Proposal for a COUNCIL DECISION ADAPTING DECISION 94/268/EURATOM CONCERNING A FRAMEWORK PROGRAMME OF COMMUNITY ACTIVITIES IN THE FIELD OF RESEARCH AND TRAINING FOR THE EUROPEAN ATOMIC ENERGY COMMUNITY (1994 TO 1998) FOLLOWING THE ACCESSION TO THE EUROPEAN UNION OF THE REPUBLIC OF AUSTRIA, THE REPUBLIC OF FINLAND AND THE KINGDOM OF SWEDEN
Date: 1995-04-12
Institutions: European Commission
Subjects: EAEC, EU financing, EU programme, enlargement of the Union, research and development, vocational training

'••'r; iSci 

rfr^C 

COMMISSION  OF  THE  EUROPEAN  COMMUNITIES 

Brussels,  12.04.1995 
COM(95)  145 final 

95/0092 (COD) 

Proposal  for a 

DECISION OF THE EUROPEAN  PARLIAMENT 
AND OF THE COUNCIL 
ADAPTING DECISION N°  1110/94/EC  CONCERNING 
THE FOURTH FRAMEWORK  PROGRAMME 
OF THE EUROPEAN COMMUNITY  ACTIVITIES 
IN THE FIELD OF RESEARCH AND  TECHNOLOGICAL 
DEVELOPMENT AND DEMONSTRATION  (1994 TO 1998) 
FOLLOWING THE ACCESSION TO THE EUROPEAN UNION 
OF THE REPUBLIC OF AUSTRIA, 
THE REPUBLIC OF FINLAND AND THE KINGDOM OF SWEDEN 

Proposal for a 

COUNCIL DECISION 
ADAPTING DECISION 94/268/EURATOM CONCERNING 
A FRAMEWORK  PROGRAMME OF COMMUNITY  ACTIVITIES 
IN THE FIELD OF RESEARCH AND TRAINING 
FOR THE EUROPEAN ATOMIC  ENERGY COMMUNITY  (1994 TO  1998) 
FOLLOWING  THE ACCESSION TO THE EUROPEAN  UNION 
OF THE REPUBLIC OF AUSTRIA, 
THE REPUBLIC OF FINLAND AND THE KINGDOM OF SWEDEN 

(presented  by the Commission) 

EXPLANATORY  MEMORANDUM 

1. 

Introduction 

The Community  RTD framework  programmes  make a significant  contribution  towards 
improving  the  competitiveness  of  Community  industry  and  implementing  policies  of 
benefit  to European  society and its citizens. 

In order to guarantee the continuity of these research activities and in order to avoid any 
interruption  between the third and fourth  framework  programmes,  the Council and  the 
Parliament,  following proposals from  the Commission and the opinions of the Economic 
and Social Committee, have taken all the legal measures required  for the implementation 
of the fourth  framework  programme  beginning  on  1 January  1995. 

2. 

The effect  of  enlargement  on the  framework  programme 

Austria,  Finland  and Sweden  were associated  with Community  RTD  activities  covered 
by  the EC  Treaty  under  the agreement  on  the European  Economic  Area  (EEA).  Only 
Sweden participated  in some of the activities covered  by the Euratom  Treaty  relating to 
research  on  controlled  thermonuclear  fusion  and  radiation  protection  (under  the  1990-
1991 programme). 

In  1995, if these  three countries  had  still  been  members  of  the EEA,  the  Community 
research budget headings (subsection  B6) to which EEA members contribute  would have 
been allocated a financial  contribution  of 7%  so that they could participate in the  fourth 
RTD  framework  programme. 

Following  their accession,these  three  countries  contribute  to the Community  budget as 
Member States and their citizens can now take advantage of all the activities in the fourth 
EC  framework  programme  and  the Euratom  framework  programme  (1994  -  1998). 

At the budget trialogue of 29 November  1994, financial  forecasts  were adjusted  to take 
account  of  enlargement.  The  European  Parliament,  the  Council  and  the  Commission 
agreed  to increase  the budget  for  internal  policies  including  RTD,  by 7%  l) a year.  In 
order  to maintain  the continuity of,  and balance between  the Community  RTD activities 
covered by the framework  programme, this increase was to apply across the board to the 
whole framework  programme  (EC and Euratom)  and  to its implementation  by  specific 
programmes. 

The amounts in  the decisions  on the fourth  RTD  framework  programme  and  Euratom 
framework  programme  should  therefore  be adjusted  accordingly. 

1)  • 

Excluding the financing of the programme for  the modernisation of the Portuguese textile and clothing 
industry. 

2 

3. 

Type of  decision 

The  purpose  of  this  decision  is  to address  the  financial  consequences  of  enlargement; 
nevertheless,  in  order  to  comply  with  the  financial  perspectives,  an  adaptation  of  the 
indicative  schedule  has  proved  necessary.  As  the  decision  is  confined  to  updating  the 
amounts  in  the  framework  programme,  discussion  on  the  priorities  of  the  fourth 
framework  programme  should  be avoided. 

The decisions concerning  the supplementary  amount,  which are foreseen  in the EC and 
Euratom  framework  programme  decisions,  necessitate  a separate législative procedure 
to be concluded  in  June  1996 at  the latest.  The present  proposals  do  not prejudge  the 
decisions  on  this  point;  they  will,  at  the  appropriate  moment,  be  the  subject  of 
Commission  proposals. 

The  purpose  of  these  proposals  for  decisions  is  not  therefore  to  increase  the  overall 
Community research effort  but rather to guarantee the continuity of activities, to maintain 
their objectives and to preserve the balance between the priorities decided upon when the 
fourth  framework  programme  was adopted. 

Council  Decision  93/167/Euratom,  EEC  of  15  March  1993  allocating  an  additional 
ECU  900  million  to  the  third  framework  programme  was  implemented  through  the 
budgetary  procedure  without  corresponding  adaptation  of  the  specific  programmes.  It 
is  suggested  that  the same procedure  be  followed  after  adoption  of  these proposals  for 
decisions. 

4. 

Timetable 

These financial adjustments  of the framework  programme are covered by the co-decision 
procedure specified  in Article  189b of the Treaty.  Since this is a complex procedure and 
will require  a  unanimous  decision  by  the fifteen members  of  the  Council,  efforts  will 
have  to  be  made  to  reach  prior  agreement  on  this  type  of  approach  between  the 
institutions concerned.  The aim is to have these decisions adopted as swiftly  as possible 
in order to adapt the legal bases for the Union's research policy to the enlarged European 
Community  of  research. 

proposal for a decision of the European Parliament  and 
of the Council adapting Decision No 1110/94/EC concerning 
the fourth framework  programme  of the European  Community 
activities  in the field  of research and technological  development 
and demonstration  (1994 to 1998) following  the 
accession to the European Union of the Republic of  Austria, 
the Republic of Finland and the Kingdom  of  Sweden 

95/0092 (COD) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN 
UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community  and  in  particular 
Article  1301(1) and  (2) thereof, 

Having regard  to the proposal  from  the Commission,1 

Having regard  to the opinion of the Economic and  Social Committee,2 

Acting in accordance with the procedure  laid down  in Article  189b of the Treaty, 

Whereas,  by  Decision  No  1110/94/EC,3  the  European  Parliament  and  the  Council 
adopted a fourth  framework  programme  for  1994 to  1998; whereas Article  1(3) of that 
decision  states that the maximum overall amount for  Community  financial  participation 
in  the  fourth  framework  programme  shall  be  ECU  1.1 046  million,  and  that,  of  this, 
ECU  5 472  million  is  for  the period  1994  to  1996 and  ECU  5 574  million  is  for  the 
period  1997 to 1998; 

Whereas  Article  130i(2)  of  the Treaty  states  that  the  framework  programme  shall  be 
adapted or supplemented as the situation changes; whereas the accession to the European 
Union of the Republic of Austria,  the Republic of Finland  and the Kingdom  of Sweden 
makes  financial  adjustment  necessary  because  of  the  resulting  increase  in  both 
Community resources devoted to and expenditure on research and development;  whereas 
the amounts in the framework  programme  should be increased  proportionately; 

Whereas,  under the agreement on the European Economic Area,  these three States were 
technological  development  and 
already  participating 
demonstration  activities  in return  for  a financial contribution  to the General  Budget of 
the Community, where their contributions were classed as "additional appropriations" 
for  expenditure in respect  of research  and development activities; 

in  Community 

research, 

Whereas  there  are  no  changes  to  the  technical  and  scientific  objectives,  priorities, 
activities in the various areas,  selection criteria  and other  provisions  specified  in the 

OJNo 
OJNo 
O J N oL  126,  18.5.1994. 

t 

fourth  framework  programme;  whereas  this Decision  concerns  only  the adjustments  of 
financial provisions  made necessary  by  the accession  of  Austria,  Finland  and  Sweden; 

Whereas  Decision  No  1110/94/EC  of  the  European  Parliament  and  of  the  Council 
concerning  the  fourth  framework  programme  and  Council  Decision  94/268/Euratom 
concerning a framework  programme of Community activities in the field of research and 
training were adopted simultaneously and for the same period;  whereas the same should 
apply  to the decisions  adapting the two framework  programmes; 

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

HAVE DECIDED  AS FOLLOWS: 

Sole article 

1. 

Decision  No  1110/94/EC  of  the  European  Parliament  and  of  the  Council  of 
26 April  1994  concerning  the  fourth  framework  programme  of  the  European 
Community activities in the field of research  and technological development and 
demonstration  (1994 to  1998)  is hereby  amended  as  follows: 

- in Article  1(3): 

"11 046" shall be replaced  by  "11 819" 
"5 472" shall be replaced  by  "5 447" 
"5 574" shall be replaced  by  "6 372" 
and 
•11  641"  shall be replaced  by  "12 414" 

-Annex  I shall be replaced  by the Annex to this Decision. 

Done at 

By the European Parliament 

By the Council 

<r 

ANNEX 1 

FOURTH  FRAMEWORK  PROGRAMME  (1994 to  1998) 
AMOUNTS AND BREAKDOWN 

First  activity  (Research,  technological  development  and 
demonstration  programmes) 

Second  activity  (Cooperation  with third countries and  international 

organizations) 

Third activity  (Dissemination  and  optimization  of  results) 

Fourth activity  (Stimulation  of the training  and mobility  of 
researchers) 
MAXIMUM  OVERALL AMOUNT 

Ecu  million 
(current  prices) 

10 092 

'  2 

578 

353 

796 

34 

11819 

S6 

Indicative  breakdown  of the themes  and  subjects 
in the first  activity 

ECU  million 
(current  prices) 

A. 

B. 

C. 

Information  and communication  technologies 
1. 
2. 
3. 

Telematics 
Communication  technologies 
Information  technologies 

Industrial  technologies 
4. 
5.  Measurements  and  testing 

Industrial  and  material  technologies 

Environment 
6. 
Environment  and  climate 
7.  Marine  sciences  and  technologies 

3  643 

2 134 

11567 

902 
674 
2 067 

1  826 
308 

912 
244 

Of which  ECU  642 million  for  the operational  budget  of  the JRC. 
Of which  ECU  97 million  for  programmed  scientific  and  technical  support  activities 
suited  to a competitive  approach. 
Apart from the funds allocated  to the third activity, an average of 1 % of the total budget 
of the fourth framework  programme will be allocated  to dissemination and optimization 
of results in the framework  of the first activity. Close coordination of dissemination and 
optimization  activities  carried  out under  the specific  programmes  of  the first  activity 
with those carried  out under the third  activity  will be  ensured. 
Of  which  ECU  40  million  for  ad  hoc  scientific  and  technical  support  to  other 
Community  policies  which will be allocated  on a competitive  basis. 
The amounts of the framework  programme  for  research  and training  for the European 
Atomic Energy Community  (1994 to 1998) are adjusted  along with this programme and 
raised to a total of ECU  1 342 million, taking the total for Community  RTD activity  to 
ECU  13 161 million. 
With the possibility of an increase  to ECU  12 414 million,  in accordance  with Article 
1(3). 

Environment-related  research  projects will also be conducted  within several  other lines of 
the first activity, in particular in the fields of industrial technologies, energy and transport. 

D. 

E. 
F. 
G. 

Life  sciences  and  technologies 
8. 
9. 
10.  Agriculture  and  fisheries  (including  agro-industries, 

Biotechnology 
Biomedicine and health 

food  technologies,  forestry,  aquaculture  and  rural 
development) 
11.  Non-nuclear energy 
12.  Transport 
13.  Targeted  socio-economic  research 

590 
360 

732 

, 

1 682 

1072 
257 
148 

10 092' 

proposal  for a Council  Decision  adapting 
Decision 94/268/Euratom  concerning 
a framework  programme  of  Community  activities 
in the field  of research and training for the 
European  Atomic Energy  Community  (1994 to  1998)  following  the 
accession to the European Union of the Republic  of  Austria, 
the Republic of Finland and the Kingdom of Sweden 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard  to the Treaty establishing  the European  Atomic Energy  Community, and 
in particular  Article 7 thereof, 

Having  regard  to the proposal  from  the  Commission,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  94/268/Euratom,4  the Council adopted  a framework  programme 
of Community  activities in the field of research  and training for  1994 to  1998; whereas 
Article  1(3) of  that  Decision  states  that  the amount  deemed  necessary  for  Community 
financial  participation  in  the  framework  programme  shall  be  ECU  1 254  million,  and 
that, of this, ECU  617 million shall be the indicative amount for the period  1994 to 1996 
and  ECU  637 million  shall  be the indicative amount  for  the period  1997 to  1998; 

Whereas  Article  4(1)  of  the  Decision  states  that  the  framework  programme  shall  be 
adapted or supplemented as the situation changes; whereas the accession to the European 
Union of the Republic of Austria,  the Republic of Finland  and the Kingdom  of Sweden 
makes  financial  adjustment  necessary  because  of  the  resulting  increase  in  both 
Community resources devoted to and expenditure on research and development;  whereas 
the amounts in the framework  programme  should  be increased  proportionately; 

Whereas, under the scientific and technical cooperation agreements signed with Sweden, 
it was already participating in some Community research  activities relating to controlled 
thermonuclear  fusion  and  radiation  protection  in  return  for  a  financial  contribution 
classed as " additional appropriations" for expenditure in respect of research activities; 

Whereas  there  are  no  changes  to  the  technical  and  scientific  objectives,  priorities, 
activities  in  the  various  areas,  selection  criteria  and  other  provisions  specified  in  the 
framework  programme; whereas this Decision concerns only the adjustments  of financial 
provisions  made necessary  by the accession  of  Austria,  Finland  and  Sweden; 

OJ No 
OJNo 
OJNo 
O J N oL  115, 6.5.1.994. 

<k 

Whereas  Decision  No  1110/94/EC  of  the  European  Parliament  and  of  the  Council 
concerning  the  fourth  framework  programme  and  Council  Decision  94/268/Euratom 
concerning a framework  programme of Community activities in the field of research  and 
training were adopted simultaneously and for the same period;  whereas the same should 
apply to the decisions adapting  the two framework  programmes; 

Whereas the Scientific and Technical Committee has been consulted by the Commission 
and has delivered  its opinion, 

HAS DECIDED  AS FOLLOWS: 

Sole article 

I. 

Decision  94/268/Euratom  of  the  Council  of  26 April  1994  concerning  a 
framework  programme  of  Community  activities  in  the  field  of  research  and 
training  (1994 to  1998) is hereby  amended  as  follows: 

-  in Article  1(3): 

"1 254"  shall be replaced  by  "1 342" 
"617"  shall be replaced  by  "757" 
-637"  shall be replaced  by  -585" 
and 
•1 359* shall be replaced  by  *1 447" 

-  Annex I shall be replaced  by the Annex to this Decision. 

Bone at 

For the Council 
The President 

<* 

ANNEX I 

FRAMEWORK  PROGRAMME  (1994  to  1998):  AMOUNT  AND  INDICATIVE 
BREAKDOWN 

Nuclear fission safety 

Controlled  thermonuclear  fusion 

Millions  of ecu 
(current  prices) 

443 

899 

Amount deemed  necessary 

1 342  * 2 

1 

2 

Of which ECU  321 million  for  the operational  budget of  the JRC  allocated 
as follows:  nuclear fission safety  ECU 272 million  and  controlled 
thermonuclear  fusion  ECU 49  million. 
With  the possibility  of an increase  to ECU  1 447 million,  in  accordance 
with Article  1(3). 

10 

FINANCIAL  STATEMENT 

Part  1:  Financial  implications 

1. 

TITLE OF THE OPERATION 

Fourth framework  programme of the European Community activities in the field 
of research, technological developmentand demonstration  (RTD) and  framework 
programme  of Community activities in the field of research  and training  for  the 
European  Atomic  Energy  Community  (1994  to  1998):  Financial  adjustments 
following  the accession  to the European Union of Austria,  Finland  and Sweden. 

2. 

BUDGET HEADING  CONCERNED 

Sub-section  B6. 

3. 

LEGAL BASIS 

Article  130i(l)  and  (2) of  the EC Treaty  and  Article 7 of  the EAEC  Treaty. 

4. 

DESCRIPTION  OF THE OPERATION 

4.1 

Specific  objectives 

Implementation' of  research,  technological  development  and  demonstration 
programmes by promoting cooperation with and between undertakings,  research 
centres  and  universities. 

Promotion  of  cooperation  in  the  field  of  Community  research,  technological 
development  and  demonstration  with 
international 
organizations. 

third  countries  and 

Dissemination  and  optimization  of  the  results  of  activities  in  Community 
research,  technological  development  and  demonstration. 

Stimulation  of  training  and  mobility of researchers  in  the  Community. 

4.2 

Duration 

1994-98. 

4.3 

Target  population  for  the operation 

Industrial  enterprises  -  including  especially  SMEs  -  research  centres  and 
universities  in  their  research,  technological  development  and  demonstration 
activities. 

5. 

CLASSIFICATION  OF THE EXPENDITURE  AND REVENUE 

5.1 

Non-compulsory  expenditure. 

ii 

5.2 

Differentiated  appropriations. 

5.3 

Types  of revenue  involved 

The countries of the European  Economic Area (EEA)  which are not members of 
the  European  Union  will  contribute,  as  defined  in  Article  2  of  the  Protocol 
amending  the agreement  on  the EEA,  to proportional  additional  financing. 

6.  TYPE OF EXPENDITURE OR REVENUE 

Research,  technological development and demonstration  projects  carried  out by 
external  contractors  may  receive  a  Community  contribution  to  the  cost  of 
research,  with  a  ceiling  of  50%  of  the  costs  or  the  equivalent  (100%  of  the 
additional  costs  for  universities  and  similar  organizations). 

Thematic  networks,  training  and  mobility  of  researchers,  concerted  actions, 
which  consist  of  the  coordination  of  RTD  projects,  measures  appropriate  for 
certain  specific  programmes,  such  as  feasibility  awards,  and  preparatory, 
accompanying  and  support  measures  may receive a contribution  of up to 100% 
of the costs of these activities. 

Direct action carried  out by the JRC consisting of RTD programmes  or parts of 
programmes,  as  well  as  scientific  and  technical  support  activities  of  an 
institutional  character  (i.e. which are necessary  for  the implementation  of other 
Community  policies  and  which  require  the JRC s  neutrality)  will  normally  be 
100%  funded. 

Scientific  and technical activities in support  of other Community policies which 
are  suited  to a competitive approach  will normally  be  100%  funded. 

7. 

FINANCIAL IMPACT 

7.1  Method  of calculating  the total cost of  the operation 

The amounts will cover scientific, technical, demonstration and related horizontal 
support  measures  as  well  as  personnel  costs  and  administrative,  scientific  and 
technical expenses directly linked to the execution of the activities and measures. 
As  far  as  activities  carried  out  by  the JRC  are  concerned,  these  amounts  will 
cover  the infrastructure  for  the institutes. 

As far  as staff  costs are concerned,  the  1995 budget authorizes  a total of  1 372 
permanent  research  posts.  Committed  expenditure  on total  staff  for  the period 
from  1995  to  1998  will  remain  within  the  RTD  staff  expenditure  estimates 
authorized  by the Council,  with the opinion  of  the European  Parliament,  in  the 
Council Decisions  adopting  the specific  RTD programmes. 

•12-

7.2 

Breakdown 

The four activities correspond  to the four objectives fisted  at 4.1  above. 

AMOUNTS AND  BREAKDOWN 

First  activity  (Research,  technological  development  and 
demonstration  programmes) 

Second  activity  (Cooperation  with third countries  and  international 

organizations) 

Third activity  (Dissemination  and optimization  of results) 

Fourth  activity  (Stimulation  of  the training and  mobility  of 
researchers) 
OVERALL AMOUNT 

Ecu  million 
(current  prices) 

11 434 

'  2 

578 

353 

3 4 

796 

13  161 

5 

Indicative  breakdown  of themes 
in the first  activity 

Ecu  million 

(current  prices) 

A. 

B. 

C. 

D. 

Information  and  communication  technologies 
1. 
2. 
3. 

Telematics 
Communication  technologies 
Information  technologies 

Industrial  technologies 
4. 
5.  Measurements  and  testing 

Industrial  and  material  technologies 

Environment 
6. 
Environment  and climate 
7.  Marine  sciences  and technologies 

Life  sciences  and  technologies 
Biotechnology 
8. 
Biomedicine  and  health 
9. 
10.  Agriculture  and  fisheries 

3  643 

2  134 

1 156 

1 682 

902 
674 
2 067 

1 826 
308 

912 
244 

590 
360 
732 

Of which ECU  963 million  for  the operational  budget  of  the JRC. 
Of which  ECU  97  million  for  programmed  scientific  and  technical  support  activities 
suited  to a competitive  approach. 
Apart from the funds allocated to the third activity, an average of 1 % of the t • .uil budget 
of the fourth framework  programme will be allocated to dissemination  and optimization 
of results in the framework  of the first activity.  Close coordination of dissemination and 
optimization  activities  carried  out under  the specific  programmes  of  the  first  activity 
with those carried  out under  the third  activity  will be ensured. 
Of  which  ECU  40  million  for  ad  hoc  scientific  and  technical  support  to  other 
Community  policies  which  will be allocated  on a competitive  basis. 
With the possibility of an increase  to ECU  13 861  million,  in accordance  with  Article 
1(3) of  the  framework  programmes. 

Energy 
11.  Non-nuclear energy 
12.  Nuclear  fission  safety 
13.  Controlled  thermonuclear  fusion 

14.  Transport 

15.  Targeted socio-economic  research 

F. 

G. 

7.3 

Indicative schedule 

1 072 
443 
899 

2 414 

257 

148 

11 434'2 

MECU  - current prices 

YEARS 

Financial perspectives 

^ _ _ __ 

Amounts 

fourth  FP 

1995 
1996 
1997 
1998 

Total 
1995-1998 

J 

5 060 
5 337 
5 724 
6  142 

22 263 

2 990 
3 214 
3 450 
3 507 

13 161 

I 

_ ] __ 

The deflators  used are respectively  for 92-95:  7.60, for 92-96:  8.60, for 92-97: 
11.86 and for  92-98:  15.21. 

The definitive  annual amounts  will be fixed by the budgetary  authority. 

ANTI-FRAUD MEASURES PLANNED UNDER THE OPERATION 

Audit  programme  of  the  Directorate-General.  Supervision  by  the  officials 
formally  responsible  for  the actions. 

Part 2:  Basis  for  cost/effectiveness  analysis 

OBJECTIVES 

The  framework  programme  corresponds  to  the  objectives  established  by  the 
Treaty  on European  Union  and  notably  its  Article  130f(l)  which  states:  "The 
Community  shall  have  the  objective  of  strengthening 
the  scientific  and 
technological bases of Community  industry  and  encouraging  it to become  more 
competitive  at  international  level,  while  promoting  all  the  research  activities 
deemed necessary by virtue of other Chapters of this Treaty. "  The four  activities 
selected  reflect  Article  130g. 

JUSTIFICATION OF THE OPERATION 

The  operation  is  justified  by  the  need  for  the  enlarged  Community  to  help 
strengthen  the scientific  and  technological  bases  of  Community  industry  and  to 
encourage it to become more competitive at international level, while contributing 

H 

to the definition  and implementation  of Community policies  and to meeting the 
needs of  society. 

If in 1995, Austria, Finland and Sweden had still been members of the EEA, 
the Community research budget headings to which EEA members contribute 
would have benefited  from  a financial  contribution of 7% enabling them to 
participate in the fourth  EC framework  programme.  The accession of these 
three  countries  to the  European  Union  and  their  formal  integration  in  the 
Community budget, makes it necessary to adapt the financial amounts of the 
framework  programmes. 

3. 

MONITORING  AND EVALUATION OF THE OPERATION 

The form and frequency of me process of evaluation will be such as to enable the 
Commission  to respond  to the requirements  under Article 4  of  the framework 
programmes  decisions  and  to  evaluate  Community  RTD  programmes  and 
policies. 

The principal factors of uncertainty which can affect the results of the operation 
include the ability and readiness  of private enterprises  to take full  advantage of 
the benefits which these activities will offer them, and the unavoidable difficulty 
in  making  a  direct  link,  especially  in  the  short  term,  between  research 
expenditure  on  the one  hand  and industry's  competitive  success  on  the other, 
notably  in  the  light  of  the  fact  that  innovation  is  not  a  linear  process  from 
fundamental  research,  through applied research  to commercial  application. 

The Commission  shall continually and systematically,  monitor with appropriate 
assistance  from  external  independent  experts,  the  progress  of  the  framework 
programmes  as  regards  the  criteria  set  out  in  Annex II  to  the  framework 
programmes,  which  include  that  of  contributing  to  the  economic  and  social 
cohesion of the Community, and the scientific and technological objectives set out 
It  shall  examine  in  particular 
in  Annex III  to  the  framework  programmes. 
whether the objectives, priorities and financial  resources  are still appropriate to 
the  changing  situation. 
If  necessary  it  shall  make  proposals  to  adapt  or 
supplement  the  framework  programmes  according  to  the  results  of  this 
assessment  (Article 4(1) in the decisions on the framework  programmes). 

In  addition,  the  Commission  shall  have  an  external  assessment  conducted  by 
independent  qualified  experts  into  the  management  of  and  progress  with 
Community activities carried out during the five years preceding this assessment. 
It  shall  communicate  this  assessment  and  conclusions,  accompanied  by  its 
comments, to the European Parliament, the Council and the Economic and Social 
Committee prior to presenting  its proposal  for  the fifth framework  programme 
(Article 4(2)  of  the decisions  on the framework programmes). 

Finally,  in order to help ensure,  inter alia, cost-effective  implementation of the 
framework  programmes,  each specific  programme  shall  provide  for  systematic 
monitoring and, on completion of the programme, independent evaluation against 
the precise objectives referred to in Article 2;  the modalities of such evaluation 
are laid down in each specific  programme  (Article 4(3)  of  the decisions  on the 
framework programmes). 

lb 

ISSN 0254-1475 

COM(95) 145  finaJ 

DOCUMENTS 

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Catalogue number  : CB-CO-95-163-EN-C 

ISBN 92-77-87950-5 

Office foi- Ofh«4lPubUc«to  of Ac European Communities 

L-29B5 Luxembourg 

Ik