and demonstration 

(1994-1998) 

ÏALf 

EXPLANATORY  MEMORANDUM 

The expansion of the European economy,  and especially the creation of new jobs, 
depends on the innovative capacity of its undertakings,  and in particular  its small and 
medium-sized enterprises. There is still room for progress in this area.  Cooperation 
between scientific  bodies and industry  is still inadequate in Europe.  Although vastly 
improved as a result of Community programmes,  the effectiveness  of  transnational 
transfers  of know-how  and technologies must still be significantly  strengthened,  and a 
"Community"  added value must be given to measures taken by  Member States at 
regional or national level. 

Particular  attention must be paid to SMEs. They represent the backbone of industry 
by virtue of their number and their significance  in terms of  industrial production 
(>50%)  and employment  (70%). Their flexibility,  dynamism and capacity to 
innovate,  provided they master and incorporate the latest technology,  are vital  for 
conquering numerous markets. 

The dissemination and exploitation of scientific  know-how  and technology,  for  the 
benefit  of SMEs in particular,  is therefore  of considerable importance. This was 
highlighted  in the Commission's  "White Paper",  and is furthermore  a priority  of the 
Fourth Framework Programme,  as was reiterated in the conclusions of the Edinburgh 
summit. 

1. 

The objectives  of the Community  action 

The three objectives  of the action to be undertaken by the Community  are: 

- to ensure the widest possible dissemination  of the results of RTD activities 

under  Community programmes; 

- to ensure their optimum exploitation,  i.e.  to ensure,  with the assistance of the 
various operators concerned,  that the results obtained  at Community  level are 
transformed  into innovations, possibly  in synergy  with other results; 

- to support the various initiatives launched at national or regional  level so as 
to give them a trans-European  dimension. 

To achieve these objectives,  a new approach is necessary taking account of the range 
of operators involved  and the cumulative,  interactive and complex nature of the 
innovation process. 

For this reason,  alongside the conventional activities for  exploiting results, which 
remain necessary,  the dissemination  and exploitation project  must adopt a broader 
approach,  differentiated  according to the targets involved and based on a cohesive and 
integrated set of  measures implemented under the specific  programmes of the  first 
activity  and a horizontal Community  action. 

The aims of this latter are complementary  and interdependent:  to exploit Community 
RTD, to establish  a decentralised  and cohesive infrastructure  for  disseminating 
technologies, to create an environment favourable  to the absorption of technologies by 
SMEs, on the financial front  in particular,  and to improve the coordination  of policies 

6"-K 

and national and regional instruments in this field.  Its activities and instruments are 
adapted to fit the categories of enterprises concerned.  The action addresses both the 
supply of technology  and the demand for  technology and involves pre-research 
actions (preliminary  information,  search for partners, etc.), post-research  activities 
(transfer  of technology,  licensing,  etc.) and even activities involving the research 
environment (such as social acceptance,  funding,  coordination  of public instruments). 
A variety of instruments is used,  with a great reliance on local, regional or sectoral 
relays. 

The objectives and the scope of the dissemination and exploitation activities of this 
new approach are different  to those of the two previous framework programmes. This 
new approach justifies  a programme with a broader content whose implementation 
requires methods, competences and instruments other than those normally used under 
the specific  research programmes of the first activity. 

Moreover - and it is not the least important aspect -  this approach aims to correct the 
dominant  "technology push" trend,  a criticism of previous framework programmes, by 
taking fuller  account of the needs of industry as a whole. 

At the same time, by virtue of its aims and content, this action will help the least-
favoured  regions of the Community  and contribute to economic and social cohesion. 
Hence its close links with the various initiatives in these fields. 

The principles for  implementation 

2.1 

Compliance with the principle 

In many respects, the dissemination and exploitation action is exemplary with 
regard to the principle of subsidiarity.  It endeavours to promote the 
exploitation and dissemination of RTD results throughout the Community. 
Many research results may in fact be better exploited in other regions of the 
Community rather than in the region from which they originated.  Conversely, 
enterprises are often  unable to find the know-how or technology required in 
their immediate surroundings,  in which case the Community dimension may 
prove advantageous. 

In addition, this Community  "added value" highlights the need to improve the 
current situation, characterized by the juxtaposition,  rather than the integration, 
of the innovation  systems of Member States (thus justifying  the scheme 
envisaged for cooperation and coordination of policies) and to establish an 
infrastructure  for  dissemination  and exploitation  at Community  level. 

Furthermore, the dissemination and exploitation project is highly decentralized 
in terms of  its implementation,  since it relies on local relays which it helps to 
strengthen,  such as relay centres. Existing support mechanisms for  innovation 
and dissemination at national, regional and local level will be improved by 
specific  measures which can only be taken at Community  level. 

<TAb 

2.2 

The sectoral nature of activities in the fields of dissemination and 
exploitation of the specific  programmes under the first activity 

Responsibility  for disseminating and exploiting results rests primarily  with the 
enterprises, but Community  action is also needed. 

The specific  programmes contained  in the first activity of the Fourth 
Framework  Programme endeavour to disseminate the results in their respective 
fields of activity.  When selecting projects,  negotiating contracts and monitoring 
research projects,  they must ensure that the factors  likely to favour  the 
subsequent utilization of results are brought together.  In conjunction  with the 
third activity,  they help in identifying  the technical and economic potential of 
the results obtained and,  where necessary, provide financial  support for 
demonstration projects. 

The networks and partnerships between enterprises,  laboratories and 
universities established as part of the specific programmes are one component 
in the system for disseminating and exploiting results. 

Furthermore,  the decision on the Fourth Framework Programme envisaged the 
allocation of an average of  1 % of its total budget to the first activity  for the 
dissemination and exploitation of results. 

2.3 

The role of the specific  programme for disseminating  and exploiting the 
results under the third activity 

This programme encompasses, extends and supplements the exploitation 
activities under the specific  programmes. The dissemination  and exploitation 
activities included in the third activity are complementary  to those carried out 
under the specific programmes and are thus coordinated closely to avoid all 
duplication or wastage of resources, to maintain a good geographical balance 
in the envisaged distribution of the activities, and to ensure that existing 
competences and infrastructures  (such as the network of relay centres) are 
exploited. 

At the same time, this programme ensures, through  studies with the respective 
national partners, that common rules are applied in the search for  common 
concepts  . A further  aim is to seek out synergies between users of results from 
different  specific  programmes and ensures a trickle-down  effect  in 
dissemination activities. 

3. 

The actions  envisaged 

The activities envisaged under the third activity for  dissemination  and exploitation are 
organized within four  domains:  domain A covers the dissemination  and exploitation 
of results, domain B involves the dissemination  and exploitation of technologies to 
enterprises,  domain C relates to the financial environment for the dissemination of 
technologies, and domain D is devoted to the scientific  services for  Community 
policies.  . 

6'Aj 

Given the level of resources allocated to the programme,  these activities concentrate 
on the fields of competence established under the Value and Sprint programmes and 
exploit to the full  the synergies between the activities undertaken under these 
programmes. 

They form  a cohesive set of measures which - proceeding from the specific  to the 
general - consist in the supply of specialized  services,  the setting-up of a support 
infrastructure and the creation of an environment favourable  to the exploitation of 
RTD results and the dissemination  of technologies. 

a) 

The specialized  services 

They bring together several functions  as follows,  going from the 
function  serving the smallest group of potential users to the  function 
serving the largest group: 

- protection of know-how belonging to the Community and the 
management of its patents portfolio, 

- scientific services to assist the other Commission departments in 
implementing Community policies, 

- assistance in the fields of the protection and exploitation of the results 
of activities in the field of research, technological  development and 
demonstration,  provided primarily  for  SMEs and also, in more general 
terms,  the promotion of the exploitation of research results on a 
transnational basis, 

- data collection and active dissemination service (CORDIS),  covering 
both Community research programmes and other programmes at 
European  level, and containing data on programmes,  projects,  partners, 
results, etc., 

-  scientific  and technical publications for promoting the dissemination 
of know-how among a specialized public. 

b) 

The support  infrastructure 

This brings together two complementary  elements: 

-  the Community  network of relay centres, responsible for  promoting 
and disseminating research results, which was set up under the VALUE 
programme and which is to be strengthened. 

- consolidation  of the European infrastructure for  the dissemination of 
technology and for  supporting innovation  among SMEs, initiated under 
the SPRINT programme,  as well as through other schemes such as 
THERMIE in the field of energy with the network of bodies for  the 
promotion of energy technologies (OPET). 

SA% 

c) 

A favourable  environment 

Action is to be taken in four fields in order to establish  an environment 
favourable  to exploitation  and dissemination. 

-  Decentralized  actions for  promotion,  designed  to enhance  awareness 
among  SMEs and their various  support services  of  an approach based 
on a meticulous  analysis of  the requirements  of  enterprises according to 
their strategy,  the identification  of  appropriate technologies  and the 
demonstration  of  conditions  for transregional  and trans-sectoral  transfer 
of  technology. 

-  The promotion  of a suitable financial environment through measures 
such as improving  communication  between financial circles and the 
promoters of technological  projects  (such as investment  forums), 
continuation of the experience of  financing  technology  according  to its 
performance  begun by the SPRINT programme,  and the granting  of 
technical  and managment assistance to public  or private  intermediaries 
providing  SMEs with participative  funding. 

- An analysis  of the procedures,  conditions and  mechanisms for 
exploitation  and dissemination:  the study  of  innovation  systems, 
performance,  enterprises,  policies,  regulations  and instruments in and 
outside the Community. 

- Action for  heightening public  awareness  of  the themes  of 
technological  progress and its impact on  society. 

-  Increased collaboration  and  coordination between the regional, 
national  and Community operators. 

Finally,  the Commission  asks the Council  to adopt the  Decision  for  a  specific 
programme  for the dissemination  and exploitation  of  the results of  research, 
technological  development  and demonstration activities. 

PROPOSAL FOR A COUNCIL  DECISION 

of 

adopting a specific  programme  for  the dissemination  and  exploitation 
of  the results of  activities in the field  of  research, 
technological  development  and demonstration 

THE COUNCIL OF THE EUROPEAN  UNION, 

Having  regard  to  the  Treaty  establishing  the  EC,  and  in  particular  Article  130i  (4) 
thereof, 

Having regard to the proposal from the Commission1, 

Having regard to the opinion of the European  Parliament2, 

HavingTegard to the opinion of the Economic and Social Committee3, 

Whereas, by their Decision  ../../EC,  the Council and the European Parliament adopted 
a  fourth  framework  programme  of  Community  activities  in  the  field  of  research, 
technological  development  and demonstration  (hereinafter  referred  to as RTD) for  the 
period  1994-1998, laying down in particular the activities to be implemented in the  field 
of dissemination and exploitation of results, and that this Decision was taken in the light 
of the considerations set out in the preamble to the above Decision; 

Whereas Article  130i (3) lays down that the framework  programme shall be 
implemented through specific  programmes developed within each activity,  and that 
each specific programme shall define the detailed rules for  implementing  it, fix its 
duration and provide for the means deemed necessary; 

Whereas the implementation of this programme involves various procedures,  in 
particular shared-cost projects  and preparatory,  accompanying and support measures; 

Whereas, in accordance with Article  130i (3), the funding  required for  implementing 
this specific programme must be estimated;  whereas the definitive  amounts are 
adopted by the budgetary  authority  in accordance with the quota laid down in the 
framework  programme; 

Whereas Decision  ../../EC lays down that the maximum total appropriation  for  the 
fourth  framework  programme shall be reviewed before  30 June  1996 at the latest, 
with a view to its being increased,  and as a result of this review the amount deemed 
necessary for  implementing this programme may increase; 

Whereas the aims of this programme are to ensure the widest possible dissemination 
of the results of research,  to achieve optimum exploitation by encouraging,  with the 

'OJ,  ..,  p.  .. 
'OJ,  ..,  p.  .. 
3OJ,  ..,  p.  .. 
4OJ,  ..,  p.  .. 

ÇlO 

assistance  of  the various operators concerned,  the conversion  of  the results obtained 
into innovations,  to promote technology  transfer,  in particular to  small  and medium-
sized enterprises,  and to support the initiatives  launched at national  and regional  level 
so as to give  them a Community  dimension; 

Whereas the innovation process is complex  and interactive  and involves  various types 
of  operators,  and the activities  for disseminating  and exploiting  results  must  therefore 
be combined  with those aimed at improving technology  transfer; 

Whereas the creation of  an environment  favourable  to the exploitation  of  results and 
the dissemination  of  technologies  in all  sectors of  industry  and in all regions of the 
Community  contributes directly  to adapting  the industrial  fabric  and increasing  the 
competitiveness  of undertakings; 

Whereas the contents of the fourth framework programme  for  Community  RTD 
activities  were drawn up in accordance with the principle of  subsidiarity,  and this 
specific  programme  sets out the contents of  activities to be undertaken in the field of 
dissemination  and exploitation  in conformity  with this principle; 

Whereas,  in accordance with Article  13Qj, the rules for the participation  of 
undertakings,  research centres (including  the JRC) and universities,  and for the 
dissemination of  research results,  are applicable to this specific  programme; 

Whereas,  in implementing  the present programme,  in addition to those  countries 
covered by the Agreement on the European Economic  Area  (EEA),  international 
cooperation  may also,  in accordance  with Article  130m,  prove  appropriate  with other 
third countries and international  organizations; 

Whereas the dissemination  of  results to SMEs is a priority  of  the fourth  framework 
programme,  and this dissemination  concerns  SMEs participating  in the  specific 
programmes and also any undertakings  likely  to employ  scientific  knowledge  or new 
technologies  to strengthen their competitiveness; 

Whereas this programme benefits,  in particular,  small and medium-sized  enterprises in 
the regions  least involved  in the Community's  RTD activities,  contributes to  improved 
economic  and social  cohesion  in the Community  and operates  in conjunction  with the 
Community  structural  fund  measures taken to this end; 

Whereas the economic  and social  impact and the possible technological risks of 
activities undertaken under this programme  must be assessed; 

Whereas there  must be continual  and systematic  monitoring  of  progress in 
implementing  this programme,  with a view  to adapting  it,  if  necessary,  to 
developments  in this field;  whereas,  also,  an independent  assessment of  progress in 
implementation  of  the programme  must be conducted  in due course  with the aim of 
providing  all  the background  information  necessary  for drawing  up the aims of the 
fifth  RTD framework  programme; whereas,  finally,  at the end of  the programme,  a 

^ 

,34, 

final  assessment  of  the results obtained  must be carried out as regards the  objectives 
set out in this  Decision; 

Whereas the JRC may participate  in the indirect actions covered by  this programme; 

Whereas the Scientific  and Technical  Research Committee  (CREST)  has been 
consulted, 

I 

*2.2. 

HAS  DECIDED  AS  FOLLOWS 

Article I 

A  specific  programme  for the dissemination  and exploitation  of  the results of  activities 
in the field of  research,  technological  development and demonstration,  the  objectives 
and contents of  which are set out in Annex  I,  is adopted for the period from 

to 31  December  1998. 

Article  2 

1)  The amount deemed necessary  for the implementation  of  the programme  is ECU 

293  million,  including  8.4  %  for  staff  and administrative  expenditure. 

2)  An indicative breakdown of  this amount is given  in Annex  II. 

3)  The amount deemed necessary  for the implementation  of  the programme,  as 

above,  may  increase as a result of,  and in accordance  with,  the Decision  referred 
to in Article  1 (3)  of the  Decision  ../../  EC. 

4)  The budgetary  authority  shall determine the appropriations  available  for  each 
financial year in accordance with the quota laid down by the  framework 
programme. 

Article  3 

The procedures  for  implementing this programme,  other than those referred  to in 
Article  5,  are set out in Annex III. 

Article  4 

1)  The Commission  shall  continually  and systematically  monitor,  with  assistance 
from independent,  external experts,  the progress within this programme in 
relation to the objectives  set out in Annex  I.  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 this programme according to the results of  the  monitoring. 

2)  To help in obtaining an overall  assessment of  the Community  activities provided 

for  in Article 4(2)  of  the  Decision  adopting the fourth framework programme, 
the Commission  shall in due course have an assessment carried by  independent 
experts of  the activities undertaken in the fields directly  covered by this 
programme,  and of their management during the five years preceding  such 
assessment. 

3)  On completion  of  this programme,  the Commission  shall  have a final assessment 
of  the results conducted by independent experts as regards the objectives set out 
in Annex  III to the fourth framework  programme  and in Annex  I to this 

•ÇS-3 

Decision.  The report on the final  assessment  shall be communicated  to the 
Council,  the European Parliament and the Economic  and Social  Committee. 

Article  5 

1)  A  work programme  shall be drawn up by the Cornmission,  in accordance  with 

the objectives  set out in Annex  I,  and shall when necessary  be updated.  It shall 
set out the detailed objectives  to be achieved and lay  down  stages  in the 
programme's  implementation  and the funding  envisaged  for  each  implementation 
procedure. 

The work programme  may also provide for participation  in certain  EUREKA 
activities. 

2)  The Commission  shall issue calls for proposals for projects on the basis of the 

work programme. 

Article  6 

1)  The Commission  shall be responsible  for the implementation  of  the programme. 

2) 

In the cases referred  to in Article  7(1),  the Commission  shall  be assisted by a 
committee  composed  of  representatives  of the Member  States and chaired by the 
representative  of  the Commission. 

The representative  of  the Commission  shall  submit to the committee  a draft of 
the  measures to be taken.  The committee  shall  deliver its opinion  on this draft 
within a time limit which the chairman may  lay down according  to the urgency 
of  the matter.  The opinion  shall be delivered by the majority  laid down in 
Article  148(2)  of  the Treaty in the case of  decisions  which the Council  is 
required to adopt on a proposal from the Commission.  When a vote  is taken in 
the committee,  the votes of  the representatives of  the Member  States shall be 
weighted  in the manner set out in that Article.  The chairman  shall  not vote. 

The Commission  shall adopt the measures envisaged  if  they  are in accordance 
with the  opinion  of the committee. 

If the  measures envisaged  are not in accordance  with the opinion of  the 
committee,  or in the absence  of  an opinion,  the Commission  shall  submit to the 
Council  without delay  a proposal  relating to the measures to be taken.  The 
Council  shall  act by a qualified  majority. 

If,  after  one  month from the date of  referral  to the Council,  the latter has not 
acted,  the proposed  measures  shall be adopted by the Commission. 

1)  The procedure  set out in Article  6(2)  shall  apply  in respect  of: 

Article  7 

<S~Zi/ 

-  the establishment  and updating of  the work programme  referred  to  in  Article 
5(1), 
-  the assessment  of  the projects proposed  for a Community  contribution  and the 
estimated amount of  that contribution,  when this is  greater than ECU  300 000, 
-  the measures to be taken to assess the specific  programme, 
-  all modifications  to the indicative  breakdown of  the amount given  in Annex II, 
which has not been the subject of  a budgetary  decision. 

2)  At each meeting,  the Commission  shall  inform  the committee  of  progress in 

implementing  the programme as a whole. 

Article  8 

The Commission  is  authorized to negotiate,  in accordance  with  Article 228(1), 
international  agreements with European third countries with a view  to involving  them 
in all or part of  the programme. 

This Decision  is  addressed to the Member States. 

Article  9 

Done at Brussels, 

For the Council, 
The President 

^2X 

ANNEX  I 
SCIENTIFIC AND TECHNOLOGICAL AIMS AND  CONTENT 

The present specific  programme is fully  in keeping with the guidelines of the fourth 
framework  programme and sets out details of its aims in the field of dissemination and 
exploitation. 

The chapter in Annex III relating to the third activity under that programme is an 
integral part of this programme. 

I 

AIMS AND GENERAL PRINCIPLES OF IMPLEMENTATION 

The action in the field of dissemination and exploitation of results supplements the 
actions undertaken by the Member States by giving them a dimension and an added 
value at a Community  level.  It has three objectives: 

to ensure the widest possible dissemination of the results of RTD activities under 
Community  and national programmes; 

to optimize their exploitation,  i.e. to ensure with the assistance of the various 
operators concerned that the results obtained under Community and national 
programmes are transformed  into innovations, and to promote transfers of 
technology,  particularly to the SMEs; 

to support the various initiatives launched at national level so as to give them a 
trans-European  dimension. 

By virtue of its aims and content, this programme helps the regions of the Community 
least favoured  by the RTD programmes and contributes to economic and social 
cohesion.  It is therefore  closely  linked to various initiatives in these domains and takes 
account of the Communication from the Commission on cohesion and RTD policy 
(COM(93)203 final). 

The programme also contributes to cooperation activities with non-member states and 
international organizations in the fields for  which it is responsible. 

Responsibility  for  the exploitation of RTD results must be largely borne by 
enterprises, but Community  assistance is also needed. 

At Community  level, the dissemination and exploitation activities are implemented 
through the specific  programmes of the first activity and this programme. In 
particular,  a sum representing on average  1 % of the total budget for the  fourth 
framework  programme has been set aside to this end, under the first activity, for the 
dissemination and exploitation of the results. This will cover in particular  sectoral 
dissemination and exploitation activities. 

The specific  programmes implement dissemination  and exploitation activities relating 
to their fields of research,  in close coordination with those under the present 

<T?6 

programme,  with a view to avoiding duplication and wastage of resources, 
mamtaining a good geographical balance in the actions envisaged and allowing proper 
utilization of the skills and infrastructures  existing under the third activity  - in 
particular the network of relay centres as a common basis for  activities. 

The specific programmes ensure, inter alia,  that account is taken of the dissemination 
and exploitation  aspects amongst the criteria for  evaluating and selecting RTD 
projects,  and that the provisions of the contracts which relate to protection, 
exploitation and dissemination are complied with,  and that networks and partnerships 
established  in connection with research projects  are also enabled to contribute to the 
process of dissemination  and exploitation  of the results obtained. 

n 

CONTENTS OF THE SPECIFIC PROGRAMME 

A new approach is necessary to achieve these aims, given the diversity  of the 
operators involved,  the cumulative, interactive and complex nature of the innovation 
process and the specific  needs of SMEs. 

This approach involves integrating the follow-up  to VALUE and SPRINT into a single 
programme and exploiting to the full  the synergies between the activities provided  for 
by the various areas of this programme. 

The emphasis on SMEs is reflected  in the three parts proposed.  Part A,  concerning 
the  "mssernination and optimization of the results of Community research",  is 
particularly  addressed to the SMEs participating in the specific  programmes or those 
which are capable of exploiting the results of Community or national research 
programmes.  Part B, concerning the  "dissemination of technologies to enterprises",  is 
aimed at the large number of SMEs which have to integrate in their activities the 
know-how and new technologies on which the preservation  or enhancement of their 
competitiveness depends and which they have to procure from external sources 
because they do not possess the necessary internal RTD capacity.  Part C,  concerning 
the  "financial  environment for the dissemination  of technology",  provides  for 
measures and instruments to assist both these categories of SMEs. 

A)  Dissemination  and exploitation of the results of research 

The aim of this domain is to promote the dissemination and trans-sectoral and 
transnational exploitation of the results of research, regardless of their  source, and in 
particular to publicize Community RTD activities and their results in order to increase 
utilization and to facilitate  scientific  and technical cooperation in Europe. 

It comprises a cohesive set of activities comprising services of a general nature, such 
as the Community  network of relay centres, the public information  and dissemination 
service,  services specializing in assistance with regard to the protection and 
exploitation of research results, together with action to improve not only the economic 
but also the social impact of the exploitation and transfer  of the results of research. 

1)  The Community  network of relay centres 

<&f 

The action taken under the Third Framework Programme to establish a network of 
"VALUE" relay centres in the Member States in order to promote Community RTD 
activities and their results will be continued and intensified  with the aim of attracting 
closer attention from enterprises and research laboratories in the individual countries, 
improving the transnational exploitation of research results and fostering  scientific  and 
technical collaboration. 

This action will be developed  and strengthened through the  following: 

providing support for  enterprises and research laboratories to facilitate  their 
access to information  on Community RTD and demonstration activities; 

providing assistance, where necessary,  for the transnational dissemination of 
results of national research or of programmes such as EUREKA and COST; 

systematic examination of the technical and economic potential of RTD results, 
in collaboration  with the specific  programmes and contractors concerned,  with a 
view to their dissemination to the relay centres; 

evaluation of the potential scientific  and technological needs of industry  so that 
the supply of results from Community or national research programmes can be 
better matched to them; 

organization  of targeted actions designed to promote results,  with the emphasis 
on themes selected for their relevance to the needs of local industry; 

developing the synergies with the relevant national and regional networks and 
operators with the aim of boosting the transnational dissemination and 
exploitation of research results from any source; 

supplying telematic services to the relay centres, to facilitate  the organization of 
joint activities. 

2)  The information  and dissemination  service 

The three pillars of this structure are the data collection and production  service, the 
services and products which specialize in the dissemination of information  via 
networks serving the general public or the various target groups and those which 
concentrate on publicizing and heightening public awareness of research. 

The following  activities are planned: 

extension of the CORDIS information  service to incorporate new sources of 
information  (EUREKA,  COST, other international research frameworks, national 
contact points, etc.) and multimedia documents; 

tt$ 

organization of dissemination projects aimed at specific  target  "multiplier" 
groups  (scientific journalists, documentalists, relay centres and other 
intermediary  networks,  etc.); 

design and production of new information  products adapted to the wide ranges of 
potential requirements for dissemination on a variety of media including CD-
ROM, public networks, extracts from databases, bulletins, etc; 

sustained publication activity aimed at the scientific  community,  information 
"multipliers" and the public at large; 

use of various means of communication with the public and methods of 
increasing awareness other than publications, such as audiovisual and multimedia 
techniques; 

improvement of coordination with similar activities at national level. 

3)  Protection of  know-how 

The aim of this line of action is to inform researchers and sensitize them to questions 
relating to the protection of industrial and intellectual property rights and to help 
organizations which do not themselves possess the necessary resources to protect the 
results of Community  RTD which they have acquired. 

Conferences  and training activities will be organized with the aim of enhancing 
researchers'  awareness of the various aspects of intellectual and industrial property 
rights. Steps will also be taken to develop collaboration with the European Patent 
Office  and its national counterparts with a view to the organization of joint activities. 

Provision will be made for continuing protection of the property rights (patents, 
trademarks, etc.) of the Community.  On request also, subject to certain conditions, 
assistance and financial support may be made available to universities, research 
centres and SMEs with the aim of protecting the results of Community research. 

4)  Help with the exploitation of research results 

The aim of this line of action is to offer,  particularly to SMEs, specialized services 
and assistance in addition to the activities of the relay centres, to facilitate  transfer 
from research to industry and the trans-sectoral and transnational exploitation of 
results. 

the services offered  under this heading after  assessment of the technical and 
economic potential for exploitation of the results can include, in particular, the 
identification  of future  markets (including a study on technological change), 
technical and economic feasibility  studies, promotion activities, training 
schemes, advice on exploitation strategies and examination of subsequent 
industrial exploitation potential within the framework of  inter-governmental 
projects  (EUREKA) or other Community initiatives; 

10 

^£9 

assistance will take the form of partial financial support for  activities in the 
fields  of transfer,  adaptation and exploitation  of research results. 

It may include projects which are specifically  designed to meet the needs of 
SMEs, support for know-how transfer  schemes (training, technology clubs, 
researcher  mobility) and the shared-cost financing of transnational and trans-
sectoral exploitation  projects. 

This work will be done with the help of selected experts, or consultants or competent 
organizations in the Member States. Steps will be taken to develop coordination with 
national and regional exploitation and technology dissemination activities. Efforts  will 
be made to establish  synergies with the MINT project  ("Managing  the Integration of 
New Technologies") and the networks established under the SPRINT programme 
(such as EUROTECH). 

5)  The exploitation of research and the needs of  society 

The aim of this line of action is to cany out measures and studies which will help to 
improve the effectiveness  of the exploitation and transfer  of research results and to set 
out future  strategy in the light of both economic and social needs and to organize joint 
action projects  involving the scientific  and educational community,  public and private 
decision-makers,  the social operators and the media in order to streamline 
communications between the general public and the world of science. 

The competent structures in the Member States will be associated with the 
implementation  of this line of action with the aim of stimulating synergies and 
ensuring mutual enrichment via the adoption of a coordinated approach and exchanges 
of  information. 

The action will include the following  themes and activities from the standpoint of the 
transfer  and exploitation of know-how: 

evaluation of the economic and social impact of RTD activities; 

the economy and the management of research; 

organization  of communication projects designed to enhance awareness of the 
implications and impact of science and technology. 

These activities will be implemented  in close cooperation with those undertaken  for 
the evaluation of the scientific  and technical policy options in the programme of 
"focused  socio-economic research". 

B -  Dissemination of  technology  to enterprises 

Priority attention will be given to SMEs in the industrial and service sector which 
depend on access to new technology for the preservation of their competitiveness but 
do not have sufficient  resources to participate in Community  research activities or the 
direct exploitation of Community research results.  Many of these enterprises are in 

11 

*3c-

the lower or middle ranges of technological intensity  and measures must be taken to 
improve their absorption capacity for  new technology. 

Hence the need to heighten their awareness of the new technologies which are 
available,  whatever their origin,  and of the opportunities they provide from the 
standpoint of their individual needs and strategies.  They are so numerous that direct 
action is not a feasible  proposition. 

To stimulate these enterprises, the Community  must play the role of a catalyst and 
motor,  and this will involve the radical decentralization of the organization of its 
activities and reliance on the competent organizations in the Member States, the TT 
intermediaries, the multipliers of information,  etc., in order to optimize the impact of 
its action. 

The action taken under this heading is intended to raise the level of European 
awareness of these organizations and improve their quality and professionalism  by 
fostering  the establishment of cooperation networks, exchange of good practice, the 
provision of training and support for joint activities. 

Community  action must also contribute to the establishment of an environment 
favouring  the absorption of technologies, via the organization of awareness-
enhancement projects  in the business sector, the demonstration of effective  methods 
and the promotion of modern innovation management techniques.  Finally,  it must 
raise the general level of knowledge of the relevant mechanisms, instruments and 
policies and facilitate  the dissemination of good practice to the local and regional 
operators,  particularly by organizing the exchange and evaluation of experience. 

Hence the simultaneous involvement of five major  categories of operators: 

technological  resource centres (TRCs), capable of providing SMEs with the 
technological expertise they need for  an innovation project  (universities and 
public research centres, sectoral joint research centres, companies specializing in 
research under contract, etc.); 
suppliers of interface services,  capable of rapid diagnosis of the needs of 
client SMEs and able to put them in touch with the competent TRC  ("conseillers 
technologiques" in France,  "one-stop shops" in the United Kingdom,  innovation 
centres in the Netherlands, etc.); 
suppliers of  specialized advisory  services,  (quality,  design,  management, 
search for partners, creation of networks, etc.); 
suppliers of  financial  services,  able to mobilize the capital resources required 
for  innovation projects; 
the national,  regional or local public organizations which lay down policies, 
determine the conditions under which enterprises have to operate and manage 
support procedures. 

Three lines of action are to be followed  in this domain: 

7.  Transnational networks providing  support for  the transfer and 

dissemination  of technology 

12 

5-31 

In the follow-up  to the SPRINT programme, the emphasis will be firmly fixed on 
European orientation  and the quality and effectiveness  of the services providing 
support for  innovation and technology transfer.  A coordinated bottom-up approach, 
geared to the needs of enterprises from the outset and encompassing  every  aspect of 
the transfer  and utilization of technologies, will be promoted  in this context. 

Provision will be made for  the following  activities: 

consolidation  of the transnational cooperation networks of national or regional 
operators in the fields of technology transfer  or dissemination,  so as to 
strengthen their European orientation:  RTD organizations,  sectoral technology 
centres, science and technology parks, local and regional technology 
dissemination organizations and networks, etc.; 
promotion of cooperation between universities, research centres,  industry and 
sources of financing in order to facilitate the expansion and transnational 
development of high-tech firms; 
organization and support for  access to international expertise for  designing and 
evaluating technology  dissemination networks in the less-favoured  regions. 
Promising projects not yet up to the required  level would be given proposals for 
improvements through partnerships with a view to enabling,  as far  as possible, 
their subsequent acceptance; 
support for  national or regional schemes to make technology transfer  services 
more effective,  in the form  of training sessions (e.g. in the form  of a  "summer 
university"), exchanges of experience and good practice, publication  of manuals, 
etc.,  in order to give a trans-European dimension to these initiatives; 
measures to facilitate  the trans-European dissemination  of  technological 
opportunities,  whatever their origin, and to promote contact between suppliers, 
potential clients and intermediaries  (TT conferences,  technology  exchanges, etc.) 
through maximum use of the network of relay centres. 

2.  An environment favouring  the absorption  of technologies  by  industry 

The aim is to foster  the absorption of new technologies not only by industry in 
general, and especially by SMEs, but also by public sector organizations,  particularly 
at a local level.  A special effort  will be made to help the users to express their 
requirements and hence to choose the technologies which match their  individual 
strategies and absorption capacities (demand-led approach). 

The following  activities are proposed: 

support for pilot projects for the transregional or inter-sectoral transfer  of 
technologies which can serve to demonstrate the methods and conditions of 
adoption of technologies by new users.  These projects will be supported by 
intermediary  organizations selected for their capability  of playing a positive role 
as multipliers in the dissemination of technology  in the SME sector; 

promotion,  among businesses and especially among SMEs, of good practice in 
the various domains of innovation management and absorption of new 
technology by new users, including strategic planning, technology  watch, value 

13 

Ç 3 *. 

analysis, design, quality  management and the marketing of  innovations.  These 
activities may include the organization of competitions (for  prizes such as the EC 
Design Prize) and support for  decentralized projects  for the promotion of an 
integrated approach to the application of these management techniques (MINT 
initiative).  Special efforts  will be made to encourage undertakings to adapt 
organizational  methods which allow them to adapt to radical innovations; 

implementation  of schemes to encourage the less-favoured  regions to join with 
the more advanced regions in an exchange of experience on the design and 
application  of measures aimed at increasing the capacity of their SMEs to absorb 
technologies; 

promotion  of inter-business cooperation in the field of technology  in all its 
phases (search for partners, establishment of contacts,  mobilization of  financial 
resources, negotiation of contracts) with the help of appropriate instruments and 
networks; 

promotion of decentralized awareness-enhancement projects in the fields of 
technology  transfer  and innovation (e.g.  "Innovation Road Show"). 

3.  Exchanges of information and experience with regard  to policies  for  the 

dissemination  of technologies 

Action under this heading is intended to improve the interlinkage of national, regional 
and Community  TT policies and the instruments used for  their  implementation. 

This means not only raising the levels of awareness of innovation  systems (and their 
performance)  and of regional, national and (Community rules and regulations, but also 
the organization of regular exchanges of experience and good practice between the 
various operators concerned. 

The following  actions are proposed: 

further  study and observation of the various European  systems, policies and 
instruments (European Innovation Monitoring System) with particular emphasis 
on comparative analysis of the rules and regulations with regard to licensing, tax 
incentives or legal instruments; 

action to help the regional operators to analyse their TT infrastructures  and fine-
tune their policies and instruments with the assistance of external experts; 

creation of a forum  for the exchange of experience and good practice in the 
formulation,  implementation  and evaluation of national and regional TT policies 
(Innovation  Policy Forum). 

These activities will be implemented in close cooperation with those undertaken under 
other Community programmes, in particular the programme of  "focused  socio 
economic research". 

14 

6-2>3 

C 

- 

The financial  environment for the dissemination of  technology 

The aim in this area of  activity  is to improve the European environment for financing 
the exploitation,  adaptation  and dissemination of technology  by means of an 
appropriate Community  scheme to be implemented  in accordance with the principle of 
subsidiarity. 

This domain encompasses: 

1 ) 

Indirect support  measures 

These include: 

the organization  of schemes for  improving transnational 
communications between financial circles and promoters of technology 
projects  (such as investment  forums); 

continuation of the pilot project for  Technology  Performance  Financing 
started under the SPRINT programme,  with the aim of encouraging the 
traditional industries to absorb new technologies; 

support for  the analysis and possibly the experimental application  of 
systems for  mobilizing private funds  (including  investment exit 
mechanisms) for  the benefit  of RTD projects  (e.g.  comparison of  local 
networks of private investors or  "business angels"). 

2)  A pilot  scheme to promote  the transfer and exploitation  of technologies  by 
SMEs, e.g.  via a system of premiums for  SME participation  in activities 
designed to promote the dissemination  and exploitation of Community RTD 
results.  The management of this activity will be largely decentralized and 
entrusted  to organizations with a well-developed  national or regional network or 
experience in the provision of support for  SMEs (public innovation agencies, 
relay centres, etc.). 

3)  The granting  of technical and management assistance,  particularly  in the 
less-favoured  regions of the Community,  to public and private  financial 
intermediaries,  selected - or to be established  - in Member States, offering  small 
and medium-sized  enterprises the opportunity  for participative cofunding,  with 
particular reference  to facilitating  the evaluation of technological  projects to be 
submitted by SMEs and allowing optimum exploitation of the research results. 

These actions will be closely coordinated  with the various Community  actions in 
this field (Eurotech Capital, European  Investment Fund,  business policy, etc.). 

D-  Scientific  services  for Community  policies 

This involves activities to provide scientific  and technical support for  Community 
policies, at the request of the Directorates in charge of these policies, wherever the 

15 

S'3y 

need and demand for  it is expressed.  To ensure a competitive  approach,  they  will  be 
open to participation by all  research institutes in the Community  and the JRC. 

Implemented completely  independently,  these actions will be aimed at meeting  specific 
needs arising in the implementation of the various Community policies;  in particular, 
tfe$y will  satisfy  the need to mobilise the most appropriate scientific  and technological 
skills  in support of  the the dissemination  of  knowledge  and the exploitation  of  the 
results of  research,  as well  as their use by the different  operators  in the  economic 
fabric. 

16 

Sl>5T 

ANNEX II 
INDICATIVE BREAKDOWN OF THE  AMOUNT 

Dissemination  and exploitation of RTD and 

48/55% 

demonstration  results 

Dissemination of technologies to industry 

Financial environment for  technology dissemination 

TOTAL 

29312 

40/45% 

5/7% 

The breakdown between different  areas does not preclude projects  covering a number 
of fields. 

'Of which 4.4%  for  staff  expenditure and 4% for  administrative  expenditure. 
2A sum  of  ECU  37  million,  representing  the difference  between  the  amount  deemed 
necessary  for  the  present  programme  and  the  sum  allocated  within  the  fourth  RTD 
framework programme to Action 3 (dissemination and exploitation of results), is entered 
in the  "specific  RTD programme  to be carried  out  by  means of  direct  action  and  S/T 
support activities in the framework  of a competitive  approach". 

17 

ANNEX  III 

DETAILED  RULES FOR IMPLEMENTING THE PROGRAMME 

1.  The detailed rules for the Community's financial  contribution are laid down in 

Annex IV to the Decision on the fourth framework programme. 

The detailed rules for the participation  of undertakings, research centres and 
universities,  and for the dissemination of results will be laid down in the 
measures provided  for by Article  13Qj of the Treaty. 

However,  for  the purpose of implementing this programme,  the  following 
exceptions shall apply: 

-  Participation in this programme is open,  with financial support from the 
Community: 

a. 

to all legal entities established and regularly  carrying out RTD 
activities: 

-  in the Community, or 

-  in a third country associated,  wholly or in part,  with the implementation of 
the relevant programme through an agreement concluded between the 
Community  and the said third country 

b. 

to the Joint Research Centre. 

-  Participation  in this programme is open,  without financial support from the 
Community,  and on condition that their participation  is in the interests of 
Community policies: 

a. 

b. 

c. 

to legal entities established in a country which has concluded a 
scientific  and technical cooperation agreement with the Community 
relating to activities covered by the programme,  provided the 
participation accords with the terms of the agreement, 

to legal entities established  in a European country, 

to international research organizations. 

- The participation of European international organizations  may be financed  on 
the same basis as that for  Community organizations in duly specified  cases. 

-  Partners specialized in the fields of dissemination,  exploitation and transfer  of 
technologies and decentralized actions under national operators may be 
envisaged.  Adapted  management arrangements and suitable funding  measures are 
necessary  for  these actions. 

18 

S3? 

2.  This programme will be carried out in the form  of: 

2.1 

Financial  participation of the Community  in dissemination and 
exploitation activities conducted by third countries or by JRC institutes 
in association  with third parties. 

(a) 

Shared-cost activities  covering  the following  procedures: 

mssemination and exploitation projects carried out by undertakings,  research 
centres,  universities  or any other organization  specialized in the fields of 
dissemination  and exploitation,  including  consortia  for  integrated projects with 
a common objective; 

technology  stimulation to facilitate  the use of research results and the transfer 
of  new  technologies  among  SMEs may result in financial  aid and,  in 
particular,  exploitation  subsidies being granted,  with a view  to facilitating  the 
exploitation  of  RTD results by SMEs.  The above  subsidy  will  be granted  after 
the selection of  draft proposals,  which may be submitted at any time; 

support for financing the infrastructure  in the fields of  dissemination and 
exploitation  or the installations necessary  for coordinated  action  (closer 
coordination). 

(b) 

(c) 

Concerted activities,  which consists of  coordinating,  particularly  with 
the aid of concertation networks,  projects already  funded by public 
authorities or private bodies.  Concerted activities can also include the 
necessary  coordination of the operations of  dissemination and 
exploitation networks which,  through RTD projects involving  shared-
cost activities  (cf.  2.1  (a), first indent) or preparatory,  accompanying  or 
support measures,  bring together those persons or bodies -
manufacturers,  users,  universities,  research centres or other operators 
involved  in technology  transfer - with the same technological  or 
industrial objective. 

Specific  measures  such as measures to promote  standardization and 
measures for  setting up general-purpose  instruments for use by research 
centres,  universities,  undertakings and other operators involved  in 
technology  transfer  in the fields of  dissemination  and exploitation.The 
Community's  contribution covers up to  100% of  the costs of  the 
measures. 

2.2  Preparatory,  accompanying  and support  measures covering,  in particular,  the 

following: 

-  studies in support of  this programme and in preparation  for  future  activities; 

-  conferences,  seminars,  workshops or other scientific  or technical  meetings, 
including  intersectoral  or multidisciplinary  coordination  meetings; 

19 

*>3? 

20 

- use of external expertise, including access to or development of  information 
systems; 

-  scientific publications,  including the dissemination, promotion and utilization 
of the results; 

- studies to assess the socio-economic consequences and any technological risks 
associated with all the projects covered by this programme; 

-  measures to support the operation of decentralized awareness and assistance 
networks for  SMEs, in coordination with the Euromanagement-RTD  audits 
scheme; 

- training activities related to the activities under the programme; 

- assistance for the mobility of staff  with a view to disseminating know-how and 
technologies; 

- independent evaluation (including studies) of programme administration and of 
the implementation of the activities. 

^6 

FINANCIAL STATEMENT 

1. 

TITLE OF THE OPERATION: 

Specific  programme for the dissemination  and exploitation of the results of 
activities in the field of  research, technological development and 
demonstration. 

2. 

BUDGET HEADING INVOLVED: 

B6-7311 

3. 

LEGAL BASIS: 

Article  130i of the Treaty on European Union. 

Decision of the European Parhament and the Council  ...  of  ... relating to the 
Fourth Framework Programme in the field of Research and Technical 
Development 

4. 

DESCRIPTION  OF OPERATION: 

4.1.  General objectives of the operation: 

The aims of the action are to ensure the widest possible dissemination of 
research results, to achieve optimum exploitation by encouraging,  with the 
assistance of the various operators concerned,  the conversion of the results 
obtained  into innovations, to promote technology transfer,  in particular to 
small and medium-sized  enterprises, and to support the initiatives launched at 
national and regional level so as to give them a Community dimension. 

4.2.  Fields covered by the programme: 

The programme involves the following fields: 

-  Domain  1: Dissemination and exploitation of research results 

The aim of this domain is to promote the dissemination and trans-sectoral and 
transnational exploitation of the results of research, regardless of their source 
and in particular to publicize RTD activities and their results in order to 
increase utilization and to facilitate  scientific  and technical cooperation in 
Europe. 

This domain comprises five lines of action: 

- the  "Value" network of  relay centres; 

- the CORDIS information  service and the other activities for  disseminating 
know-how (publications, conferences, etc); 

- protection of know-how; 

5HO 

- help with the exploitation of research results; 

- the exploitation of research and the needs of society. 

-Domain 2: Dissemination of technology to enterprises 

Priority  attention will be given to SMEs in the industrial and service sector 
which depend on access to new technology for the preservation of their 
competitiveness but do not have sufficient  resources to participate in 
Community research activities or the direct exploitation of Community 
research results. Many of these enterprises are in the lower or middle ranges of 
technological intensity and measures must be taken to improve their absorption 
capacity for new technology. 

Three lines of action are to be followed  in this domain: 

- transnational networks providing support for  the transfer  and dissemination of 
technology 

- absorption  of technologies by industry 

- exchanges of information  and experience with regard to policies for  the 
dissemination of technologies 

-Domain 3: The financial environment for  the dissemination  of technology 

The aim in this area of activity is to improve the European environment for 
financing  the exploitation,  adoption and dissemination of technology by means 
of an appropriate Community  scheme to be implemented in accordance with 
the principle of  subsidiarity. 

This domain comprises three lines of action: 

- indirect support measures 

- pilot schemes to promote the transfer  and exploitation of technologies by 
SMEs; 

-  granting technical and management assistance to financial intermediaries to 
facilitate the evaluation of technological projects submitted by SMEs. 

4.3.  Duration of  the operation: 

1994-1998. 

5. 

CLASSIFICATION  OF EXPENDITURE: 

«TV? 

NCE /DA 

6.  TYPE OF EXPENDITURE OR REVENUE: 

Studies/Subsidies 

-  direct actions will as a rule receive  100%  funding. 

- joint actions may receive up to  100% of the coordination costs. 

Subsidies for joint financing with other sources in the public and/or private 
sector 

.  Shared-cost actions in the field of RTD projects will be co-funded  up to a 
maximum of 50%. 

!  Universities and other research centres participating in RTD projects and 
which cannot justify  their total costs with sufficient  accuracy to the 
Commission,  will receive  100% funding  of the additional costs. 

.  The other shared-cost actions (such as the networks, training,  feasibility 
incentives, accompanying measures) will receive up to  100% funding  of 
additional costs or the costs of the scheme. 

Staff and administrative costs 

.  Statutory  and other staff  costs and also expenditure on studies, meetings of 
experts, conferences  and congresses, information  activities, publications, 
administrative and technical  operations, and certain other expenditure on 
internal infrastructure  and administrative expenditure necessary for the 
achievement of the objective of the action of which it is an integral part. 

7. 

FINANCIAL IMPACT. 

7.1.  Method of calculating the total cost of the operation  rdefinition  of 

units costs) 

Staff  expendimre: ECU  12.9 million (4.4% of the amount of ECU 293 million 
deemed necessary) 

The staff  situation for  1994 remains unchanged,  i.e.  22 posts under the 
programme for  the dissemination and exploitation of research results of the 
Third  Framework  Programme. The posts are distributed as follows:  11A  +  4B 
+  7C. 

New posts will gradually be added in  1995,  1996 and  1997 according to the 
budget appropriations available in each financial year. The new posts are 

*kl 

justified  by the increase in the appropriations available and the resulting rise in 
the number of  contracts to be monitored and managed. 

It should be noted that the staff  involved  in this specific  programme will  also 
be responsible  for the contractual  monitoring  of the actions  initiated under the 
project for the dissemination and exploitation of the results  of  the Third 
Framework  Programme and for the monitoring  of  actions  initiated under the 
SPRINT programme,  which will be continued beyond the end of  1994. 

Administrative  expendimre:  ECU  11.7  million ( 4% of  the amount of  ECU 
293  million  deemed necessary) 

Operating expenditure:  ECU 268.4  million (91.6%  of  the amount of  ECU  293 
million deemed necessary),  including expenditure on the  accompanying 
measures and evaluation activities. 

7  2  Breakdown  of  the project  fin  million  ecusï 

Domain  1: Dissemination  and exploitation of research results1 

48-55% 

Domain 2:  Dissemination  of technologies to enterprises 

40-45% 

Domain 3: Financial environment for the dissemination  of technology5  - 7% 

TOTAL 

29323 

1  Including  an  amount  of  ECU  27  million  for  the  horizontal  activities  of  the  OPET 
network. 
2  The  amount  deemed  necessary  for  the  third  action  under  the  Fourth  Framework 
Programme is ECU  300 million.  The difference  (i.e.  ECU  37  million)  will  be devoted 
to the scientific  services  for the other Community policies. 
3 Including ECU  12.9 million (4.4%)  for staff  expenditure and ECU  11.7  million (4%) 
for administrative  expenditure. 

S<Y2> 

7.3  Indicative schedule of appropriations (in million ecus) 

The schedule will be established on the basis of the overall amounts for the fourth 
firamework  programme adopted indicatively for the periods 1995-96 and 1997-98 at the 
conciliation meeting on 21 March 1994. The RTD appropriation for each financial year 
will be proposed and adopted each year on the basis of the resources available in the 
context of the financial perspective. 
— 

mL-s— 

* 

Payment appropriations (MECU) 

Commitment 
appropriations 
(MECU) 

1  1995 

1996 
1997 
1998 

I  TOTAL 

68.00 
60.00 
78.00 
87.00 
293.00 

1995 

1996 

1997 

16.69 

32.00 
24.00 

12.00 
23.00 
30.00 

16.69 

56.00 

65.00 

1998 and 
after 

7.31 
13.00 
48.00 
87.00 
155.31 

TOTAL 

68.00 
60.00 
78.00 
87.00 
293.00 

ANTI-FRAUD MEASURES PLANNED (AND THE RESULTS OF THEIR 
E^JUEMENTATION) 

A considerable number of administrative and financial checks are present 
throughout all the stages of awarding and implementing research contracts. These 
include: 

Prior to  conclusion: 

. Initial selection of proposals in accordance with the technical and economic value 
of the projects and the realism of the costs of the activities planned in terras of 
their nature, duration and potential impact. 

. Analysis by the negotiators of the financial information transmitted by the 
proposers in the negotiation form. 

After signature of the contract: 

- On-site checking by examination of the supporting documents to detect errors or 
other irregularities.The departments of the Commission have set up auditing units 
to centralize all the checks carried out. These checks are conducted  either by the 
members of the auditing units or by auditing firms with which the Commission has 
concluded framework  contracts, under the supervision of the staff of the auditing 
unit 

sq<i 

9. 

ELEMENTS  OF  COST-EFFECTIVENESS  ANALYSIS 

9-1 

Specific  and quantifiable  objectives,  target  population: 

The specific  objectives  for each field  are as follows: 

- Domain I: Dissemination and exploitation  of research results 

of 

The objective  of  activity  in  this field  is primarily to  improve the  effectiveness 
Community  research by facilitating  the dissemination  of  research results 
and their subsequent use by  industry.  The instruments set up,  such as CORDIS 
and the network of  relay centres, have a multiplier effect,  since they  make it 
possible to convey  to the laboratories and enterprises concerned the results 
which may subsequently  be used to improve productivity  or innovate in 
product ranges.  Activities  to support and assist the protection and exploitation 
of  results will be of decisive  importance,  in particular to SMEs. 

-  Domain 2: Dissemination of technologies to enterprises 

The objective  in this domain is to reach the large number of  SMEs which 
require new technologies  to improve their performance,  but which do not 
possess internal  R&D capabilities, by bringing weight to bear on the 
innovation  mechanisms and on the operators involved  in technology  transfer in 
the Member States.  Another objective is to increase awareness of the 
innovation processes  (through the innovation observatory),  to encourage the 
exchange of  good practice and to support actions carried out at regional  level. 

Domain 3: Financial environment for  the dissemination of technology 

The objective of activity in this field is to improve the financial environment 
for exploiting,  adapting and disseminating technology.  It is  generally 
acknowledged  that the financial  obstacle is greatest for  SMEs,  which form the 
basis of  the European industrial fabric. 

9.2.  Grounds  for  the operation: 

9.2.1  Justification  of  or  need  for  the  action 

The action for disseminating  and exploiting  results is justified  by the need to 
increase the utilization of  scientific  know-how  and technology  in Europe with a 
view  to streamlining  industry and to facilitating  the modernization and 
adaptation of  European industry.  This is a necessary  condition  for  fostering  the 
convergence  of  national economies and for achieving  greater economic and 
social  cohesion. 

Furthermore,  this action is aimed in particular at SMEs,  whose dynamism  is a 
key factor  in economic  growth and the creation of  new jobs. 

w 

On the micro-economic front, it is also important that European enterprises 
become more aware of how to benefit from scientific  know-how and 
technology through their incorporation  into the innovation processes, which 
will produce the successful  marketing of new products, processes or services. 

The activities have been defined  in the light of experience gained from the 
VALUE and SPRINT programmes. They take full  account of the principle of 
subsidiarity,  and the competent organizations in the Members States may be 
called upon for assistance in implementation. 

The aim of Community funding  is to improve the effectiveness  of operators 
participating in the innovation process and the transfer  of technology,  and help 
them develop a European dimension to their action. A further  aim is to set up 
a support infrastructure  (network of relay centres, SPRINT networks) and 
information  services (CORDIS). Finally,  assistance is enabled to be provided 
to enterprises which are unable to exploit the results obtained without 
Community  support, during the critical phase of exploitation. 

Main factors  of uncertainty which could affect  the specific  results of the 
Operation: 

The factors  of uncertainty are part and parcel of the innovation process. Many 
research results cannot be exploited for technical and economic reasons, and it 
is therefore  useful  to study the technical and economic feasibility  (first 
domain) before  embarking upon exploitation. 

The promotion of modern management methods (value analysis, quality 
management,  design, etc.) also plays a part in reducing uncertainty  factors, 
and for this reason it is included as part of the second domain. 

The protection of know-how - a line of action in the first domain - is also 
likely to reduce the risks of improper use of results by third parties. 

For example, the experience of financing technology on the basis of its 
performance  - included in the third domain - also contributes to reducing the 
risks and factors of uncertainty. 

9.2.2  Selection of the detailed rules for intervention 

The criteria for  selection are clearly defined  in the information  documents 
forwarded  to the potential participants. The content of this programme (third 
action of the Fourth Framework  Programme) is very diversified  and covers 
several types of calls for proposals. However,  the criteria  generally taken into 
account are as follows: 

s% 

- the potential for  the industrial exploitation of the results to be exploited or 
transferred; 

- the economic,  societal and environmental implications; 

- the transnational and trans-sectoral nature of the proposed activities; 

-  the technical and economic feasibility  of the proposals, and the quality of the 
dissemination,  transfer  and exploitation plans contained in the proposals. 

One method of funding  projects in the fields of dissemination and exploitation 
is via shared-cost actions. However,  given the nature of the actions contained 
in this programme, the preparatory,  accompanying and support measures 
represent a substantial part of the activities. 

With regard to shared-cost activities, it is naive to think that European 
manufacturers  will work together and protect their confidential  results without 
financial  incentives from the Community,  as is the case with coordinated 
actions. This method of action is clearly adequate for university research, but 
not feasible  for  industrial exploitation of research results and technology 
transfer. 

Public financing will cover a maximum of 50%  of the total costs of research, 
and when the research is close to being marketed this figure might be lower. 

9.2.3  Justification  of  the target population 

Several populations in particular are targeted: 

- undertakings and in particular SMEs; 

-  intermediaries involved  in technology transfer,  consultants and experts 
specializing in the fields of dissemination, protection and exploitation; 

-  "multipliers" of information  (scientific journalists, documentalists, etc.); 

- public or private financial operators; 

- research  laboratories, universities, contract research organizations, etc.; 

- bodies responsible for defining  and implementing the policies for  exploition, 
innovation and the dissemination of technology. 

The population targeted consists primarily of the SMEs, who may or may not 
be suitable for participating in the Community's research programmes. There 
are a large number of SMEs (approximately  300 000) which are not dependent 

stf 

on  "high-technology", but which need to exploit research results or adopt new 
technologies to be competitive. 

The SMEs cannot be approached directly due to the large number involved. It 
is therefore  necessary to turn to intermediaries, consultants, experts and to use 
the existing networks and the competent structures of the Member States so as 
to facilitate  the transfer  of know-how and technology from the technological 
resource centres to the undertakings requiring them. 

For the third domain -  "financial  environment"-  it is necessary to use public or 
private national operators who are in direct contact with the undertakings. 

9.3.  Monitoring and evaluation of the operation: 

9.3.1.  Detailed roles 

The monitoring of the action will be carried out by the DG responsible for 
implementing the specific programme and will contribute to the systematic 
evaluation of the various actions. 

The indicators of activity in the first domain are as follows: the content 
(number of records) of CORDIS databases, number of users and connection 
time, number of undertakings contacted and number of actions and events 
organised by the relay centres, number of exploitation projects supported, etc. 

The number of indicators of activity in the second field is considerable: the 
number of active specialized networks, level of activity of macro-networks, 
economic repercussions of specific projects,  number of decentralized training 
and awareness-enhancing actions organized,  impact of  conferences 
(participation,  coverage in the general and specialized press), participation in 
reviewing activities and activities for the exchange of good practice, etc. 

The indicators in the third field are as follows: the number of  "forums" 
organized,  the participation in these events and their results (number of 
agreements concluded,  etc.), the number of dossiers successfully  undertaken as 
part of the TPF (Technology Performance  Scheme), the number of SMEs 
benefitting from decentralized pilot actions organized on their behalf. 

The state of implementation of the programme will be examined continually 
and systematically as regards the objectives so as to ensure that the priorities 
and financial  resources are still appropriate to the changing situation. The 
Commission will in due course have an assessment undertaken by independent 
experts of the activities conducted in the fields directly covered by the 
programme,  and of their management during the five years preceding such 
assessment,  with a view to contributing to the overall evaluation of Community 
activities. 

On completion of the programme, the Commission will have a final assessment 
of the results conducted by independent experts as regards the objectives of the 

*t,8 

programme and the framework programme.  The report on the final assessment 
will  be forwarded to the Council,  the European Parliament and the Economic 
and Social  Committee. 

9.3.2.  Appraisal  of  the results  obtain^  fnT  actions  underway: 

The mid-term results of the Value and Sprint programmes were  forwarded  to 
the Council and the European Parliament in  1992. 

The final evaluation of the Value programme and the mid-term evaluation  of 
the centralized  action for dissemination  and exploitation of  the Third 
Framework Programme are underway. 

The final evaluation of the Sprint programme is also planned for  1994. 

10 

64? 

Proposal for a 

COUNCIL DECISION 

94/00M(CNS) 

adopting a specific  research and 

technological  development  programme  in the 

field of stimulation  of the training and 

mobility  of researchers  s 

(1994-1998) 

T<ÏO 

PROPOSAL  FOR  A  COUNCIL  D E C I S I ON 

of 

adopting  a  specific  research  and  technological 
development  programme  (1994-98) 
in  the  field  of  the  training  and  mobility  of  researchers 

THE COUNCIL  OF THE  EUROPEAN  UNION, 

Having  regard  to the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130i(4) thereof, 

Having regard  to the proposal from the Commission,l 

Having  regard to the opinion  of the European  Parliament,2 

Having  regard  to the opinion  of the Economic  and  Social  Committee,3 

Whereas,  by  Decision  ../..EC,4  the  Council  and  the  European  Parliament  adopted  a 
Fourth  Framework  Programme  for  Community  activities  in  the  field  of  research, 
technological  development  and demonstration  (RTD) for the period  1994-98  specifying, 
inter alia, the  activities  to  be  carried  out  in the field of  the  training  and  mobility  of 
researchers; whereas this Decision takes account of the grounds set out in the preamble 
to that  Decision; 

Whereas  Article  130i(3)  of the Treaty  specifies  that  the  Framework  Programme  shall 
be implemented  through specific  programmes  developed  within each activity under the 
Framework Programme and that each specific programme shall define the detailed rules 
for  implementing  it, fix its duration  and provide  for  the resources  deemed  necessary; 

Whereas  this  programme  will  be  carried  out  mainly  through  shared-cost  actions, 
concerted  actions  and through  preparatory,  accompanying  and support  measures; 

Whereas, in accordance with Article  130i(3), an estimate shall be made of the  financial 
amount necessary  to carry out this specific  programme; whereas  the definitive  amount 
shall be decided by the Budgetary  Authority  in conformity  with the share fixed  by the 
Framework  Programme; 

OJ No  ...,..., p. 
OJ No  ..., ..., p. 
OJ No  ..., ..., p. 
OJ No  ..., ..., p. 

55^7 

Whereas  Decision  .../EC (Fourth  Framework  Programme)  provides  that the maximum 
overall  amount  of  the  Fourth  Framework  Programme  will  be  reexamined  by 
30 June  1996 at the latest with a view to being increased;  whereas the amount deemed 
necessary  for  implementation  of this programme  may  be increased  as a result  of that 
examination; 

Whereas the development  and better utilization  of human resources  in the Community 
through  the training  and  mobility  of researchers  is one of the priorities  of the  Fourth 
Framework  Programme; 

Whereas  intensification  of  Community  collaboration  by  the  networking  (including 
twinning)  of laboratories  in different  countries  is an important  means of strengthening 
the  European  research  base;  whereas  it  is  also  important  to  facilitate  the  access  of 
Community  researchers  to large-scale  facilities  essential  to high quality  research; 

Whereas  training  activities,  networking  and  facilitating  the  access  to  large-scale 
facilities  call for appropriate accompanying  measures, such as conferences  and courses, 
prizes  for  young  scientists,  dissemination  and  utilization  of  research  results  and  the 
consultation  of distinguished  European  scientists  and representatives  of industry; 

Whereas the promotion  of human resources  must also  contribute  to the  Community's 
scientific  cohesion by offering  scientific institutions and researchers in the less favoured 
regions training  and research  opportunities  enabling  them to achieve  excellence; 

Whereas  the  content  of  the  Fourth  Framework  Programme  was  established  in 
accordance  with the subsidiarity  principle; whereas  this specific  programme  specifies 
the content  of the  activities  to be carried  out  in accordance  with  this principle  in the 
field  of training  and mobility  of researchers; 

Whereas  Decision  .../EC  (Fourth  Framework  Programme)  provides  that  Community 
action is justified  if,  inter alia, the research  contributes  to strengthening  the economic 
and  social  cohesion  of  the  Community  and  to  promoting  its  overall  harmonious 
development  while maintaining  scientific  and technical quality; whereas it is considered 
that this programme  contributes  to attaining  these  objectives; 

Whereas  this  programme  will  help to strengthen  synergy  between  the  RTD  activities 
carried  out  in the  field  of training  and  mobility  of researchers  in the  Community  by 
research centres, universities  and enterprises,  in particular  SMEs, in the Member States 
and between  the latter  and the corresponding  Community  RTD activities; 

Whereas the training  activities  for researchers  in the specific  programmes  of the first, 
second, and third activities  of the Fourth Framework  Programme  must be coordinated; 

Whereas the rules for the participation  of undertakings, research  centres (including the 
JRC)  and  universities  and  the  rules  governing  the  dissemination  of  research  results 
specified  in  the  measures  provided  for  in  Article  130j  of  the  Treaty  apply  to  this 
specific  programme; 

S3<£ 

Whereas,  in  accordance  with  Article  130m  of  the  Treaty,  it  may  be  appropriate  to 
engage  in international  cooperation  activities  with  international  organizations  and  third 
countries  other  than  the  countries  covered  by  the  EEA  Agreement  for  the  purpose  of 
implementing  this  programme; 

Whereas  this programme  also  comprises  activities  for  the  dissemination  and  utilization 
of  RTD  results,  in  particular  vis-à-vis  SMEs  and  notably  those  in  the  Member  States 
or  regions  that  participate  least  in  the  programme; 

Whereas  an  assessment  should  be  made  of  the  economic  and  social  impact  and  any 
technological  risks  associated  with  the  activities  carried  out  under  this  programme; 

Whereas  progress  with  this  programme  should  be  continuously  and  systematically 
monitored  with  a view  to adapting  it, where  appropriate,  to scientific  and  technological 
developments  in  this  area;  whereas  in  due  course  there  should  be  an  independent 
evaluation  of  progress  with  the  programme  so  as  to  provide  all  the  background 
information  needed  in  order  to  determine  the  objectives  of  the  Fifth  RTD  Framework 
Programme;  whereas  at  the  end  of  this  programme  there  should  be  a  final  evaluation 
of  the  results  obtained  compared  with  the  objectives  set  out  in this  Decision; 

Whereas  the  JRC  may  participate  in the  indirect  actions  covered  by  this  programme; 

Whereas  the  Scientific  and  Technical  Research  Committee  (CREST)  has  been 
consulted, 

HAS  ADOPTED  THIS  DECISION: 

Article  1 

A  specific  research  and  technological  development  programme  in  the  field  of  training 
and  mobility  of  researchers,  as  set  out  in  Annex  I,  is  hereby  adopted  for  the  period 
from (date  of  adoption  of  this programme)  to  31  December  1998. 

Article  2 

1. 

2. 

3. 

4. 

The  amount  deemed  necessary 
the  programme 
ECU  744  million,  including  5.6%  for  staff  and  administrative  expenditure. 

for  carrying  out 

is 

An  indicative  breakdown  of  this  amount  is given  in  Annex  II. 

The  amount  deemed  necessary  for  carrying  out  the  programme,  as  indicated 
above,  could  increase  as  a  result  of,  and  in  accordance  with,  the  decision 
referred  to  in  Article  1(3) of  Decision  .../EC  (Fourth  Framework  Programme). 

The  Budgetary  Authority  shall  determine  the  appropriations  available  for  each 
financial  year in accordance  with the share fixed  by the Framework  Programme. 

55^ 

Article  3 

Detailed  rules  for  implementing  this  programme,  in  addition  to  those  referred  to  in 
Article  5, are  set  out  in Annex  III. 

1. 

2. 

3. 

1. 

2. 

1. 

2. 

Article  4 

The Commission  shall continuously  and systematically  monitor, with appropriate 
independent,  external  experts,  the  progress  within  this 
assistance  from 
programme  in relation to the objectives  set out in Annex  I.  It shall  in particular 
assess  whether  the  objectives,  priorities  and  financial  resources  are  still 
appropriate.  It shall  submit  proposals  to adapt or  supplement  this  programme 
depending  on the results  of this monitoring  process. 

In  order  to  contribute  to  the  overall  assessment  of  Community  activities 
provided  for  in  Article  4(2)  of  the  Decision  adopting  the  Fourth  Framework 
Programme,  the Commission  shall,  in due course, .have an assessment  made by 
independent  experts  of  the activities  carried out under this programme,  and  of 
their  management  during  the five  years preceding  the  assessment. 

At  the  end  of  this  programme,  the  Commission  shall  instruct  independent 
experts  to conduct  a final  evaluation  of the results  achieved  compared  with the 
objectives  set  out  in  Annex  III  to  the  Fourth  Framework  Programme  and 
Annex  I to this Decision.  The final  evaluation  report shall  be forwarded  to the 
Council,  the  European  Parliament  and the Economic  and  Social  Committee. 

Article  5 

A  work  programme  shall  be drawn up by the  Commission  in accordance  with 
the  objectives  set  out  in Annex  I and  shall  be  updated  where  appropriate.  It 
shall  set out in detail  the scientific  and technological  objectives  and specify  the 
stages  in  the  implementation  of  the  programme  and  the  proposed  financial 
arrangements. 

' 

The Commission  shall  issue  calls  for proposals  for projects  on the basis of the 
work  programme. 

Article  6 

The Commission  shall be responsible  for the implementation  of the programme. 

In  the  cases  provided  for  in  Article  7(1)  below,  the  Commission  shall  be 
assisted  by a committee  consisting  of representatives  of the Member  States and 
chaired  by the representative  of the  Commission. 

SSV 

The  Commission  representative  shall  submit  to  the  Committee  a  draft  of  the 
measures  to be taken.  The Committee  shall give  its opinion on this draft within 
a period  which the Chairman  may determine  on the basis  of the urgency  of the 
issue. 

The opinion  shall be given by the majority  provided  for in Article  148(2)  of the 
Treaty  for  the  adoption  of  Decisions  by  the  Council  on  a  proposal  from  the 
Commission.  For the purposes of voting within the Committee,  the votes of the 
representatives  of  the Member  States  shall  be weighted  in accordance  with the 
above  mentioned  article.  The  Chairman  shall  not vote. 

The  Commission  shall  adopt  the  measures  envisaged  where  they  are  in 
accordance  with the  opinion  of the  Committee. 

If the measures  envisaged  are not in accordance  with the Committee's  opinion, 
or if no opinion  is delivered,  the Commission  shall without  delay  submit to the 
Council  a proposal  relating  to the measures  to be taken.  The  Council  shall  act 
by  qualified  majority. 

If on expiry of a period of one month from referral  of the matter to the Council, 
the  latter  has  not  acted,  the  proposed  measures  shall  be  adopted  by  the 
Commission. 

Article  7 

The  procedure  laid  down  in Article  6(2)  above  shall  apply  to: 

the  preparation  and  updating  of  the  work  programme  referred  to  in 
Article  5(1), 

the  evaluation  of  the  RTD  projects  proposed  for  Community  financing 
as  well  as  of  the  amount  estimated  for  this  financing,  where  for  a 
particular  project  that amount  exceeds  ECU  0.2  million; 

the  measures  to be taken to evaluate  the  programme; 

any  departure  from  the  indicative  breakdown  of  the  amount  set  out  in 
Annex  II, which  has not been  the  subject  of  a budgetary  decision. 

The  Commission  shall  inform  the  Committee,  at  each  of  its  meetings,  of  the 
evolution  of  the  programme's  implementation  in its entirety. 

sss~ 

Article  8 

The  Commission  is  authorized  to  negotiate,  in  accordance  with  Article  228(1)  of  the 
Treaty, international  agreements  with European third countries  with a view to involving 
them  in all  or part of  the programme. 

This Decision  is addressed  to the Member  States. 

Article  9 

Done  at Brussels, 

For  the Council 
The President 

*& 

ANNEX I 

SCIENTIFIC  AND TECHNOLOGICAL  OBJECTIVES 
AND CONTENT 

This  specific  programme  fully  reflects  the  broad  lines  of  the  Fourth  Framework 
Programme,  and  applies  the selection  criteria  and spells  out the  scientific  and  technical 
objectives  set out in that Programme. 

The  section  of  Annex  III  to  the  Fourth  Framework  Programme  concerning  the  fourth 
activity  is an integral  part of this programme. 

1. 

THE  CONTEXT 

1.1. 

STAKES 

The  optimal  utilization  of human  resources  is a basic  parameter  of  all  socio-economic 
activity.  The  Commission's  White  Paper  on  "Growth,  Competitiveness,  Employment" 
signalled  in particular the importance in regard to researchers of "their qualifications,  their 
ability to meet the needs of developing  industries and the extent to which the capital they 
represent  is  utilized"  in  order  to  contribute  "to  renewing  growth,  strengthening 
competitiveness  and boosting  employment  in the Community". 

Although  Europe  possesses,  in the field  of research,  a human  capital  that  ranks  high in 
the world, its utilization is often ponderous and slowed down by differences  that still exist 
between  Member  States  and between  different  disciplines.  The development  of human 
resources  by  means  of  training  through  research  and  their  better  utilization  through 
transnational  mobility  and cooperation  are essential means to meet the general  objectives 
of the Framework Programme.  In this context, it is essential to ensure equal opportunities 
for  male and female  researchers. 

In order to encourage  creativity  and innovation,  there is a need to stimulate  transnational 
training  and  cooperation  activities  proposed  spontaneously  by  researchers  themselves 
(bottom-up  approach)  without  the  outside  imposition  of  pre-established  targets  or 
It  will  not  always  be  easy  to  make  a  distinction  between  the  "targeted" 
objectives. 
approach  of  the  first  activity  of  the  Fourth  Framework  Programme  and  this  so-called 
"free"  research.  It will be necessary  to avoid overlap  (in the case of projects,  proposed 
to the fourth  activity, that satisfy  the specific  objectives  of the first activity), while at the 
same  time  ensuring  the  complementarity  links  that  are  necessary  if  the  training  and 
mobility activities of Community programmes are to create a bridge between  fundamental 
research  and  applied  research.  For  this  reason,  the  training  actions  of  the  specific 
programmes  of the  first  activity  and of the JRC will  be co-ordinated  with those  of this 
Programme. 

s si 

the  fundamental  principle  of  scientific  excellence 

that  governs 
While  respecting 
Community  RTD  programmes,  this  programme  will  make  an  important  contribution  to 
Community  cohesion  by 
improving 
communication  and  by  establishing  a  climate  of  collaboration  in  the  world  of  European 
research. 

isolation  of  researchers,  by 

reducing 

the 

The  fourth  activity,  which  is  aimed  at  providing  advanced  training  in  laboratories 
throughout  the  whole  Community,  will  be open  in character  and  will  also  stress  the  co 
operation  between  universities  and  industry. 

In order to stimulate  fully  the mobility  of researchers,  a major  effort  will have to be made 
to  adapt  the  conditions  and  implementation  procedures  of  Community  training  grants  to 
national,  systems  and,  in  the  longer  term,  to  coordinate  the  social,  tax  and  salary 
conditions  of  these  grants  in  all  Member  States. 

1.2.  CONTINUITY  AND  EVOLUTION  IN  THE  PROGRAMME 

This  programme  is a  continuation,  with necessary  modifications,  of  the  "Human  Capital 
and Mobility"  programme  (1992-94)  and the earlier programmes  "Stimulation"  (1983-88), 
"Science"  (1988-92),  "Access  to  Large  Installations"  (1989-92)  and  "SPES"  (1989-92). 

Continuity  elements,  essential  to any  long term  activity,  concern  objectives  (to  increase, 
through  training,  mobility  and  cooperation,  the  efficiency  of  research  and  of  research 
infrastructures),  cohesion  factors  (to  take  into  consideration  the  needs  for  qualified 
scientific  staff  in  the  less-favoured  regions)  and  subsidiarity  factors  (to  exploit  the 
catalytic  effects  originating  from  the  pooling  of  abilities  and  resources  dispersed 
throughout  the  Community). 

2. 

RTD  ACTIVITIES 

2.1.  GENERAL  OBJECTIVES 

The aim of the programme  is to promote, through the stimulation  of training  and  mobility 
of  researchers,  a  quantitative  and  qualitative  increase  of  human  resources  within  the 
Community  and  the  associated  states5. Its  general  objectives  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; 

An  "associated  state"  is  a  country  participating  financially  in  this  programme, 
notably countries having ratified  the agreement on the European Economic Area, 
which  are  associated  with the  implementation  of  the  Framework  Programme. 

8 

SSS 

to  improve  the  mobility  of  European  researchers  throughout  the  Community, 
encouraging  mobility  both  between  universities,  research  institutes  and  industry 
and  between  disciplines,  thus  better  exploiting  the  research  potential  in  the 
different  disciplines; 

to promote,  for  instance  through  networks,  transnational  cooperation  on research 
activities  proposed  essentially  by  the  scientists  themselves  and  not  eligible  for 
support  under  the  first  activity; 

to facilitate  the access of all European researchers  to existing  large-scale  facilities 
that are essential  for high-quality  research; 

to  improve  the  scientific  and  technological  cohesion  of  the  Community  and 
contribute  to the attainment  of a general  level  of  scientific  excellence  by  offering 
research opportunities  to scientific  institutions  and researchers from all regions  of 
the  Community.  As  was  the  case  under  the  "Human  Capital  and  Mobility" 
programme  (1992-94),  the  return  to  their  region  of  origin  of  researchers 
originating from the less-favoured  regions  will  be encouraged  and  financed. 

This  activity  will  cover  the exact,  natural,  economic  and management  sciences,  as  well 
as  those  social  and  human  sciences  that  contribute  to  the  Community's  objectives  in 
research,  technological  development  and demonstration. 

2.2. 

SPECIFIC  ACTIVITIES 

The  programme  is  divided  into three  interdependent  areas (research  networks,  access  to 
large-scale  facilities,  training  through  research),  to  which  is  attached  an  activity 
concerning  accompanying  measures  aimed  at  improving  communication  between 
researchers  themselves  and  with  industry,  at  encouraging  young  researchers  and  at 
publicizing  the  results  and achievements  of  the programme. 

2.2.1  Research  Networks 

Networks  will  allow  researchers from as many countries  as possible  to join  their  efforts 
in  "European  Laboratories  Without  Walls"  and  to  constitute,  in  this  manner,  groups 
capable  of performing  research  of higher quality.  Small  associations  of  laboratories from 
different  countries  (including  twinnings)  will  also  be eligible  for  support  when they  are 
considered  to  form the core of  a future  larger network. 

Grants will  be awarded  to help researchers  to meet, to perform  experiments  in common, 
to exchange  results,  to reinforce  research  staffs  through temporary  contracts  for  visiting 
scientists  (preferably  from  a  country  other  than  that  of  the  team  concerned)  and,  in 
exceptional  cases,  to  cover  additional  costs  linked  to  scientific  equipment  where  it  is 
necessary  for  the joint  research  of  the  network.  The  average  grant  to  a  research  team 
participating  in  a  network  shall  correspond  typically  to  the  cost  of  taking  on  a  post 
doctoral  researcher. 

sr§3 

It  will  be  the  task  of  each  network  to  distribute  the  research  responsibilities  between 
laboratories  and 
that  cooperation  and 
communication  is  as  open  and  efficient  as  possible.  Advantage  should  be  taken  of  the 
capabilities  and  potential  of  modern  telematics,  whenever  appropriate. 

the  research  operations  so 

to  coordinate 

Each  network  shall  ensure  the  regular  diffusion  of  its  principal  research  results  by 
publication  of  brochures  and  overview  articles.  After  the  work  of  a  network  has  started, 
arrangements  shall  be  made,  where  relevant,  for  establishing  regular  dialogue  with 
industrial  laboratories,  particularly  from  SMEs,  that  could  exploit  the  research  findings 
or finance  an extension  of the research  towards  new objectives.  As  far  as possible,  SMEs 
of the less favoured  regions will be associated  in this dialogue and encouraged  to  integrate 
with  the  transnational  research  teams. 

The  lifetime  of  a  network  shall  not  be  less  than  three  years. 

2.2.2  Access  to  Large-Scale  Facilities 

This  activity  is  devoted  to  large  research  installations  whose  uniqueness  or  rarity  in  the 
Community,  high  investment  or  upkeep  costs,  and  importance  for  research  justifies 
substantial  effort  at  Community  level.  It will  be  of  particular  importance  to  researchers 
working  in regions  of  the  Community  where  such  installations  do  not  exist. 

Community  actions,  complementing  national  and  international  efforts,  will  include: 

support  for  researchers  in order  to facilitate  their  access  to  large  installations  and 
large  instruments  that  are  necessary  for  research  and  rare  in  the  Community; 

support  for  improvement,  where  necessary,  to  large-scale  facilities  in  order  to 
provide  wider  access  to  Community  researchers,  thus  encouraging  more  efficient 
use  of  these  facilities. 

2.2.3  Training  through  Research 

Implementation  of  an  activity  of  training  through  research  and  stimulation 
of  researcher  mobility  in  all  the  fields  covered  by  the  programme.  Training 
periods  may  have  a  duration  of  between  three  months  and  three  years  and  will 
allow  European  researchers  to  undergo  training  or  specialization  outside  their 
country  of  origin.  With regard  to cohesion,  measures  will  be taken  to  encourage 
the  return  to  their  region  of origin  of researchers  from  the  less-favoured  regions, 
and  to  enable  leading  scientists  from  the  industrialized  regions  to  work  for 
extended  periods  in research  centres  in the  less  favoured  regions. 

Particular  attention  will be given to training  activities  devoted  to the  management 
of  change,  within  enterprises,  associated  with  new  technology.  Special  attention 
will  be  attributed  to  the  training  of  researchers  belonging  to  SMEs. 

10 

5éo 

Coordination  of the training  activities  defined  in the specific  programmes  in 
the  first  second  and  third  activities  of the  Fourth  Framework  Programme. 
The purpose  is to offer  a coherent framework (correspondence  of training  grants 
and  of  categories  of  fellows,  single  entry  points  for  receiving  proposals  and  for 
expenditure  commitments,  harmonization  of evaluation  and selection  procedures, 
...)  for  the  various  actions  at  the  Community  level  of  training  through  research 
without  going  so  far  as  to  impose  a  centralized  system  unsuited  to  the  special 
requirements  of each programme. 

Study of the host conditions of Community research fellows.  Large  differences 
exist  between  Member  States  as  regards  the  legal  and  financial  status  (salaries, 
social  benefits  and taxes) of Community  disbursements  to research  fellows.  The 
analysis  of these  differences  will be pursued  and  efforts  made  to offset  them or 
to  adapt  the  system  of  Community  training  grants  to  the  specific  national 
situations. 

2.2.4  Accompanying  Measures 

Accompanying  measures  will be taken to contribute  to the objectives  of the programme 
in relation  to the stimulation  of researcher  mobility  and  training;  at the same time, they 
will be an appropriate  vehicle for the dissemination  of information  on the conditions and 
procedures  for  participating  in  the  various  activities  of  the  programme  and  for  the 
dissemination  of its results. 

They  will  include  in particular: 

the development  of a system  of Euroconferences  to  enable  young  researchers 
to make contacts  with leading  scientists  in their  respective  disciplines; 

the organization  of practical  courses in laboratories  or in industry to acquaint 
researchers  with  methods  and  techniques  that  are  novel  or  little  used.  These 
courses  will  be organized,  whenever  practicable,  in the  less-favoured  regions  of 
the Community; 

the  award  of  prizes  to  young  undergraduate  students  and  a  competition  for 
talented  young  scientists  in secondary  education; 

the  encouragement  of  the  participation  of  the  less-favoured  regions  in  the 
programme  through the organization  of information  seminars; 

the publication  and dissemination  by all appropriate  means of the objectives, 
details  of participation,  implementation  and  results  of the programme; 

the  consultation  of distinguished  European  scientists  and  representatives  of 
industry  on the  progress  of the programme  and  on the possible  need  to  modify 
its implementation  or objectives; 

the organization  of seminars as a forum for debate with the programme's  fellows 
on the  impact  of the programme  on their scientific  activities  and their careers; 

11 

C6-1 

the evaluation of the economic and social impact and of possible technological 
risks  arising  out of the activities  conducted  in the frame of this programme; 

regular evaluation,  in direct consultation  with Member  States, of progress  made 
under  the programme  with  regard  to cohesion; 

study of the possibility  of organising  training through  distance-learning  for the 
less-favoured  regions  of the Community. 

12 

ANNEX  II 

INDICATIVE  BREAKDOWN  OF  THE  AMOUNT 
DEEMED  NECESSARY 

Research  Networks 

Large  Scale-Facilities 

Training 

Accompanying  Measures 

40-50 % 

13-17 % 

30-40 % 

4-6  % 

Total 

100  %l 

ECU  744  million 

The breakdown  between different areas does not exclude  the possibility  that a project may 
be financed  from  more  than one area. 

1 

Including  2.7% for staff  expenditure  and 2.9% for administrative  expenditure. 

13 

Ç63 

ANNEX  III 

DETAILED  RULES  FOR IMPLEMENTING  THE PROGRAMME 

The detailed  rules for the Community's  financial  contribution  are laid down in Annex  IV 
to the  Decision  on the  Fourth  Framework  Programme. 

The detailed  rules  for the participation  of undertakings,  research  centres  and universities 
and  for  the  dissemination  of  results  will  be  laid  down  in the  measures  provided  for  by 
Article  130j  of  the Treaty. 

However,  for the purpose of implementing  this programme, the following  exceptions  shall 
apply:.  ; 

Participation 
i  Community: 

in  this  programme  is  open,  with  financial  support  from  the 

a. 

to  all  legal  entities,  established  and regularly  carrying  out RTD activities: 

in the  Community,  or 
in a third country  associated,  wholly  or in part, with the  implementation  of 
the  programme  through  an  agreement  concluded  between  the  Community 
and the  said  third country, 

b. 

to the  Joint  Research  Centre. 

Participation  in  this  programme  is  open,  without  financial  support  from  the 
Community,  and  on  condition  that  their  participation  is  in  the  interests  of 
Community  policies: 

a. 

b. 
c. 

to legal entities established  in a country which has concluded  a scientific  and 
technical  co-operation  agreement  with the  Community  relating  to  activities 
covered by the programme, provided the participation  accords with the terms 
of  the  agreement, 
to  legal  entities  established  in a European  country, 
to  international  research  organisations. 

The participation  of European international  organisations  may be financed on the 
same  basis  as that for  Community  organisations  in duly  specified  cases. 

1.  RESEARCH  NETWORKS 

Participants  in  this  shared-cost  action  will  be  research  teams,  in  universities,  research 
institutes  and  industry,  grouped  in  transnational  networks  for  the  purpose  of  jointly 
conducting  a research  project. 

14 

^(oii 

As  a  general  rule,  a  network  shall  consist  of  at  least  five  research  teams  from  at  least 
three countries.  The lifetime  of a network  shall be at least three years. However,  networks 
of less than five teams in different  countries,  including twinnings, may be supported when 
they  are  considered  to  form  the  core  of  a future  larger  network.  Such  networks  will  be 
supported,  in  a  starting  phase,  for  a  maximum  of  only  two  years;  the  continuation  of 
support  will  depend  on the number of participants  having  increased  to five  or more from 
at least  three countries. 

Networks  to  be  financed  by  the  Community  shall  be  selected  on  the  basis  of  their 
scientific  quality,  taking  into account the added value  that working  together  as a network 
could  represent  for  European  science  and the  participation  of  industry  where  relevant  to 
the project proposed.  While  respecting  the overriding  criterion  of scientific  quality  in the 
selection  process,  proposals  linking  established  laboratories  of  high  quality,  on  the  one 
hand, and promising  laboratories  situated  in the  less  favoured  regions,  on the  other,  will 
be encouraged. 

The  Community  contribution  will  be  granted  to  cover  100%  of  the  additional  costs  of 
creating  and maintaining  the network  (mobility,  additional  personnel,  research  costs).  As 
a  general  rule,  it  shall  not  be  used  to  procure  durable  equipment  or  to  contribute  to 
infrastructural  costs.  A  part of  the  Community  contribution  awarded  to  a  network  may 
however  be  used  to  cover  the  costs  of  "infrastructure-equipment"  when  it  is  needed  to 
help  establish  a  new  research  team  to  be  set  up  in  a  less  favoured  region2  of  the 
Community  by a researcher  trained  abroad on a post-doctoral  fellowship  in the  frame  of 
this  or the  previous  Human  Capital  and Mobility  Programme. 

2.  LARGE-SCALE  FACILITIES 

The term  "large-scale  facility"  refers  to an installation,  which  is rare  in the  Community, 
whose  investment  and  operating  costs  are  high,  and  whose  importance  for  research 
justifies  a substantial  effort  at the  Community  level  in  order to  encourage  the  access  of 
researchers  and the more efficient  use of the facility.  A group of smaller  complementary 
installations,  located on the same site, could also be considered to be a large-scale  facility, 
if this  group  as  a whole  has equivalent  characteristics  to  those  described  above. 

Facilities  to be financed  by the Community  shall be selected  on the basis of the  following 
criteria: 

the  qualities  of  the  facility,  in  particular  the  originality  and  range  of  possible 
experiments,  as  well  as  the  capacity  of  its  scientific,  technical  and  logistical 
infrastructure; 

the  scale  of  interest  shown  by potential  new users; 

the  cost  effectiveness  of  Community  support; 

Objective  1 regions  of  Council  Regulation  93/2081/EEC  (OJ  No  L  193/19,  p.5, 
31.7.1993.) 

15 

S~<K 

the  benefit  to  the  Community  in terms  of  improving  the  scientific  and  technical 
potential  of  the  less-favoured  regions. 

Shared-Cost  Actions 

Community  support  will  be granted  to cover  100% of the additional  costs  relating  to the 
use  of  existing  facilities  by  researchers  other  than  those  belonging  to  the  host 
organisation.  Priority  will  be  given  to  new  users  and  to  researchers  who  come  from 
countries  other than that in which the facility  is located.  Grants are intended  to cover the 
travel  and subsistence  costs of the researchers,  fees  for the researchers  to use the  facility, 
and the publication  and dissemination  of  scientific  results.  Such grants  will  not provide 
support  to procure  durable  equipment  or to contribute  to infrastructural  costs. 

In  the  case  of  the  improvement  of  installations  (for  example,  peripheral  equipment, 
instrumentation,  technological  development,  feasibility  studies)  in  order  to  encourage 
wider  access  to  researchers  and  to  encourage  more  efficient  use  of  the  facilities, 
Community  support  will  be  granted  to  cover  100% of  the  additional  costs,  or,  where  it 
is more  appropriate,  50% of the  full  costs  of the project. 

Concerted  Actions 

Concerted  actions  (studies,  seminars,  workshops,  etc)  will  also  be  supported  in order to 
encourage  the  exchange  of  information  between  large-scale  facilities  and  European 
researchers  on  subjects  of  common  interest,  complementing  national  and  international 
efforts. 

3.  TRAINING  THROUGH  RESEARCH 

Participants  in this activity  are, on the one  hand, researchers  wishing  to receive  training 
or to specialize  outside  their country of origin and, on the other, the research  institutions 
hosting  them. 

Researchers  must be citizens  of  Community  Member  States  or of  an associated  state. 

The  research  institutions  must  be  legal  entities,  established  in  the  Community  or  an 
associated  state  and have  the capacity  to provide training  through research. 

The  activity  will  be  financed  through  Community  grants  for  training  and  mobility 
designed  to cover  the  subsistence  and mobility  expenses  of  the  researchers  and to make 
a contribution to the research and administrative  costs of the host institution.  The training 
period  could  vary from three months to three years. 

The  training  programme  covers  basic  and applied  research  in  all  the  exact  and natural 
sciences,  economic  and management  sciences,  as well as in the human and social  sciences 
that contribute  to the  Community's  RTD objectives. 

16 

S£6 

Eligibility 

Persons whose studies or career have reached the following  levels are eligible for support: 

postgraduate:  holder  of  a  degree,  obtained  after  at  least  four  years'  full-time 
studies,  delivered  by  a  university  or  equivalent  institution  of  higher  education, 
which qualifies the holder directly, without an intermediate  examination,  to embark 
on a doctorate; 

post-doctoral:  researcher holding a doctorate or, alternatively,  a researcher  without 
a  doctorate,  but  having  at  least  four  years'  full-time  research  experience  after 
successfully  graduating from a course  of study  of at least  four  years'  duration; 

experienced  researcher:  researcher  with  at  least  eight  years'  full-time  research 
experience  after  successfully  graduating  from  a  course  of  study  of  at  least  four 
years'  duration. 

Return  grants 

Return  grants are reserved  for  researchers  from  less-favoured  regions  who have  been  in 
receipt of a two-year  grant  for training  through  research.  Their  purpose  is to enable the 
researcher  to return to his region  of origin during a period  of one year.  An applicant  for 
a return grant  must  provide proof  of links (birth or extended  period  of  residence  during 
the last few  years)  with his region  of origin. 

Selection  criteria 

Curriculum  vitae  of the candidate  for  a grant, 
research  experience, 
scientific  interest  of the proposal, 
value and realistic  nature  of the work, 
and the qualities  and  abilities  of the host  laboratory. 

The  applications  must  be  presented  by  researchers  with  the  agreement  of  the  host 
institution  where they  wish to undergo  their training. 

Call  for  proposals 

The call for proposals will remain open throughout the whole duration of the programme. 

4.  ACCOMPANYING  MEASURES 

The  accompanying  measures  set  out  in  Annex  I  are  intended  to  contribute  to  the 
effectiveness  of  the  various  training  and  mobility  activities  and  to  the  proper 
dissemination  and  utilization  of the results  of the programme  and  of  scientific  research 
in  the  Community.  The  activities  relating  to  dissemination  and  utilization  of  results 
carried  out  under  this  programme  will  complement  those  conducted  under  the  third 
activity of the Framework Programme and will be implemented  in close coordination with 

17 

set 

the  latter.  Partners  in  RTD  projects  are  excellent  vehicles  for  the  dissemination  and 
utilization  of  results.  Back-up  will  be provided  via publications,  conferences,  promotion 
of  results,  studies  of  technical  and  economic  potential,  etc.  To  ensure  optimum 
utilization,  factors  liable to encourage the subsequent  utilization  of results  should  be taken 
into account  from  the outset  and throughout  the RTD projects.  Additional  measures  may 
be  planned  in  the  course  of  the  programme  on  proposal  of  the  Commission  Services, 
following  consultation  and  agreement  of  the  competent  bodies. 

The  selection  procedure  for  the  accompanying  measures  will  involve  a  single  call  for 
proposals  which  will  be  published  at  the  beginning  of  the  programme,  and  which  will 
remain  open  throughout  its entire  duration. 

Selection  criteria 

the  scientific  or  technical  quality  of  the  proposal; 

its contribution  to  the  general  objectives  and  guidelines  of  the  programme  and  of 
Community  RTD  policy. 

Financing 

The  accompanying  measures  selected  will  be  the  subject  of  a  contract  between  the 
Commission  and the proposer(s).  The contract may provide  for  financial  participation  by 
the  Community  of  up  to  100% of  the  approved  costs. 

In the  case  of  Euroconferences,  at least  75% of the  Community's  financial  participation 
shall be allocated  to financing the participation  of young researchers;  a maximum  of  25% 
may be provided  for  the preparation  and organization  proper  of the conference,  including 
in  particular  the  reimbursement  of  expenses  relating  to  die  participation  of  experienced 
researchers. 

18 

SfcS 

(37 

FINANCIAL  STATEMENT 

TITLE  OF  OPERATION 

1. 
Training  and  mobility  of  researchers 

BUDGET  HEADING 

2. 
B6-7411 

3. 

LEGAL  BASIS 

Article  130i  of  the  Treaty  on European Union. 
Council  and  European  Parliament  Decision  concerning  a  fourth  framework  programme 
of  Community  activities  in  the  field  of  research,  technological  development  and 
demonstration  (1994-98). 

4. 

DESCRIPTION  OF  OPERATION 

4.1  General  objective 

to  stimulate  training  through  research  and  to  foster,  through  cooperation,  better 
utilization  of  high-level  researchers  in the  Community; 

to  improve  the  mobility  of  European  researchers  throughout  the  Community  by 
promoting  interdisciplinary  mobility  and  mobility  between  universities,  research 
institutes  and  industry,  which  will  enable  better  use  to  be  made  of  research 
potential  in the  different  disciplines; 

• 

to promote,  e.g.  through networks,  transnational  cooperation  on research  activities 
proposed  primarily  by  the  scientists  themselves,  which  are  not  eligible  for 
assistance  within  the first  activity; 

to  facilitate  access  by  all  European  researchers  to  existing 
installations  which  are indispensable  for  high-quality  research; 

large  research 

to improve the scientific  and technological  cohesion  of the Community  and to help 
achieve a general  level of excellence  by offering  research opportunities to  scientific 
institutions  and researchers from all areas of the Community.  As  in the case of the 
"Human  Capital  and  Mobility"  programme  (1992-94),  researchers  from  the 
less-favoured  regions  will  be  given  financial  support  to  return  to  their  region .of 
origin. 

19 

^63 

4.2  Fields  covered  bv the programme 

The  activities  will  cover  the  exact,  natural,  economic  and management  sciences  and the 
social and human sciences  which help to achieve the Community's  research, technological 
development  and  demonstration  objectives. 

4.3 

Period  covered 

1994-98 

5. 

CLASSIFICATION  OF  EXPENDITURE  OR  REVENUE 

Non-compulsory  expenditure/differentiated  appropriations 

6.  TYPE OF EXPENDITURE OR REVENUE 

Studies/subsidies: 

In principle,  the  direct  activities  will  be  100% funded. 

The  concerted  activities  may  qualify  for  a  contribution  of  up  to  100%  of  the 
coordination  costs. 

Subsidy  for joint  financing  with other sources  in the public  and/or private  sector: 

The shared-cost  activities comprising  RTD projects will qualify  for a contribution 
of  not  more  than 50%. 

Universities  and other  research  centres  participating  in RTD  projects  and unable 
to  substantiate  their total  costs  in sufficient  detail  for the  Commission,  based  on 
an analytical  accounting  system,  will  qualify  for  100% funding  of  the  additional 
costs. 

Other shared-cost  activities  (for example,  networks,  training,  feasibility  awards or 
accompanying  measures)  will qualify  for up to  100% of the additional  costs or of 
the costs  of  the measure. 

Staff,  administrative  and operating  costs: 

These also  cover the costs of personnel  covered by the Staff  Regulations  and other  staff, 
studies,  meetings  of  experts,  conferences  and congresses,  information  and publications, 
administrative,  technical  and operating  costs, and certain other internal  infrastructure  and 
operating costs for attainment of the objective of the activity  of which they are an integral 
part. 

20 

*>&<!*_ 

7. 

FINANCIAL  IMPACT 

7.1  Method  of calculating  total cost of operation 

Staff  costs:  ECU  19.34  million  (2.60%  of  the  ECU  744  million  deemed 
necessary). 

The  1994  staff  levels  will  be  maintained,  i.e.  39  posts.  These  posts  break  down  as 
follows:  22A  +  5B  +  12C. 

New posts will be added progressively  in  1995,  1996 and  1997, depending on the budget 
available each year.  These new posts are warranted by the configuration of the programme 
which  includes  new  areas  of  activity  not  covered  by  the  third  framework  programme: 
extension  of  the  use  of  large  research  installations  to  new  technologies,  strategy  of 
publishing and disseminating the scientific results to ensure that "free"  research is properly 
utilized,  increased  participation  by industry  in the contractual activities. 

It  is  important  to  note  that  the  staff  working  on  this  specific  programme  will  also  be 
responsible for  the scientific  monitoring and for monitoring the contracts for the activities 
carried  out  as  part  of  the programme  under  the third  framework  programme  and  other 
earlier activities. 

* 

* 

Administrative  costs,  including  personnel  not  covered  by  the  staff  regulations: 
ECU 21.58 million  (2.90%  of the ECU 744 million deemed necessary). 

Operating  costs:  ECU 703.08  million  (94.50%  of the ECU  744 million  deemed 
necessary),  including  the  cost  of  accompanying  measures,  evaluations  and 
concertation  activities. 

7.2 

Itemized  breakdown  of cost (in  million ecu and %) 

Networks of laboratories 
Large installations 
Training 
Accompanying  measures 

297.60-372.00 
96.72-126.48 
223.20-297.60 
29.76-44.64 

40-50% 
13-17% 
30-40% 
4-6% 

TOTAL 

744.00 

100% (1) 

(1) 

Including  ECU  19.34  million  (2.60%)  for  staff  costs  and  ECU  21.58  million 
(2.90%)  for  administrative costs. 

21 

s~Yo 

7.3 

Indicative schedule of  appropriations 

The schedule  will  be  established  on  the  basis  of  the  overall  amounts  for  the  fourth  framework 
programme  adopted  indicatively  for  the periods  1995-96 and  1997-98 at the conciliation  meeting 
on 21 March  1994. The RTD appropriations for  each financial  year will be proposed  and adopted 
each year on the basis of the resources available in the context of the financial  perspective. 

Commitment 
appropriations 

Payment  appropriations 

1995 

1996 

1997 

1998 
et seq. 

TOTAL 

1995 
1996 
1997 
1988 

114.55 
279.00  ' 
175.00 
175.45 

24.50 

32.43 
107.30 

31.43 
66.73 
64.80 

26.19 
104.97 
110.20 
175.45 

114.55 
279.00 
175.00 
175.45 

TOTAL 

744.00 

24.50 

139.73 

162.96 

416.81 

744.00 

8.  WHAT ANTI-FRAUD  MEASURES  ARE PLANNED? 

Numerous  administrative  and  financial  controls  have  been  introduced  at  every  stage  of  the 
procedure for  awarding  and implementing  research  contracts.  These include: 

Prior to conclusion of the contract: 

shortlisting of the proposals on the basis of their scientific  merit and of how realistic the 
research  costs are, considering  the nature, duration and potential  impact of thé project; 

analysis of the financial  data submitted  by the proposers  in the negotiation  form. 

After signature of the  contract: 

examination  of the statements of expenditure before payment at various levels  (financial 
controller  and scientific  manager); 
on-the-spot  inspections  of  the  supporting  documents  to  detect  any  errors  or  other 
irregularities.  To tighten up these controls, the Commission has set up a central audit unit 
which  is  responsible  for  all  the  inspections.  The  inspections  are carried  out  either by 
members of the audit unit or, under their supervision, by firms of auditors with which the 
Commission  has concluded  framework  contracts. 

9. 

ELEMENTS  OF COST-EFFECTIVENESS  ANALYSIS 

9.1 

Specific  and quantifiable  objectives:  target population 

Activity  I:  Creation  and  development  of  research networks for  scientific  and technical 
cooperation 

To  promote  the  development  of  transnational  networks  between  research  teams  with 
complementary  capabilities.  The  main  aim  is  to establish  transnational  cooperation  in all 
areas  of  scientific  research  in  order  to achieve  high  quality. 

22 

&1 

Activity  II:  Access  of researchers  to  large  scientific  and  technical  installations 

To make better use of large installations,  that are unique or rare in the Community,  which 
are  important  to  the  performance  of  high-quality  research,  necessitate  substantial 
investment  and  involve  relatively  high  running  costs.  The  Community  measure  will 
provide  advanced  training  opportunities  for  European  researchers  by  enabling  them  to 
learn  how  to  use  such  installations  and to  exploit  what  they  have  to  offer  in  their  own 
research. 

Activity  III:  Establishment  of a  Community  system  of training  through research 

Training and mobility  of young European researchers  (at doctoral  and post-doctoral  level) 
who  will  thus  have  an  opportunity  to  acquire,  in  a  laboratory  of  their  choice,  greater 
knowledge  and greater  competence  in their  scientific  area. 

With regard to cohesion,  measures  will be taken to constitute  industry/university  training 
networks  for  researchers  from  the  less-favoured  regions,  to  encourage  the  return  of 
scientists  from  less-favoured  regions  to  their  place  of  origin  and  to  enable  leading 
scientists from the  industrialized  regions  to work for  lengthy  periods  in research  centres 
in less-favoured  regions. 

This activity  also has the aim of coordinating  the training activities  set out in the  specific 
programmes  of  activities  I,  II and III of the  fourth  framework  programme  and to  study 
the  conditions  in Member  States  of  Community  research  fellows. 

Accompanying  measures 

These  measures  must  contribute  to  the  efficiency  of  the  training  and mobility  activities 
and  to  the  proper  dissemination  and  utilization  of  the  results  of  the  programme  and  of 
scientific  research  in the  Community.  They  will  include  in particular: 

the development  of a system  of Euroconferences,  the main beneficiaries  of which 
will  be  young  researchers; 
the organization  of practical  courses  for young researchers  to help them learn new 
techniques  and methods  that are little  used  in the  Community; 
the  award  of  prizes  to young  scientists; 
the publication  of  brochures,  summary  articles  and evaluation  reports. 

9.2  Grounds  for  the  operation 

The optimum use of human resources  is a basic  parameter of all socio-economic  activity. 
Although  Europe  has  significant  human  capital  in the  field  of  research,  its utilization  is 
often  cumbersome  and  slowed  down  by the  differences  that still  exist  between  Member 
States  and  between  the  different  disciplines.  The  development  of  human  resources  by 
means  of  training  through  research,  and  their  better  utilization  through  transnational 
mobility  and cooperation  are essential  to  strengthen  the very  base  of  European  industry 
and its  international  competitiveness.  What  is essentially  involved  is: 

to  maintain  and 
increase,  through  mobility  and  pooling  of  efforts  and 
infrastructures,  the  competitiveness  of  leading  laboratories  in  the  many  fields  of 
scientific  research where the complex,  multi-disciplinary  character of the research, 

23 

sft 

the  high  investment  costs  and  the  speed  of  evolution  call  for  transnational 
cooperation; 

to  promote,  through  mobilizing  the  best  laboratories  in the  Community,  training 
for  young  European  researchers  that  is  well  adapted  to  their  needs  and  to  the 
requirements  of  scientific  and industrial  circles; 

to  increase  economic  and social  cohesion  in the Community  through the creation 
of  transnational  and  trans-regional  teams,  through  training  and  through  the 
reintegration  of  researchers  in the  less-favoured  regions. 

Community  financing 

As  the  objective  of  the  programme  is  to  promote  exchanges  and  integration  of  efforts 
between  existing  structures,  Community  financing  will  be entirely  devoted  to bringing  a 
transnational  dimension  to the training  and research  activities. 

It therefore  concerns  support  financing  which  should  cover  the  training  of around  5  000 
researchers  per  year  (cost  of  training  one  researcher  +/-  ECU  50  000  per  year),  the 
intégration  of  1800  research  teams  in  250  networks  (cost  of  financing  each  of  the 
laboratories  participating  in a network  activity  +/-  ECU  70  000  per year)  and the access 
of  800  user  groups  to  50  large installations. 

Main  factors  of  uncertainty  which  could  affect  the  specific  results  of  the  operation 

the  conditions  of 
Factors  inherent  in  the  way  the  programme  is  implemented: 
competitiveness  of modern research  are such that the research  has to be planned, 
executed,  adapted  and utilized  extremely  rapidly  and with  great  flexibility; 

Factors  inherent  in  the  nature  of  the  programme:  unlike  the  other  Community 
programmes,  the  Training  and  Mobility  activity  provides  for  a  "bottom-up" 
strategy  which  enables  researchers  to  propose  spontaneously  the  projects  they 
consider  to be the most interesting  and most innovative.  Such an approach has the 
advantage  of using the imagination  and creativity  of scientists  who are the starting 
point  for  the  research  effort.  Its  weakness  is  the  impossibility  of  making  any 
accurate  prediction  of  scientific  or technological  breakthroughs. 

Nevertheless,  on the  basis  of  experience  with the  current  "Human  capital  and  mobility' 
programme  which  also  adopts  a  bottom-up  approach,  it  can  be  expected  that  the 
breakthroughs  will  be particularly  numerous  and important. 

9.3  Monitoring  and evaluation  of the operation 

The activity  will  be monitored  by the DGs responsible  for  implementation  of the 
programme,  with the assistance  of  a Regulatory  Committee. 

Studies will be conducted from the outset of the programme  to measure  its impact 
and the  level  of  activity  deployed. 

24 

S?2> 

Although  the  programme  in  large  part  covers  very  long-term  basic  research, 
several  performance  indicators  will  be used,  in particular,  the  number  of  citations 
of  scientific  articles  resulting  from  the  programme,  patent  applications  and 
participation  by  industry  in utilizing  the results. 

Audits  will  be carried  out whenever  necessary. 

In order to  contribute  to the overall  assessment  of  Community  activities  provided  for  in 
Article  4(2)  of the Decision  adopting  the fourth framework  programme,  the  Commission 
shall,  in  due  course,  have  an assessment  made  by  independent  experts  of  the  activities 
carried  out  in  the  field  directly  covered  by  this  programme,  and  of  their  management 
during  the  five  years  preceding  the  assessment. 

At  the  end  of  this  programme,  the  Commission  shall  instruct  independent  experts  to 
conduct  a final evaluation  of the results  achieved  compared  with the objectives  set out in 
Annex  III  to  the  framework  programme  and  Annex  I  to  the  Decision  adopting  this 
programme.  The final  evaluation  report shall be forwarded  to the Council,  the European 
Parliament  and the  Economic  and Social  Committee. 

Assessment  of  the  results  obtained  from  the activities  in progress 

During  the  first  two  years  of  the  current  programme,  560  training  contracts  have  been 
awarded,  660  networks  have  been  set up, 41  large  installations  have  been financed and 
148  Euroconferences  have  been  organized.  A  report detailing  the  activities  in  1992 has 
been  published  and widely  distributed. 

The  first  scientific  results  are expected  in  1994.  They  will  be published  in the  scientific 
press  and  will  be  the  subject  of  a review  of  activities  which  will  probably  be  published 
by the  end of  1994. 

The mid-term  evaluation  of the programme  began in November  1993  and the report will 
be available  in about  May  1994. 

The  very  high  number  of  young  researchers  and laboratories  who  replied  to the  various 
calls  for  proposals  launched  by  the  Commission's  departments,  and  the  high  quality  of 
the  projects  received,  permitted  strict,  effective  selection  of  the  proposals  that 
corresponded  most closely  to the Community's  evaluation  criteria (subsidiarity,  scientific 
and technological  value, cohesion).  The improvements  scheduled  for the next programme 
on  "Training  and Mobility"  should  permit: 

more  flexible,  faster  evaluation  and selection  procedures 
a higher  level  of  financing  per year and per laboratory  for the  "network"  projects 
(+/-ECU  70  000  per year and laboratory) 
institutional 
simpler  administrative  arrangements 
fellowships,  which  proved  particularly  cumbersome  to  arrange  and  highly 
ill-adapted  to the  needs  of  modern research). 

(e.g.  discontinuation  of 

Medrano/23.3.94 

25 

^ry 

Proposal for a 

COUNCIL  DECISION 

94/0095(CNS) 

adopting a specific research and development  programme 
to be carried out for the European  Community, 
-  on the one hand, by means of direct action (JRC), 
-  and on the other, by means of activities within the  framework 
of a competitive approach  and intended for scientific  and  technical 
support  to Community  policies 

(1995-98) 

(presented  by the Commission) 

ryv 

Proposal 

for a COUNCIL DECISION 

adopting a specific research and development programme 
to be carried out for the European Community, 

-  on the one hand, by means of direct action (JRC), 

-  and on the other, by means of activities within 
the framework of a competitive approach and 
intended for scientific and technical support 
to Community policies 

(1995-98) 

(.../.../EC) 

THE COUNCIL OF THE EUROPEAN  UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in 
particular Article  130 I, paragraph (4) thereof, 

Having regard to the proposal from the Commission U), 

Having regard to the opinion of the European Parliament (2), 

Having regard to the opinion of the Economic and Social Committee (3), 

Whereas,  by  Decision .../.../EC  <4>,  the  Council  and  the  European  Parliament 
adopted  a  fourth  framework  programme  of Community  activities  in  the  field  of 
research, technological development and demonstration (hereinafter  referred to as 
"RTD") for the  1994-98 period, defining  the activities to be carried out  by means 
of direct  action, on  the  one  hand,  and, on  the  other  hand,  by  means  of  activities 
within  the  framework  of a competitive  approach  and  intended  for  scientific  and 
technical  support  to Community  policies;  whereas  this  Decision  is  taken  in  the 
light of the grounds set out in the preamble to that Decision; 

DOJNo 
2) OJNo 
3) OJNo 
4) OJNo 

of. 
of. 
of. 
of. 

p 
p 
p 
p 

ST*6 

2-

Whereas  Article  130  I,  paragraph  (3)  of  the  Treaty  provides  that  the  framework 
programme  is  to be  implemented  through  specific  programmes  developed  within 
each  of  the  activities  of  which  it  is  composed;  whereas  each  specific  programme 
lays  down  the  detailed  rules  for  its  implementation,  specifies  its  duration  and 
provides for the funds deemed  necessary; 

Whereas  the  RTD activities carried out by means of direct action  are conducted  by 
the  JRC;  whereas  these  activities  consist  of  institutional  research  and  scientific 
and technical  support activities; 

Whereas  the Commission  may undertake  activities  for the  scientific  and  technical 
support of Community  policies which come within  the  framework  of a  competitive 
approach; 

Whereas  it  is  necessary,  in  accordance  with  Article  130  1,  paragraph  3  of  the 
Treaty to estimate  the funds required for the implementation  of the direct action  to 
be  conducted  through  this  specific  programme;  whereas  the  final  amounts  are 
adopted by the budgetary  authority; 

Whereas  Decision  .../.../EC  provides  that  the  maximum  overall  amount  for  the 
framework  programme  is to be reviewed  no later than 30 June  1996 with  a view  to 
its  being  increased;  whereas,  as  a  result  of  that  review,  the  amount  deemed 
necessary  for implementation  of this programme might  increase; 

Whereas  it  is  desirable,  in  the  context  of  this  programme,  to  have  an  evaluation 
carried out of the social  and economic impact and of any technological  risks; 

Whereas  there  should  be continual  and  systematic  monitoring  of  progress  on  the 
implementation  of  this  programme  with  a  view  to  adapting  it,  if  necessary,  to 
scientific  and technological  developments; 

Whereas  the  content  of  the  fourth  framework  programme  for  Community  RTD 
activities  has  been  defined  in  accordance  witn  the  principle  of  subsidiarity; 
whereas  this specific  programme  defines  the  content of the  activities  to be  carried 
out  in  accordance  with  that  principle  by  way  of  direct  actions  and  and  activities 
within  the  framework  of  a  competitive  approach  and  intended  for  scientific  and 
technical  support to Community  policies; 

Whereas  Decision  .../.../EC  provides  that  Community  action  is  justified 
if, 
inter alia,  the  research  contributes  to  strengthening  the  economic  and  social 
cohesion  of the Community  and to promoting its harmonious overall  development, 
while  complying  with  the  objective  of  scientific  and  technical  quality;  wnereas 
this programme  is deemed  to contribute to the attainment of those  objectives; 

ë  ë  # 

$n 

Whereas  the  JRC  is  called  upon  to  contribute  to  the  implementation  of  the 
framework  programme  through  RTD  activities  for  which  it  has  special,  if  not 
unique, capabilities and installations  and by providing the scientific  and  technical 
support needed for the formulation  and implementation of Community policies and 
the tasks assigned  to the Commission  under the Treaty  requiring  the  impartiality 
of the Centre;  whereas that contribution should be an integral  part of a  long-term 
strategy  which  will  lead  to  the  JRC  playing  a  significant  role  in  the  field  of 
European scientific  cooperation; 

Whereas, as part of the direct action, the  research  activities  must  be carried  out  in 
such  a  way  as  to  ensure  their  complementarity  with  the  corresponding  indirect 
action; 

Whereas,  as  part  of  the  direct  action,  the  scientific  and  technical  activities  to 
support  Community  policies  should  remain  consistent  with  the  requirements  of 
these policies for the duration of the implementation  of this  programme; 

Whereas  the  JRC  may  also  take  part  in  the  indirect  action  carried  out  under  the 
other specific  programmes  in  the  same  way  as  third  parties  situated  in  a  Member 
State or an associated  State; 

Whereas  the JRC may  also  take  part, on a competitive  basis, in  any  other  activity 
implemented  by the Community  and carry out research on behalf of third parties; 

Whereas exploratory  research  should  be encouraged; 

Whereas  the  JRC  may  contribute  to  the  alignment  of  national,  Community  and 
European  research  activities,  including  EUREKA;  whereas,  closely  involved  in 
the  formulation  and  implementation  of  Community  policies,  it  may,  in  the 
scientific  and  technical  sectors  in  which  it  has  expertise,  play  a  leading  role,  be  a 
focal  point  for  networks  involving  public  and  private  laboratories  in  the  Member 
States  and  serve  as  a centre  of gravity  for European  research  consortia  in  specific 
fields; 

Whereas  the  JRC  may  contribute  to  the  implementation  of  such  activities,  in 
particular  in  the  fields  of  information  and  communications  technologies, 
industrial  technologies,  the  environment,  the  life  sciences  and  technologies, 
energy,  targeted  socio-economic  research, the dissemination  and  utilization  of  the 
results of the  research  activities, and technology  transfer; 

Whereas it is necessary  to continue  widening the scientific  and technological  bases 
of  European  industry  in  order  to  encourage  its  international  competitiveness; 
whereas  it  is  therefore  necessary  to  promote  the  prenormative  research  activities 
considered  to be necessary  under other Community  policies; 

s  ft 

Whereas  the  JRC  may  contribute,  through  its  activities  in  respect  of  consumer 
protection  and  the  environment,  to  meeting  social  needs  and  requirements 
concerning the quality of life; 

Whereas  Article  130  F  of  the  Treaty  provides  that  it  is  necessary  to  promote  the 
research  activities  needed  for  the  preparation  and  implementation  of  other 
Community policies;  whereas the JRC is called  upon to contribute  to this  through 
its institutional  support activities for which its impartiality is  necessary; 

Whereas  it  is  necessary  to  strengthen  the  economic  and  social  cohesion  of  the 
Community  and  to promote  its harmonious overall  development,  while  complying 
with  the  objective  of  scientific  and  technical  excellence;  whereas  it  is  also 
necessary  to strengthen  the  synergy  between  research  activities  and  the  action  of 
the Community  itself through  structural  funds;  whereas the  activities  carried  out 
by the JRC should  help to achieve these objectives; 

Whereas  the  JRC  should  be  better  integrated  into  networks  or  consortia  with 
partners  in  ail  the  Member  States,  in  both  its  institutional  and  its  competitive 
activities;  whereas the JRC should, in particular, play a leading role in  improving 
links  between  research  laboratories  and  institutions  in  all  regions  of  the 
Community; 

Whereas  account should  be taken  of the fact that the  EFTA  Member  States  which 
are  parties  to  the  EEA  Agreement  may  participate  fully  in  this  specific 
programme; 

Whereas,  in  the  implementation  of  this  programme,  international  cooperation 
activities  may,  in  accordance  with  Article  130  M of  the  Treaty,  also  prove  to  be 
useful  with  other third countries and international  organizations; 

Whereas,  with  this  in  mind,  the  JRC  should  establish  preferential  links  with 
public  and  private  bodies  and  undertakings  established  in  third  countries,  in 
particular European  third countries; 

Whereas  the  implementation  of  this  programme  also  includes  a c t i v i t i es 
concerning  the  dissemination  and  utilization  of RTD  results,  in  particular  for  the 
use  of  small  and  medium-sized  enterprises,  and  activities  to  encourage  the 
mobility  and  training of scientists; 

Whereas there should be an independent evaluation,  in good time, of progress  with 
the  institutional  research  activities  in  order  to  provide  the  background 
information  required  for  determination  of  the  objectives  of  the  fifth  RTD 
framework  programme;  whereas,  lastly,  it is necessary, under that programme,  to 
carry  out a final  evaluation  of the  results obtained  in the  light of the  objectives  set 
out in this  Decision; 

W 

-5 

Whereas  the  Board  of  Governors  of  the  JRC  plays  an  important  role  in  the 
operation of the Centre and in the implementation of its activities. 

#  #  # 

Whereas,  within  the  framework  of  the  support  activities  needed  for  the 
implementation  of other  Community  policies,  use  will  be  made,  on  a  competitive 
basis, of bodies situated  in the Member States or the JRC; 

Whereas  the  objective  of  these  activities  is  to  meet  requirements  which  arise 
during  the  implementation  of  Community  policies;  whereas,  therefore,  the 
Commission  must be able  to take  the action needed to adjust or supplement  them; 

Whereas,  to  this  end,  detailed  rules  concerning  responsibility  and  the  grant  of 
funds provided for these activities must be laid down in the light of the  Community 
policy  concerned. 

Whereas  the  Scientific  and  Technical  Research  Committee  (CREST)  has  been 
consulted, 

#  #  # 

HAS ADOFrED THIS  DECISION: 

Article 1 

A  specific  programme  of  research  and  technological  development  activities  to  be 
carried  out 

on the one  hand, by means of direct action  and 
on  the  other,  by  means  of  activities  suited  to  a  competitive  approach  and 
intended  for scientific  and technical  support to Community  policies 

is hereby adopted  for the period from  1 January  1995 to 31 December  1998. 

Article  2 

Section  I -  Direct  action 

The  Commission,  assisted  by  the  Board  of  Governors  of  the  JRC  (hereinafter 
referred  to  as  the  "Board  of  Governors"),  shall  be  responsible  for  the 
implementation  of the direct action  and, to this end, shall  call  upon  the  services  of 
the JRC. 

S*  c 

Article 3 

1.  The  direct  action  consists  of  institutional  research  activities  and 

institutional scientific and technical support activities; 

2.  The  institutional  research  activities,  as defined  in  Annex IA,  are  those  for 
which the JRC has special, if not unique, capabilities, and which  contribute 
to the RTD policy of the Union.  They shall be carried out in such a way as to 
ensure  their  complementarity  with  the  corresponding  indirect  action 
contained  in  the  other  specific  programmes  of  the  fourth  framework 
programme. 

3.  The  institutional  scientific  and  technical  support  activities,  as  defined  in 
Annex IB, are the activities needed for the formulation  and  implementation 
of other Community policies and the tasks assigned to the Commission under 
the Treaty and requiring the impartiality of the JRC. 

Article 4 

1.  The  JRC  shall  participate  in  the  implementation  of  Community  action  on 
research,  technological  development  and  demonstration  in  the  fields  of 
information  and  communications  technology,  industrial  technologies,  the 
environment,  the  life  sciences and technologies,  energy  and  targeted  socio 
economic research and through its exploratory research activities. 

2. 

3. 

It shall  also  participate  in  the implementation  of Community  action  on  the 
dissemination  and  utilization  of  the  results  of  Community  research, 
technological development and demonstration activities. 

It  shall  also  contribute  to  the  implementation  of  Community  research, 
technological  development  and  demonstration  activities  through  its 
participation  in  the  indirect  action  implemented  under  the  other  specific 
programmes in cooperation  with one or more partners situated  in a Member 
State. 

4.  The JRC shall  participate in the implementation of Community research and 
technological  development  and  demonstration  activities  through  its 
involvement  in  networks  or  consortia  with  partners  in  all  of  the  Member 
States.  It  shall  endeavour,  in  particular,  to  improve  links  between  the 
research laboratories and institutions in all regions of the Community. 

^A 

Article  5 

1. 

2. 

3. 

4. 

The  amount  deemed  necessary  for the  implementation  of  the  JRC  activities 
under this programme  is 600 million ECU. 

An indicative  breakdown of the amount is given  in Annex  H. 

The  amount  deemed  necessary,  as  indicated  above,  for  implementing  the 
programme  may  increase  pursuant  to  and  in  conformity  with  the  Decision 
referred  to in Article  1, paragraph 3 of Decision  .../.../EC. 

The  budgetary  authority  shall  determine  the  appropriations  available  for 
each  financial  year  in  compliance  with  the  scientific  and  technological 
priorities laid down  by the fourth  framework  programme. 

Article  6 

The detailed  rules for implementing the direct action are defined  in Annex HI. 

Article 7 

1. 

2. 

3. 

The  Commission,  assisted  by  the  Board  of Governors,  shall  continually  and 
systematically  monitor progress on the implementation  of the direct action  in 
relation  to  the  objectives  set  out  in  Annex I.  It  shall  assess  in  particular 
whether the objectives, priorities and  financial  resources are still  appropriate 
to the  changing  situation.  It shall,  if appropriate,  submit  proposals  to  adapt 
or supplement  these  programmes depending on the  results of the  monitoring 
process  and,  with  regard  to  the  activities  for  the  scientific  and  technical 
support of Community  policies, take the necessary action  to ensure  that  these 
are consistent  with  the requirements of these  policies. 

The  Commission  shall  each  year  before  15 April  submit  to  the  European 
Parliament,  the Council  and  the  Economic  and Social  Committee  a report on 
the implementation  of this Decision.  This report shall  be accompanied  by  the 
observations of the Board of Governors.  The latter may  also submit,  through 
the Commission,  to the  European  Parliament,  the Council  and  the  Economic 
and  Social  Committee  a separate  report on any  aspect of the  implementation 
of this  Decision. 

In order  to contribute  to the  overall  evaluation  of  the  Community  activities 
provided  for  in  Article  4.2  of  the  Decision  adopting  the 
framework 
programme,  the Commission, after  consulting  the  Board of Governors,  shall, 
in  good  time,  instruct  independent  experts  to  conduct  an  evaluation  of  the 
research  activities  and  their  management  conducted  by  the  JRC  under  this 
programme. 

ss^ 

- 8-

4.  At the end of this programme, the Commission, after consulting the Board of 
Governors, shall instruct independent experts to conduct a  finalevaluation  of 
the results achieved compared with the objectives set out in Annex 01 to the 
framework  programme  and Annex I to this Decision.  The  final  evaluation 
report shall  be forwarded to the Council, the  European  Parliament  and  the 
Economic and Social Committee. 

Article 8 

The  Commission  shall  ensure, in  cooperation  with  the  Board  of  Governors,  that 
there  is  systematic  consultation  with  the  programme  committees  concerned  to 
ensure close coordination  between the indirect action, the corresponding  national 
activities  and  the  institutional  research  activities of the JRC in  the  same  fields 
and to guarantee a coherent approach. 

Article 9 

1.  The Commission  is authorized, in accordance with Article 228, paragraph 1 
of the Treaty, to negotiate international  agreements with third countries, in 
particular European third countries, not covered by the EEA Agreement, and 
with  international  organizations  situated  in  Europe,  with  a  view  to 
associating them with the JRC activities. 

2.  The Commission, assisted by the Board of Governors may, on the basis of the 
criterion of mutual  benefit,  request the JRC to execute  projects with  bodies 
and  undertakings  established  in  third  countries,  in  particular  European 
third countries, in the context of the specific  programmes carried out by the 
JRC. 

Section  11 .  Activities within the framework of a  competitive 
approach  and  intended  for scientific  and technical  support 
to Community  policies 

Article 10 

The  Commission  may  carry  out  scientific  and  technical  support  for  Community 
policies with the aid of activities within the framework of a competitive approach. 

S&-> 

(M) 

Article  11 

The scientific  and technical  support activities defined in Annex IV are intended for 
the implementation  of other Community policies.  These activities come within  the 
framework  of a competitive  approach. 

Article  12 

1. 

2. 

3. 

4. 

The  amount  deemed  necessary  for  the  implementation  of  the  activities 
covered by this section  is 128 million  ECU. 

An indicative  breakdown  of the amount between  the  first  and  third  activities 
under the framework  programme is given in Annex  V. 

The  amount  deemed  necessary,  as  indicated  above,  for  implementing  the 
programme  may  increase  pursuant  to  and  in  conformity  with  the  Decision 
referred to in Article  1, paragraph 3 of Decision  .../.../EC. 

The  budgetary  authority  shall  determine  the  appropriations  available  for 
each  financial  year  in  compliance  with  the  scientific  and  technological 

Sriorities  laid  down  by  the  fourth  framework  programme  and  described  in 

etail in this  programme. 

Article  13 

The  detailed  rules  for  implementing  the  competitive  support  activities  covered  by 
the present Section  are defined  in Annex VI. 

Article  14 

The Commission  shall  continuously  and systematically  monitor progress  with  this 
section  of  the  programme  in  relation  to  the  requirements  of  Community  policies. 
It  shall  in  particular  assess  whether  the  objectives,  priorities  and 
financial 
resources are  still  appropriate.  It shall,  where  appropriate, take  action  to adapt or 
supplement these  activities depending on the results of this monitoring  process. 

Article  15 

This  Decision  is addressed  to the  Member States. 

Done at 

on 

For  the  Council 

$%r 

- 1 0-

Annex  I 

Scientific  and  technological  objectives  and  content 

T h is  specific  p r o g r a m me  fully  reflects  t he  broad  lines  of  t he 
programme, applies the selection criteria  and spells out the  objectives. 

framework 

Paragraphs  IC,  2B,  3A,  3B,  4C,  5  and  7A  of  Annex  III  (first  activity)  of  the 
framework  programme  are the  basis of the objectives of this  programme. 

The  Joint  Research  Centre  (JRC)  will  conduct  strategic  and  applied  research.  It 
will  therefore  be  an  integral  part  of  European  science  and  technology.  The  JRC 
will  also  contribute  to  the  establishment  of  the  scientific  and  technical  bases 
needed  for the  formulation  and  implementation  of various Community  policies. 

In  line  with  the  priorities  defined  in  the  White  Paper  "Growth,  Competitivity, 
Employment"  in  the  research  field1  the  scientific  and  technical  activities  carried 
out  by  the  J RC  should  meet  the  needs  of  t he  C o m m u n i ty  as  a  whole,  its 
institutions  and  Member States  with  the objectives  of: 

helping  to  strengthen  the  scientific  and  technological  basis  of  E u r o p e an 
i n d u s t ry  a nd 
i n t e r n a t i o n al 
competitiveness; 

t he  d e v e l o p m e nt  of  i ts 

to  e n c o u r a ge 

t he 

p r o v i d i ng 
t he 
implementation  of  Community  policies  and  the  t a s ks  which  tne  Treaty 
assigns  to the  Commission; 

i n d e p e n d e nt  scientific  e x p e r t i se  n e c e s s a ry  for 

providing  scientific  and  technical  services  to  Community  institutions  and 
making  JRC  capabilities  and  scientific  and  technical  installations  available 
to public and  private  bodies; 

contributing  to the  improvement  of public safety  aspects of new  technologies; 

contributing  to  the  improvement  of  environmental  impact  assessment  and 
protection; 

contributing  to  the  reduction  of  scientific  and  technological  disparities 
between  Member  States. 

The  European  dimension  of  its  research  must  remain  one  of  the  fundamental 
strengths  of  the  JRC.  Its  activity  should  be  characterized  by  a  multidisciplinary 
approach  based  on  the  broad  span  of  its  capabilities.  This  multidisciplinarity  is 
reflected  in  the  choice of subjects covered  by its institutes,  thus  ensuring  its  ability 
to meet  new challenges as they  arise. 

sgs-

- 1 1-

Thanks  to  its  capabilities  and  its  involvement  in  the  formulation  and 
implementation  of Community  policies, the JRC will contribute  to the  integration 
of  national,  Community  and  European  activities.  Thus  it  will  participate  in 
networks  of  public  and  private  laboratories  in  the  Member  States  or  European 
research  consortia,  and  may  be  the  focal  point  of  such  networks  in  its  areas  of 
expertise.  It will  furthermore  participate in relevant EUREKA  projects. 

This  large  exposure  should  not,  however,  lead  to  an  excessive  dispersion  of  the 
activities  undertaken.  Without  ignoring  the  expectations  of  its  customers,  the 
Centre  and  its  management  must  have  clear  views  on  the  proper  scientific  and 
technical  policy  for  the JRC  and  be able  to maintain  a balance  in  order to  ensure 
that  the  activities  and  contracts  which  are  accepted  can  be  executed  at  all  times 
with  the requisite  level  of competence, both qualitatively  and  quantitatively. 

Against  this  background,  it  should  also  be  pointed  out  that  some  activities  are 
horizontal:  those  concerning environmental  protection may  appear in  fields  other 
than  that  headed  "Environment".  The  same  applies,  for  example,  to  activities 
concerning  the working  environment. 

The work  to be carried out by the JRC falls into two categories: 

institutional  research  activities; 

institutional,  scientific  and  technical  activities  in  support  of  Community 
policies. 

A.  INSTITUTIONAL  RESEARCH  ACTIVITIES 

These  research,  technological  development and demonstration  activities  for  which 
the  JRC  has  special,  if  not  unique,  expertise  and  installations  in  the  Community 
will  contribute  to the Community  research  policy. 

• 

Industrial  technologies 

The  contribution  of  the  JRC  to  this  sector  is  aimed  at  improving  the 
competitiveness  of  European  industry,  conducted  in  close  co-ordination  with  the 
corresponding  shared  cost  action  programmes. 
It  will  focus  on  prenormative 
research  which,  save  exceptions,  will  be  undertaken  within  the  framework  of 
networks  of  European  bodies  with  interests  and  capabilities  in  this  type  of 
research  and  in  association  with  standards  organizations,  in  particular  the 
European  Committee  for  Standardization  (CEN).  This  will  guarantee  that  the 
overall  requirements of industry  are taken  into account from the  start. 

Sff6 

12-

Line  4:  Industrial  technologies and  materials  technologies 

Research  into  materials  will  be  directed  mainly  at  the  following  sectors,  which 
have a prenormative  dimension  and good potential as enabling technologies,  with 
an emphasis on clean technologies: 

ceramics,  metals  and  composite  materials:  process  development,  study  of 
interfaces  and  joints,  improvement  of  technological  p r o p e r t i e s, 
characterization  and  demonstration; 

surface  modification  and characterization  technology:  ion implantation  and 
laser beam, protective coating, non-destructive evaluation  methods; 

prenormative  research  leading  to  standards  on  material  recyclability, 
including  the  development  of a database  on  recyclable  materials  (ecological 
characteristics and estimation of useful  life). 

^ 

This  research  is  aimed  at  acquiring,  in  close  cooperation  with  the  national 
laboratories  concerned,  the  scientific  knowledge  necessary  for  these  materials  to 
be used industrially, and to provide the standards bodies with  knowledge which  is 
essential for standardization  in this field. 

Line 5:  Measurements  and  testing 

These activities are directly related to standardization  and include: 

(a)  Prenormative  research  on  reference  materials  and  prenormative  and 
normative  research  on  reference  measurements,  in  particular  in  the 
following sectors: 

preparation,  characterization  and  certification  of  h i g h - q u a l i ty 
reference  materials.  International  intercomparison  exercises  will  be 
used  to  ensure  adequate  quality  assurance  and  to  facilitate 
harmonization; 

establishment  of  a  common  scientific  basis  for  the  chemical  reference 
measurements; 

measurements  and  evaluation  of  basic  data,  improvement  of  their 
quality  and  accuracy  using  the  experimental  installations  available 
and  by  making  use  of  European  and  international  collaboration,  in 
particular through  networks. 

s§f 

13 

The  distribution  of  reference  materials  produced  within  a  Community 
framework  is  assured  by  the  Institute  for  Reference  Materials  and 
Measurements  (IRMM).  The  results  achieved  by  IRMM  in  establishing 
extremely  accurate  measurements  have  won  it  recognition  as  a  reference 
centre.  Intercalibration  campaigns  conducted  by  the  IRMM  among  the 
network  of all  interested  laboratories  in  the  Community  will  provide  each 
laboratory with an impartial and reliable evaluation of the quality of its own 
measurements.  This  activity  will  be  extended  on  request  to  any  third 
country laboratory, on payment of a fair fee. 

(b)  Prenormative  research  in  the  field  of  structural  safety  and  reliability  to 
improve  the  design  specifications  of  civil  engineering  works  for  the 
development  of  standards  (EUROCODES),  in  particular,  by  taking  into 
account  earthquakes,  and  the  construction  technologies  of  European 
industry.  This research will continue to be conducted with the  organizations 
in  the  Member  States  which  have  been  grouped together  since  1989  in  the 
European  Asssociation  of  Structural  Mechanics  Laboratories.  In  order  to 
carry out destructive dynamic tests on civil engineering works and industrial 
structures  made  of steel,  concrete,  brickwork  and  composite  materials,  the 
JRC  has  constructed  the  ELSA  ("European  Laboratory  for  Structural 
Assessment") test wall and the LDTF ("Large Dynamic Test Facility"), which 
are unique in Europe. 
Furthermore,  the  development  of non-destructive  evaluation  techniques  to 
study the reliability and useful life of mechanical constructions will continue 
with  a view  to the development of component inspection  techniques and the 
harmonization  of qualification  procedures.  This research will continue to be 
conducted  in  the  framework  of the  laboratory  networks  which  have  existed 
for a number of years, which will be gradually enlarged in line with needs. 

• 

Environment 

Line 6:  Environment and climate 

The JRC will  contribute  to the promotion of environmental  protection  in close co 
operation  with  the  corresponding  shared cost action  programme  and  through  the 
following three sectors: 

t 

t 

t 

Natural environment, environmental  quality and global change 

Technologies for the environment 

Applied space techniques for environmental  monitoring and research 

s^-s 

-14-

The  European  Community  should  make  a  major  contribution  to  international 
research  into  global  change,  in  particular  by  participating  in  major  initiatives 
undertaken  by  the  scientific  community,  such  as  the  International  Geosphere 
Biosphere  Programme  (IGBP)  -  the  activities  of  the  E u r o p e an  IGAC 
(International  Global  Atmosphere  Chemistry)  Project  Office  (EIPO)  will  be 
continued  at  Ispra  for  IGBP-  the  World  Climate  Research  Programme  (WCRP) 
and the Human  Dimension  Programme (HDP). 

In this context, the Joint Research Centre will concentrate its research on: 

the  surveillance  and  study -  particularly  using  remote  sensing  technology  -
of biosphere-atmosphere  interactions and interactions between  the  processes 
taking  place  on  land  and  in  the  ocean  and  the  related  parameters  affecting 
climate  change; 

physical  and  chemical  analyses  of  atmospheric  processes  (in  particular  the 
study of sulphur in  the atmosphere), including the behaviour of biogenic  and 
anthropogenic  emissions.  This  should  include  both  measurements  and 
modelling; 

the surveillance  of global change by remote sensing through  the  development 
of advanced  earth observation  techniques.  This should  include  research  into 
the  development  of  techniques  for  using  space  data  obtained  from  satellite 
observation  for the surveillance of the marine environment and of changes  in 
the  terrestial  ecosystem.  A number of advanced  techniques  (including  those 
of  a  statistical  nature)  for  using  the  new  earth  observation  system  should 
also be developed. 

In addition  the JRC  will  make  a significant  contribution  to the  implementation  of 
the Centre for Earth  Observation  (CEO). 

The  scientific  community  and decision-makers need accurate  and consistent  earth 
observation  data  spanning  a long period.  To meet  this urgent  need, the  European 
Community  should  set  up  the  Centre  for  Earth  Observation  in  close  cooperation 
with  the  Member States and in association  with  the European  Space  Agency.  This 
project  is  designed  to  guarantee  users  continuous  and  long-term  availability  of 
consistent  data  relating  to  earth  observation.  It  will  set  up  a  decentralized 
network  of interested  European  bodies and thus bring users, the bodies  responsible 
for thematic  analysis and data-processing centres together  in  a single  forum.  The 
role  of  focal  point  of  such  a  network  should  be  performed  by  the  JRC,  while  the 
programmes  of  shared-cost  action  will  provide  support  for  the  national 
components of the  network. 

sty 

-15 

The  JRC  will  also  contribute  to  the  ENRICH  network  by  making  its  scientific 
research on global  change  available. 

The JRC  will  continue  to contribute  to improving  environmental  quality,  mainly 
through  research  on  air and  water quality  and  the evaluation  of  the  risks  arising 
from chemical  products and  waste.  Research into air quality  inside  buildings  will 
also  be  continued,  as  will  the  study  of  pollution  caused  by  metals  in  trace 
quantities. 

Research into innovative  technologies for environmental  protection  will aim to: 

improve  industrial  safety  and  environmental  management  by  providing 
industry,  research  bodies  and  the  public  authorities  with 
innovative 
methodologies  (in  particular  design  tools)  for  evaluation  of  the  safety  of 
chemical  installations; 

developing  mechanisms  for  the  control  of  chemical  reactions  which  might 
become  uncontrollable,  tools  for  predicting  the  dispersion  of  toxic  or 
flammable  products and the consequences of combustion  and  explosion. 

Line  11:  Non-nuclear  energy 

The  JRC  will  contribute  to  the  development  of  technologies  for  cleaner  and  more 
efficient  use  of  energy  through  prenormative  research,  with  the  emphasis  on 
environmental  aspects,  in  the  following  sectors and  in  close  co-operation  with  the 
corresponding shared cost action  programme: 

photovoltaic  energy:  the  activities  will  include  component  tests  and  studies 
on  the  design  and  control  of  large-capacity  systems.  The  research  will  be 
based  on  the  use  of the  EST1 ("European  Solar Testing  Installation")  of  the 
JRC  and  on  networks  with  partners  in  the  Member  States.  Basic  scientific 
research  into energy savings will  be continued; 

materials  for  clean  technologies:  research  will  cover  the  development  of 
materials  for  clean  technologies  such  as  long-lived  catalyst  supports  for 
emission  control,  nanoporous  ceramic  membrances  for  advanced  ceramic 
filters,  ceramic  alloys  and  composite  materials  for  high-temperature 
applications (turbines and heat exchangers). 

s^o 

16 

Line 13:  Targeted  socio-economic research 

The European Science and Technology Observatory (ESTO) of the JRC's Institute 
for Prospective  Technologies  will  provide  an  information  service  on  progress  in 
science  and  technology  and  ensure  surveillance  of  scientific  developments  and 
technological  innovation 

In  order  to  improve  communications  and  to  avoid  duplication  of  effort,  the 
Observatory will work in close co-operation with Eurostat and establish close links 
with  European  organizations  and  the  OECD,  but  also  with  ESA,  CERN, 
EUREKA,  etc.  Its  activities  will  be  conducted  in  close  co-operation  with  those 
foreseen under the heading for the corresponding shared cost action programme. 

It will act within the ETAN network, whose creation is foreseen  in the shared cost 
actions programme as the focal point within, on the one hand, a network consisting 
of various similar observatories in the Member States, and on the other, university 
and industrial experts responsible for evaluating the relevance, development and 
impact of scientific technological breakthroughs. 

In a Community  perspective,  it will contribute  by gathering information  for the 
regular  evaluation  of  the  state  of  RTD  in  Europe  and  comparing  it  with  the 
situation in other developed countries. 

The  aim  of  the  technological  watch  system  will  be  to  detect  new  scientific 
breakthroughs  and  technological  innovation  at an early  stage  and  to alert  those 
responsible  in  the  Community  to the  implications  and consequences,  notably  for 
technological research and for the industrial world. 

B. 

INSTITUTIONAL SCIENTIFIC AND TECHNICAL  SUPPORT 
ACTIVITIES 

These  activities  are  necessary  for  the  formulation  and  implementation  of 
Community policies and the tasks assigned to the Commission under the Treaty. 

The  following  description,  which  is  based  on  current  Community  policy 
requirements,  is ^iven for guidance only and may be modified  in accordance  with 
the relevant provisions of Article 7, paragraph 1. 

5*W 

- 1 7-

• 

Information  and  communications  technologies 

Line  3:  Information 

technologies 

The  JRC  will  make  its  contribution  to  this  field,  notably  in  contributing  to  the 
improvement  of  safety  and  systems  reliability.  This  will  include  safety-critical 
computer  systems,  computer  systems,  robots  and  s a f e t y - r e l e v a nt  c o m p u t er 
systems.  The main  prenormative  areas will cover, in particular, the dra wing-up of 
design  guidelines  to  ensure  that  safety  and  reliability  are  taken  into  account. 
Tools for the  analysis  and  validation  of the  safety  and  reliability  of systems  will  be 
developed. 

Furthermore,  the  JRC  will  make  a  contribution  in  the  area  of  high-performance 
computing  and  its  applications,  in  association  with  a  network  of national  centres, 
in  defining  methods  for  comparing  such  systems.  The  Centre  could  also  be  called 
on  to  become  a  conformity  testing  site  for  specialized  software  and  make  other 
contributions  in  the  information  technology  area,  such  as  the  development  of 
testing  methodologies,  and  contribute  to  the  organization  of  workshops  and 
training  activities. 

• 

E n v i r o n m e nt 

Line  6:  Environment  and  climate 

Research  in  this  area,  in  which  the  independence  and  impartiality  of the  JRC  play 
a  very  important  part,  will  focus  on  certain  well-structured  programmes  planned 
to run  for average-to-long periods.  These concern, in  particular: 

Research  on  air  quality  to  be  carried  out  by  the  Central  Laboratory  for  Air 
Pollution  (ERLAP),  which  is  intended  to  provide  the  scientific  basis  and 
scientific  and  technical  support  for  the  preparation  and  implementation  of 
Community  directives on  air quality.  Particular  attention  will  be  paid  to  the 
urban  environment  and  industrial  emissions.  The  implementation  of  the 
Community  directives  on  radioactivity  in  the  environment,  in  particular 
those  concerning  exchanges  of  information  between  the  Member  States 
under  normal  conditions  and  in  the  event  of  an  accident,  requires  scientific 
and  technical  support  which  is closely associated  with  this  research; 

The  evaluation  and  control  of  chemical  products  which,  in  view  of  the 
importance  of  the  chemical  industry  and  the  potential  impact  of  chemical 
products on  the environment,  call  in  particular  for an  impartial,  independent 
body.  The  scientific  and  technical  tasks needed  for the  implementation  of  the 
Community  legislation  in  this  area  will  be  carried  out  by  the  European 
the 
Chemicals  Bureau  (ECB),  as  described  in  the  communication  from 
Commission  to the  Council  and  to Parliament (OJ  No. C  1, p. 3 of  5.1.1993); 

SfL 

-18 

The continuation, also within this framework, of the work undertaken by the 
European  Centre  for  the  Validation  of Alternative  Methods  (ECVAM)  and 
described in the communication from the Commission  to the  Council  and to 
Parliament  (SEC(91)1794)  in  October 1991.  The  aim  of  ECVAM  is  to 
coordinate  the  validation  and  acceptance  of  "alternative"  methods  which 
may  reduce  or  abolish  laboratory  experiments  on  animals.  To  this  end, 
discussions  between  government,  companies,  scientists,  consumers  and 
animal protection associations are being conducted successfully thanks to the 
impartiality of the JRC; 

Community regulations require the development of methods of analysis to be 
applied  to consumer  goods and chemical  products and the  harmonization  of 
the existing national methods in the context of the internal  market in  these 
products.  The need to safeguard the transparency of the market in medicinal 
products  and  the  exchange  of  data  with  the  national  authorities  and  the 
European  Agency  for  the  Evaluation  of  Medicinal  Products  (Council 
Regulation  (EEC) of 23 September 1993) have led the Commission  to call on 
the  JRC  to  provide  integrated  information  and  communication  services 
utilizing the impartial, independent role it plays in the European network on 
Community pharmaceutical products (ECPHIN). 

Council  Regulation (EEC)  1210/90 of 7 March 1990  provides for the  support 
of the JRC for the European Environment Agency (EEA) as a priority for the 
following areas: 

• 

• 

• 

• 

the harmonization of environmental measurement methods; 

the intercalibration of instruments; 

the standardization of data formats; 

the  development  of  new  environmental  measurement  methods  and 
instruments. 

In addition, other tasks may be assigned to the JRC, in view of its experience, 
regarding  air  and  water  quality,  waste  management  and  land-based 
pollution as well as broad support for information technologies. 

Major  hazards,  biotechnological  risks,  the  safety  and  quality  control  of 
consumer products, environmental  impact studies as well  as safety  at work, 
for which  the JRC provides a support activity  for the  implementation  of the 
relevant Community Directives. 

$% 

- 1 9-

• 

Life  s c i e n c es  and  technologies 

Line  10:  Agriculture  and  fisheries  (including  agro-industry,  food  technologies, 
forestry,  fish  farming  and rural development): 

Research  and  development  on  new  technologies  using  remote  sensing  to 
improve  the  methods  of monitoring  the  Common  Agricultural  Policy  (CAP) 
will  include: 

(a) 

the  second  phase  (1995-98)  of  the  pilot  project  for  the  application  of 
remote sensing  to agricultural  statistics  (MARS-STAT): 

The  first  phase (1989-93) of MARS-STAT,  which  was the  subject of the 
Council  Decision  of 23 September  1988,  is now  completed.  As  planned, 
certain  specific  activities now no longer come  under  the  RTD phase  but 
may  be  operationally  used  by  the  Member  States  or  the  Commission. 
Nevertheless,  other  actions  are  still  in  development  and  require 
continued  work  before becoming  operational. 

The  second  phase  aims, in  particular,  to continue  the  work  with  regard 
to vegetation  evolution  and  forecast  models  with  the  aim  of  obtaining 
an  integrated  agricultural  information  system  at  Community  level. 
Studies  on  the  applications  of  methods  or new  sensors  should  also  be 
followed  up.  Finally,  it could  prove  useful  to extend  these  applications 
to  the  needs  of  other  countries,  notably  the  central  ana  eastern 
European  countries. 

(b)  Techniques  for  surveillance  and  control  of  the  implementation  of  the 

CAP (MARS-CAP): 

For  some  time,  remote  sensing  techniques  have  been  applied  for  the 
production  of  citrus  fruits,  vineyard  and  olive  tree  registers  and  the 
inspection  of the  use  of CAP  subsidies  at  regional  and  local  level.  The 
new  CAP  rules, which  have  been  extended  to all  the  main  crops,  need 
scientific  and  technical  support  using  remote  s e n s i ng  for  the 
development of an integrated system for the management  and control of 
declared  agricultural  land and the registers of the various crops. 

The  European  Office  for Wine, Alcohol  and Spirit Drinks, as described  in  the 
communication  from  the  Commission  to  the  Council  and  to  Parliament 
(COM(93)60  final  of  16 September  1993),  provides  the  Commission  with 
scientific  and  technical  support to enable  it to verify  the  proper application  of 
Community  provisions.  Focusing  mainly  on  control  of  the  adulteration  and 
the  origin  of  wines,  and  intended  for  use  in  the  choice  of  arbitration 
procedures  between  two  Member  States,  this  activity  makes  use  of  nuclear 
magnetic  resonance  and  mass  spectrometry  and  also  calls  for  the 
development of new analytical  techniques. 

<r CW 

20 

The  elaboration  of  methodologies  for  reference  measurements  and  the 
preparation  of reference  materials  necessary  for  the  quality  control  of  food 
products  are  another  impartial  contribution  of  the  JRC  to  the  European 
agricultural  policy. 

Line 13:  Targeted  socio-economic research 

The  aim of this  activity  is  to  gather,  for  the  formulation  and  implementation  of 
Community  policies  by  the  Commission,  basic  information  and  analyses  on 
scientific and technological developments and innovations, and their prospects and 
consequences, in particular their  impact on industrial  competitiveness.  Through 
its  impartiality,  the  JRC  is  in  a  position  to  provide  independent  opinions,  in 
particular by taking account of the results of studies carried  out by European  and 
non-European  public  or  private  bodies  in  the  fields  in  which  it  has  acquired 
competences, such as energy, transport and the  environment. 

SK 

-21 

A n n ex  II 

Indicative  breakdown  of  amount 

ECU  million 

F I R ST  ACTIVITY 

• 

I n f o r m a t i on  a nd  c o m m u n i c a t i o ns 
t e c h n o l o g i es 

Information  technologies 

• 

I n d u s t r i al  t e c h n o l o g i es 

- 

Industrial  and  materials  technologies 

Measurements  and  testing 

• 

E n v i r o n m e nt 

-  Environment  and  climate 

•  Life  s c i e n c es  a nd  technologies 

Agriculture  and  fisheries 

• 

E n e r gy 

Non-nuclear  energy 

•  T a r g e t ed  s o c i o - e c o n o m ic  r e s e a r ch 

11 

84 

111 

294 

47 

20 

11 

195 

294 

47 

20 

33 

Total 

600(1X2) 

(I)  This  total  includes  an  amount  equivalent  to  6%  which  may  be  allocated  to 

exploratory  research. 

('«!> This  total  also  includes  the  JRC's  budget  contribution  necessary  fur 

its 

participation  in  shared  cost  actions. 

<T3 6 

22-

Annex  III 

Detailed  rules  for  implementing  the direct  action  and  the 
dissemination  and  exploitation  of the  results 

1. 

2. 

3. 

4. 

The  Commission,  assisted  by  the  Board  of  Governors  of  the  JRC,  shall 
implement  the  direct  action  on  the  basis  of  the  scientific  objectives  and 
contents  decribed  in  Annex I.  The  activities  relating  to  this  action  shall  be 
performed in the  relevant institutes of the Joint Research Centre (JRC). 

The rules for implementing  the direct action referred  to in  Article 6  comprise 
research  and technological  development  projects, the  scientific  and  technical 
support  necessary  for  the  formulation  and  implementation  of  Community 
policies  and  the  tasks  assigned  to  the  Commission  under  the  Treaties  and 
requiring the impartiality  of the JRC, and accompanying  measures. 

These  rules  may  apply  to cooperation  with  the EFTA  States  which  are  party 
to the EEA  Agreement. 

The  JRC  institutes  shall  endeavour,  wherever  possible,  to  carry  out  the 
research  in  cooperation,  preferably  oh  the  basis  of  networks,  with  the 
national  research  bodies in the Member States.  Particular attention shall  be 
paid  to  cooperation  with  industry,  especially  with  small  and  medium-sized 
enterprises.  Research  bodies  established  in  third  countries  may  also 
cooperate on projects in accordance with the relevant  provisions. 

Research  projects  as  part  of  international  cooperation  under  the  conditions 
set  out  in  the  previous  paragraph  include  cooperation  with  research 
laboratories and the exchange of scientists.  Supplementary  measures  should 
allow  for  cooperation  with  research  laboratories  and  institutes  in  the 
countries of Central  and Eastern  Europe. 

5. 

The accompanying  measures shall  include: 

the  organization  of  visits  to  JRC  institutes  of  grant  holders,  visiting 
scientists  and seconded experts; 

organization  of  the  secondment  of  JRC  staff  to  national  laboratories, 
industrial  laboratories and  universities; 

the organization  of scientific  seminars, workshops and  colloquiums; 

Sty 

23-

specialized training with the emphasis on multidisciplinarity; 

an information exchange system; 

promotion of the exploitation of the research results; 

the independent scientific  and strategic evaluation  of the  performance 
of the projects and programmes. 

6.  The  knowledge  gained  through  implementation  of  the  projects  will, be 
disseminated  under  the  programmes themselves  and  under  the  centralized 
action described in the third activity of the framework  programme. 

Ç3? 

- 2 4-

Annex IV 

Scientific  and technological  objectives 
and contents of the competitive support  activities 

This section  of the  specific  programme fully  reflects  the broad lines of the  fourth 
framework  programme, applies the selection criteria  and spells out the  scientific 
and technical objectives set out in that programme. 

The scientific and technical support activities which come within the framework of 
a  competitive  approach  are  described  below  on  the  basis  of  Annex III  (First 
Activity and paragraph D of the Third Activity). 

The  following  description  is  given  for guidance  only  on  the  basis  of  the  current 
requirements of Community policies.  It refers in particular to paragraphs IC, 2D, 
3 A, 3B, 4C and 5 of the First Activity. 

In order to ensure that the activities are fully in line with the actual  requirements 
of  Community  policies  throughout  the  Fourth  Framework  Programme,  these 
objectives may  be modified  in  accordance  with the provisions of Article 14 of this 
programme. 

The scientific and technological objectives may cover the following: 

FIRST ACTIVITY 

• 

Information  and communications  technologies 

Line 3:  Information technology 

This  support  is  intended  to  enable  the  Commission  to  pursue  the  Community 
information  technology  policy,  notably  in  fields  such  as  software  technology, 
components  and  systems, or multimedia  technology,  as  well  as  in  other  priority 
fields  such  as,  for  example,  high-performance  computing 
systems, 
microprocessing  systems  and  the  integration  of  such  technologies  into  a 
professional  environment. 

• 

Industrial  technologies 

Line 5:  Measurements and testing 

The activities  in  this sector may  be aimed at the development of non-destructive 
test  methods  for  mechanical  structures  and  the  software  needed  for  the 
development  of  Community  standards  in  the  field  of  structural  mechanics,  in 
particular for structures used in construction or, more broadly, civil engineering. 

S*J3 

(39] 

25-

• 

Environment 

Line  6:  Environment  and  climate 

The  aim  of these  activities  is  to support  the  Commission's  regulatory  activities  in 
the  general  framework  of  environmental  policy,  including  the  development  of 
analytical  methods  and  the  implementation,  through  a  network  of  analytical 
laboratories, of test series on atmospheric  pollution, water quality, waste and land-
based  pollution. 

One particular activity  will  be the  use of aerospace  remote sensing  methods for  the 
surveillance  of tropical  forests, desertification  and marine  productivity. 

Some  subjects concerning  the  regulation  of industrial  hazards and some  measures 
relating  to  industrial  safety,  including  biotechnology,  may  be  the  subject  of  a 
support  activity. 

• 

Life  sciences  and  technologies 

Line  8:  Agriculture  and  fisheries  (including  agro-industry,  food  technologies, 
forestry,  fish  farming and rural  development). 

Support activities in this field may  include contributions to: 

the  application  of remote  sensing  techniques  to agriculture  by  the  gathering 
of images, the  handling and  treatment of data; 

reference  measurements  for  the  control  of  food  products  (notably  their 
contamination)  and  their  quality,  in  particular  to  a  series  of  tests  and 
intercomparison  exercises for quality control in these  products; 

control  of dairy  products; 

the  evaluation  of  phytopharmaeeutical  products,  notably  with  regard  to 
those  aspects  linked to their  launch on the  market. 

• 

Energy 

Line  11 :  Non-nuclear  energy 

Support activities  in  this field will  include: 

the  handling  and  processing  of  information  from  projects  carried  out  under 
Community  programmes,  in particular demonstration  projects; 

6cO 

26 

certification  procedures  for energy  conservation  in  buildings,  industry  and 
transport  as  well  as  the  application  of  energy  modelling  methodologies 
(relationships between  energy  production, consumption  and  environmental 
impact) to particular energy scenarios. 

THIRD ACTIVITY 

These  generally  short  activities  may  concern  any  field,  their  aim  being  to  meet 
specific  requirements  which  appear  during  the  implementation  of  various 
Community policies. 

By their nature, such requirements will only appear during the implementation of 
this  programme  and  the  activities  concerned  will  aim  to  provide  an  immediate 
response. 

6b W 

27-

Annex  V 

Indicative  breakdown  of the  amount 

FIRST ACTIVITY 

• 

Information  and  Communications  Technologies 

ECU  million 

91 

10 

10 

26 

30 

15 

- 

Information  Technologies 

• 

Industrial  Technologies 

Measurement  and  Testing 

•  Environment 

Environment  and  Climate 

•  Life  S c i e n c es  and  Technologies 

Agriculture  and  Fisheries 

•  Energy 

Non  Nuclear  Energy 

THIRD  ACTIVITY 

Total 

37 

128 

60 <t 

28-

Annex VI 

Detailed  rules for implementing the competitive support  activities 

The  competitive  support  activities  are  carried  out  by  means  of  work  suited  to  a 
competitive  approach  and  intended  for  scientific  and  technical  support  to 
Community  policies.  The  implementation  of  this  research  will  be  assigned  to 
research bodies and centres, including the JRC, universities or undertakings. 

While  ensuring  maximum  flexibility,  the  Commission  will  determine  the 
responsibilities,  in  particular  as  regards  the  grant  of  the  financial  resources 
provided  for  these  activities,  according  to  the  field  of  activity  concerned.  The 
resources will be granted on a competitive basis. 

These rules may apply to cooperation with the EFTA States which are party to the 
EEA Agreement. 

6o'}> 

-29 

FINANCIAL  STATEMENT 

L 

TITLE  OF  OPERATION 

Specific  research  and  technological  development  programme  to  be  carried  out  for 
the European  Community  by means of direct action (Joint Research  Centre  - JRC) 
(1995-98). 

2. 

BUDGET  HEADINGS 

Articles 

Title 

B6-111: Staff (in part), 
B6-121: Resources (in part), 
B6-2 

: Direct operating appropriations. 

3. 

• 

• 

LEGAL  BASIS 

Treaty  establishing  the European Community, and in particular Article  130 
1(4)  thereof; 
Council  Decision  -  /../EC  on  the  fourth  framework  programme  of 
Community  activities  in  the  field  of  research,  technological  development 
and demonstration  - (1994-98). 

4. 

DESCRIPTION  OF  OPERATION 

4.1  General  objectives  of the  operation 

In  the  framework  of  the  broad  lines  set  out  in  the  fourth  framework  programme, 
the activities  to be conducted by the JRC will meet the following objectives: 

• 

• 

To  provide  a  specific  contribution  to  the  implementation  of  Community 
research  and  technological  development policy, and 
To  provide  support  for  the  implementation  of  other  Community  policies 
through  research  activities. 

It is planned  that  the JRC will contribute  to the implementation  of the  first  area  of 
activity  under  the  fourth  framework  programme.  The  scientific  and  technical 
content of the  proposed  activities,  as far as the subject matter  is concerned,  can  be 
summarized  as  follows: 

A.3. 

Information  and  communications  technologies:  prenormative  support  with 
regard to the safety  and reliability  of computer systems. 

B.4. 

Industrial  technologies  and  materials  technologies:  prenormative  research 
focusing  on  ceramics  and composite  materials,  surface  engineering  and  the 
development of non-destructive test methods. 

30 

B.5.  Measurements  and  testing:  prenormative  research  on  the  analysis  of 
structures,  in  particular  using  the  European  Laboratory  for  Structural 
Assessment,  programmes  relating  to  measurements  and  tests,  reference 
materials and the development of non-destructive  test methods. 

C.6.  Environment  and  climate: 

• 

• 

Natural  environment,  environmental  quality  and  global  change: 
research  on  environmental  protection,  the  application  of  remote 
sensing  technology,  and  scientific  and  technical  support  for 
environmental  policy,  in  particular  using  the  European  Chemicals 
Bureau,  the  European  Centre  for  the  Validation  of  Alternative 
Methods and the European Reference  Laboratory  for Air Pollution. 

New  technologies  for  environmental  protection:  research  relating  to 
industrial  hazards. 

D.10.  Agriculture  and  fisheries:  application  of  life  sciences  and  technologies. 
Support for the  Common  Agricultural  Policy  and environmental  policy:  the 
application  of  remote  sensing,  The  European  Office  for  Wine,  Alcohol  and 
Spirit  Drinks,  reference  measurements  for  the  quality  control  of  food 
products. 

E . l l.  Non-nuclear  energy: technologies  for cleaner  and  more  efficient  production 
and  use  of  energy:  prenormative  research  on  the  performance  of 
photovoltaic  systems,  research  on  materials  used  in  these  technologies, 
prenormative  research on energy savings in buildings. 

G.13.  Targeted  socio-economic  research: evaluation  of scientific  and  technological 
policy  options:  research  aimed  at  setting  up  a  technological  observatory, 
scientific  and technical  support for Community  policies through  prospective 
and technological  evaluation  studies. 

It is also proposed for the JRC to participate in indirect  activities. 

4.2 

Duration 

1995-98 

4.3 

Target  population 

The European  scientific  and industrial  community. 

(DO'Ç 

-31 

5. 

CLASSIFICATION  OF EXPENDITURE  OR  REVENUE 

5.1  Non-compulsory expenditure 

5.2  Differentiated  appropriations 

5.3  Type of revenue involved. 

The member countries of the European Free Trade Association (EFTA), as defined 
in  Article  2 of the  Protocol  amending  the Agreement on the  European  Economic 
Area  (EEA),  will  contribute,  if  the  EEA  Joint  Committee  provided  for  in  the 
Agreement  so  decides,  to  additional  funding  in  proportion  to  the  Community 
contributions. 

6.  TYPE OF EXPENDITURE OR REVENUE 

Appropriations  intended  to cover the  various  resources, set out in  point  2 above, 
used to carry out the research activities as referred to in point 4. 
In principle, the research activities carried out by the Joint Research Centre, will 
be 100% funded from Community own resources, apart from any possible  revenue 
as referred to in point 5.3 above. 

7. 

FINANCIAL  IMPACT 

7.1  Method  of calculating  total cost of  operation 

The total cost of the proposed programme is as provided for the JRC in the proposal 
for a framework  programme for 1994-98 referred to in point 3 above.  This amount 
covers  all  scientific,  technical  and exploitation  activities  and  their  proportion  of 
the expenditure  in  respect of the various sites and infrastructure  JRC institutes. 
The breakdown of the overall amount between the various activities, as set out in 
point 7.2 below, has been made taking account of the following: 

• 

• 

• 

• 

a  forecast  of  staff  expenditure  based  on  the  medium-term  economic 
development  in the Member States which host the various sites of the Joint 
Research Centre; 

a forecast of general and scientific  and technical support expenditure  under 
the same conditions; 

an  evaluation  of  the  operating  appropriations  required  to  carry  out  the 
research  programmes  (direct  expenditure  for  operation,  equipment  and 
contracts); 

consideration  of  an  amount  of  ECU  16  million,  corresponding  to  JRC 
participation  in  indirect  activities  carried  out  under  other  specific 
programmes, in association with partners in the Member States.  (The use of 
these  appropriations  is  dependent  on  the participation  of  the  JRC  in  the 
indirect  activities  carried  out  under  the  other  specific programmes  on  the 
same terms as third parties situated  in an associated  State.) 

6&t> 

7.2 

Itemized  breakdown  of  cost 

32-

The breakdown  between  subjects and objectives within  the  first  area  of activity  of 
the framework  programme is given, for guidance, in the following  table: 

B r e a k d o wn 

1995 

1996 

1997 

1998 

Total 

in  million  ECU  at current  prices 

Information  technologies 

- 

1.53 

3.06 

3.24 

3.17 

Industrial  technologies  and 
materials  technologies 

Measurement  and  testing 

Environment  and  climate 

Agriculture  and  fisheries 

Non-nuclear  energy 

Targeted  socio-economic 
research 

22.27 

19.57 

18.38 

17.78 

27.78 

75.90 

13.23 

5.19 

6.03 

26.83 

72.80 

12.22 

4.16 

8.05 

28.34 

70.42 

10.75 

3.30 

9.57 

28.05 

68.88 

10.80 

3.35 

9.35 

11.00 

78.00 

111.00 

288.00 

47.00 

16.00 

33.00 

Sub-total 

151.93 

146.69 

144.00 

141.38 

584.00 

Participation  in  indirect 
activities 

1.00 

3.00 

5.00 

7.00 

16.00 

TOTAL 

152.93 

149.69 

149.00 

148.38 

600.00 

7.3. 

Indicative  schedule  of  appropriations 

The schedule  will  be established  on the  basis of the overall  amounts for the  fourth 
framework  programme  adopted  indicatively  for  the  periods  1995-1996  and  1997-
1998  at  the  conciliation  meeting  on  21  March  1994.  The  RTD  appropriations  for 
each  financial  year  will  be  proposed  and  adopted  each  year  on  the  basis  of  the 
resources available  in the context of the financial  perspective. 

Period of application:  1995-98 

in  million  ECU  at current  prices 

C o m m i t m e nt 
a p p r o p r i a t i o ns 

1995 

P a y m e nt  a p p r o p r i a t i o ns 
1997 
1996 

1998on  T O T AL 

1995 

1996 

1997 

1998 

152.93 

128.17 

21.06 

3.00 

0.70 

152.93 

149.69 

149.00 

148.38 

127.88 

19.83 

1.98 

149.69 

126.00 

23.00 

149.00 

148.38 

148.38 

TOTAL 

600.00 

128.17 

148.94 

148.83 

174.06 

600.00 

8.  WHAT ANTI-FRAUD  MEASURES ARE  PLANNED? 

Internal  audit  and  control  programme  in  respect  of  the  scientific  and  budgetary 
aspects  to  be  carried  out  by  the  JRC  staff  responsible  and  periodic  checks  to  be 
carried out by the JRC Board of Governors and its evaluation  committees. 

&¥ 

33-

9. 

ELEMENTS OF COST-EFFECTIVENESS  AND  ANALYSIS 

9.1 

Specific,  quantifiable  objectives and target  population 

The  JRC  programme  forms  part  of  the  framework  programme  which  meets  the 
objectives  set  out  in  the  Treaty  on  European  Union,  and  in  particular  Article 
130fU)  of  the  EC  Treaty,  which  provides  that  "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 participation  of the JRC in  the fields of action covered  by  this  proposal  is  in 
keeping  with  the  capabilities  and  attributes  of  the  JRC  and  complies  with  the 
principle of subsidiarity. 
The  target  population  is  the  European  scientific  and  industrial  community  and 
those concerned with the various sectoral policies of the Commission  in which  the 
JRC is required to participate. 

9.2  Grounds for the  operation 

The  operation  is  justified  by  the  need  for  the  Community  to  strengthen  the 
scientific  and  technological  oases  of  European  industry  and  to  encourage  it  to 
become  competitive  at  international  level,  while  contributing  to  the 
implementation of Community policies and meeting the needs of society. 
The  consequences  for  research  of  the  central  role  which  the  principle  of 
subsidiarity  plays  in  Community  action  pursuant to decisions  relating  to the EC 
Treaty  have  been  analysed.  This  has  revealed  a  number  of  specimen  cases  to 
which  the  principle  of  subsidiarity  inherently  applies:  advanced  scientific 
activities, projects with technological  priority, RTD activities relating to the single 
market, and prenormative  research and support activities for the sectoral  policies 
with  which  the  Commission  considers  it  would  be useful  to associate  the JRC  in 
view of its capabilities. 

9.3  Monitoring and  evaluation  of the  operation 

• 

• 

• 

• 

The  nature  of  the  internal  evaluation  process  and  the  intervals  at 
which  it  is  to  be carried  out  should  enable  the  Commission  to  meet 
the requirements incumbent upon it. 

Application  of  the  supplier/customer  principle  to  the  JRC's  R&D 
activities  will  guarantee  optimum  utilization  of  the  resources 
allocated to them. 

All JRC activities are the subject of annual  work schedules which are 
submitted  to the  Board of Governors of the JRC for approval.  These 
indicate the progress of the various R&D projects. 

The  quantitative  and  qualitative  indicators  and  criteria  for 
evaluation  of  the  results  of  the  programme  will  be  determined  for 
each subject of activity. 

6c2 

-34 

FINANCIAL  STATEMENT 

1. 

TITLE  OF  OPERATION 

Scientific  a nd  t e c h n i c al  support  activities  for  C o m m u n i ty  policies  in 
framework  of a  competitive  approach  (1995-1998). 

t he 

2. 

B U D G ET  H E A D I N GS 

Sub-section  B6 

3. 

L E G AL  BASIS 

• 

• 

Treaty  establishing  the  European  Community,  a nd  in  p a r t i c u l ar 
Article  130 I (4) thereof; 
Council  Decision 
C o m m u n i ty  activities  in  t he  field  of  r e s e a r c h, 
development  and  demonstration  - (1994-98). 

/EC  on  the  fourth  framework  programme  of 
t e c h n o l o g i c al 

/ 

4. 

D E S C R I P T I ON  OF  O P E R A T I ON 

4.1 

G e n e r al  o b j e c t i v es  of  t he  o p e r a t i on 

In  the  framework  of  the  broad  lines  set  out  in  the  fourth 
framework 
programme,  the  aim  of  the  activities  is  to  provide  scientific  and  technical 
support  for  the  implementation  of  other  Community  policies  t h r o u gh 
research  activities. 

The  support  activities  fall  within  the  framework  of the  first  and  third  areas 
of  activity  of  the  fourth  framework  programme,  in  p a r t i c u l a r,  and  for 
guidance, as  regards  the  following  subjects: 

F i r st  a r ea  of  a c t i v i t y: 

information  technologies; 
measurement  and  testing; 
environment  and  climate; 
agriculture  and 
fisheries; 
non-nuclear  energy. 

T h i rd  a r ea  of  a c t i v i t y: 

• 

scientific  services  for  all  Community  policies. 

4.2 

D u r a t i on 

1995-1998 

4.3 

T a r g et  p o p u l a t i on 

All  concerned  with  the  implementation  of other Community  sectoral  policies. 

6o3 

- 3 5-

5. 

CLASSIFICATION  OF EXPENDITURE  OR  REVENUE 

5.1  Non-compulsory  expenditure 

5.2  Differentiated  appropriations 

5.3  Type of revenue  involved 

The member countries of the European Free Trade Association (EFTA), as defined 
in Article  2 of the  Protocol  amending  the  Agreement  on the  European  Economic 
Area  (EEA),  will  contribute,  if  the  EEA  Joint  Committee  provided  for  in  the 
Agreement  so  decides,  to  additional  funding  in  proportion  to  the  Community 
contributions. 

6.  TYPE OF EXPENDITURE OR REVENUE 

Appropriations  intended  to  cover  resources  of  all  kinds  (staff,  general  services, 
operations, equipment,  contracts, etc.)  used to attain  the objectives  to be decided. 
In principle, these activities will be 100%  funded from Community own resources, 
apart from any possible revenue as referred to in point 5.3 above. 

7. 

FINANCIAL  IMPACT 

7.1  Method  of calculating  total cost of  operation 

The total cost of the proposed activities (ECU  128 million, including 91 million  for 
programmes in the first area of activity and 37 million for programmes in the third 
area of activity  of the framework  programme) is as provided for in the  framework 
programme  referred  to  in  point 3  above.  This  amount  covers  all  expenditure  of 
whatever kind necessary for the implementation of these activities. 

7.2 

Itemised  breakdown  of cost 

The breakdown  between subjects within  the first area of activity of the  framework 
programme will depend on the activities adopted:  the activities referred to in point 
4.1 in particular are concerned. 

7.3 

Indicative schedule of  appropriations 

The schedule  will  be established  on the basis of the overall amounts for the  fourth 
framework  programme  adopted  indicatively  for the  periods  1995-1996  and  1997-
1998 at the conciliation  meeting on 21  March  1994.  The RTD appropriations  for 
each  financial  year  will  be  proposed  and  adopted  each  year  on  the  basis  of  the 
resources available in the context of the financial perspective. 

6AC 

-36 

Period of application:  1995-98 

in  million  ECU at current  values 

Commitment 
a p p r o p r i a t i o ns 

P a y m e nt  a p p r o p r i a t i o ns 

1995 

1996 

1997 

1998 on  T O T AL 

1995 

1996 

1997 

1998 

25.00 

14710 

10.90 

33.00 

35.00 

35.00 

25.00 

7.00 

28.00 

25.00 

33.00 

35.00 

35.00 

1.00 

7.00 

35.00 

TOTAL 

128.00 

14.10 

35.90 

35.00 

43.00 

128.00 

8. 

WHAT  ANTI-FRAUD  MEASURES  ARE  P L A N N ED  FOR  THE 
OPERATION? 

Prior to conclusion of the contract: 

shortlisting  of  the  proposals  on  the  basis  of  their  scientific  merit  and  how 
realistic  the  research  costs  are, considering  the  nature  and  duration  of  the 
project; 

analysis of the  financial  data  submitted  by the proposers in  the  negotiation 
form. 

After  signature  of the contract: 

examination  of  the  statements  of  expenditure  before  payment  at  various 
levels (financial  controller and technical  and scientific  managers); 

on-the-spot  inspections of the  supporting  documents  to detect  any  errors or 
other  irregularities. 

9. 

ELEMENTS  OF COST-EFFECTIVENESS  AND  ANALYSIS 

9.1 

Specific,  quantifiable  objectives  and  target  population 

The  objective  is  to  provide,  through  research  activities,  scientific  and  technical 
assistance  for  the  implementation  of  other  Community  policies,  the  nature  and 
quantity  of which  will  be defined  on the  basis of the  needs which  arise  during  the 
period. 

The  target  population  consists of the  persons  concerned  with  the  implementation 
of the Community's other sectoral  policies. 

9.2  Grounds  for  the  operation 

The  operation  is  justified  by  the  need  for  the  Community  to  strengthen  the 
scientific  and  technological  bases  of  European  industry  and  to  encourage  it  to 
become  competitive  at  international 
implementation of Community  policies and meeting the needs of society. 

level,  while  contributing  to  the 

The  consequences  for  research  of  the  central  role  which  the  principle  of 
subsidiarity  plays  in  Community  action  pursuant  to decisions  relating  to  the  EC 
Treaty  have  been  analysed.  This  has  revealed  a  number  of  specimen  cases  to  6M 

37-

which  the  principle  of  subsidiarity  inherently  applies:  advanced  scientific 
activities, projects with technological priority, RTD activities relating to the single 
market, and prenormative  research and support activities for the sectoral  policies 
with  which  the  Commission  considers it  would be useful  to associate  the  JRC  in 
view of its capabilities. 

9.3  Monitoring  and evaluation  of the  operation 

The nature of the internal evaluation  process and the intervals at which it is to be 
carried  out  should  enable  the  Commission  to meet  the  requirements  incumbent 
upon it. 

The  quantitative  and  qualitative  indicators  and  criteria  for  evaluation  of  the 
results of the programme will be determined for each specific  activity. 

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