Source: EURLEX
Language: en
Format: md

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#### **COMMISSION OF THE EUROPEAN COMMUNITIES**

**COM(93)** **276 final**

**Brussels,** **16** **June 1993**

**Proposal for a**

**COUNCIL DECISION**

**concerning the fourth framework programme of the European Economic Community**

**activities in the field of research, technological development and demonstration**

**(1994 to 1998)**

**Proposal for a**

**COUNCIL DECISION**

**concerning a framework programme of Community activities in the field of**

**research and training for the European Atomic Energy Community**

**(1994 to 1998)**

**(presented by the Commission)**

**C O N T E N T S**

**Summary** **3**

**Explanatory memorandum** **6**

Annex: subsidiarity of this proposal 20

**Proposal for a Council Decision concerning the Fourth framework programme of**
**European Economic Community activities in the field of Research, Technological**
**Development and Demonstration** **(1994** **to** **1998)** **22**

**Annex I : Fourth framework programme** **(1994-1998):** **Amounts and breakdown** **28**

**Annex II : Selection criteria for Community activities** **29**

**Annex III: Scientific and technological objectives** **31**

**Annex IV :** **Rules for financial participation by the Community** **71**

**Proposal for a Council Decision concerning a** **framework** **programme of**

**Community Research and Training Activities for the European Atomic**

**Energy Community (1994 to 1998)** **72**

**Annex I :** **Framework programme (1994-1998) : Amount and breakdown** **76**

**Annex II :** **Selection** **criteria** **for Community activities** **77**

**Annex III:** **Scientific and technological objectives** **79**

**Annex IV :** **Rules for financial participation by the Community** **82**

**Financial statement** **83**

**Business impact statement** **87**
**Proposed timetable** **90**

_**SUMMARY**_

_**OF**_

_**THE**_ _**PROPOSA**_ _**LS CONCERNING**_

_**THE FOURTH FRAMEWORK PROGRAMME**_

_**OF RTD**_ _**AND**_ _**DEMONSTRA**_ _**TION**_ _**AND THE FRAMEWORK PROGRAMME**_ _**Ol<**_

_**RESEARCH AND**_

_**TRAINING IN THE NUCLEAR FIELD**_

_**(EAEC) (1994-98)**_

_**Objective**_

_**Building on the w orking documents of October**_ _**1992,**_ _**COM(92)406,**_ _**and of April**_ _**1993,**_
_**COM(93)**_ _**158,**_ _**the present proposal takes account**_ _**of:**_

_**- the Edinburgh conclusions;**_

_**- developments in the world context;**_

_**- comments and opinions concerning**_ _**the**_ _**first working document;**_

_**- comments and opinions concerning the second working document.**_

_**In**_ _**order to accelerate interinstitutional deliberations**_ _**on the**_ _**Fourth**_ _**framework**_ _**program me**_
_**(political agreement) and ensure the continuation of**_ _**the**_ _**Community's RTD effort, the**_
_**Commission's proposal is based legally on the Single European Act**_ _**with**_ _**footnotes**_
_**indicating the texts which will take effect on the entry into force of the Maastricht**_
_**Treaty.**_ _**The**_ _**proposal on the**_ _**EURA**_ _**TOM Framework Programme is presented**_ _**in**_ _**parallel**_
_**in order to ensure the coherence of all Community RTD activities and this proposal is**_
_**based on the EAEC Treaty.**_

_**Policy changes**_

_**- Greater selectiveness with regard to Community RTD activities in order to increase**_
_**their**_ _**economic**_ _**impact (focusing on generic technologies)**_
**-** _**Greater integration of**_ _**national,**_ _**Community and**_ _**European**_ _**activities (Article**_ _**13 Oh**_ _**of**_
_**the EC Treaty)**_

**-**
_**Develop**_ _**research/training**_ _**synergy**_

_**- Increase the flexibility of Community activities in order to respond rapidly to new**_
_**scientific and technological challenges**_

_**- Bring the financial data into line with requirements and the proposed financial**_
_**perspective for 1993 to**_ _**1999.**_

_**Greater**_ _**selectivity**_

_**- The**_ _**Framework**_ _**Programmes cover all research, technological development and**_
_**dem onstration**_ _**activities.**_ _**The Fourth**_ _**From ew ork Program m e comprises four activities.**_
_**The first (RTD and demonstration programmes) contains seven themes compared**_
_**with**_ _**15 in the Third**_ _**Framework**_ _**Programme.**_ _**Two new themes are introduced:**_
_**research for a**_ _**European transport**_ _**policy and targeted socio-economic**_ _**research.**_ _**Each**_
_**theme covers one or more area of RTD and demonstration.**_

_As_ _regards the_ _EUR_ _A TOM Framework_ _Programment_ _is_ _subdivided_ _into two distinct_

_areas._

_- The selection criteria set out in the preceding working documents have been adjusted_
_to take account of the need to focus and integrate activities, thus reducing the number_
_of areas originally proposed from 54 to 28 for the total of both Framework_
_Programmes._

_- Greater priority is accorded to the first activity in order to take account of the_
_Edinburgh guidelines concerning the need to focus on generic technologies of_
_multisectoral application._

_- Selectivity applies within the individual areas as well in order to focus activities on_
_mobilizing projects and to integrate national, Community and European activities to_

_a greater extent._

_The activities_

_The Community support for RTD activities covered by the_ _**first activity**_ _will continue_
_to_ _focus on generic, precompetitive research of multisectoral application._

_Scientific and technological cooperation activities on subjects of mutual interest with_
_third countries and international organisations, which are one factor in_ _determining_ _the_
_economic efficiency of the Community's RTD activities, are organized partly on a_
_centralised basis in the_ _**second**_ _activity and partly under_ _the_ _individual themes of the first_
_activity, in so far they help to attain the relevant objectives._

_Dissemination activities must be consistent and coordinated, through centralized_
_management on the one hand in the_ _**third activity**_ _and the specific programmes on the_
_other._

_The_ _**fourth activity**_ _addresses advanced training in centres of excellence throughout the_
_Community and will therefore be open-ended and will also focus on partnerships_
_between_ _universities and industry._

_**Intégration**_ _**of**_ _**national.**_ _**Community and European activities**_

_This objective will be pursued at three levels:_

_- assessment of the RTD and demonstration policy options (a new area is proposed in_
_order to promote_ _work_ _in support of decision making)_

_- political level (regular Ministerial consultations)_

_- operational level:_ _between_ _those responsible for RTD activities._

_Appropriate procedures need to be developed within the programmes on the basis of the_
_experience built up and the desire to encourage_ _researchers_ _at_ _national,_ _Community and_
_European level to_ _work_ _together._

_**Research/trainins**_ _svnerev_

_In order to promote_ _growth_ _and reinvigorate economic and social_ _development_ _a_
_combination of labour and capital is not enough;_ _a third factor is needed_ _a_
_combination of knowledge,_ _know-how_ _and dissemination of_ _know-how._

_Research training activities will be carried out both within the themes of the first activity_
_of the Fourth_ _framework_ _programme and across the board (fourth activity) to promote_
_the cross-frontier mobility of_ _researchers working_ _on emerging themes. The same applies_
_to the fields covered by the EURA TOM_ _Framework_ _Programme._ _They_ _will_ _be_
_supplemented by research activities making it possible to introduce innovation into_
_education and training systems and by education and training schemes deriving from the_
_COMETT and ERA SMUS programmes, etc._

_**Flexibility**_

_The decision making system is very complex._ _The Community needs to be able to_
_respond rapidly to scientific and technological changes intervening_ _between_ _the adoption_
_of a_ _framework_ _programme and its review after three years._

_Measures are proposed at three levels:_

_- framework programme: preparatory activities_
_-specific_ _programmes:_ _limited amount for technology promotion earmarked for_
_unsolicited proposals from SMEs; links with EUREKA_
_-_ _work_ _programmes: adaptability._

_**Financial**_ _**resources**_

_- 11625 million ECU (current prices) for the 4th Framework Programme and 1475_
_million ECU for the EURA TOM Framework Programme_ _(1994-98)_ _thus bringing the_
_total for all Community activities up to 13100 million ECU;_

_- with_ _regard to_ _the distribution between_ _the_ _four activities within the Fourth Framework_
_Programme, the First Activity stands out as the major component of the Fourth_
_Framework_ _Programme,_ _although_ _increased priority will be given to the Second_
_Activity (International cooperation) and to the Third Activity (dissemination) relative_
_to_ _funding levels during the period_ _1990-1994;_
_-_ _within_ _the first activity (RTD and demonstration programmes), it is suggested, as an_
_indicative breakdown, to give increased priority to work addressing industry's needs_
_and affecting industrial output within all the topics, as_ _well_ _as to research on a_
_European Transport Policy and life sciences and related technologies._

**EXPLANATORY MEMORANDUM**

**Introduction**

The Community is an area without frontiers, organised both economically and socially
and a partner of consequence in Europe and the world. Cooperation between socioeconomic actors and citizens is spreading and competition is benefiting from transparent
and stable conditions.

The political upheavals in the world, the accompanying slowdown in economic activity
and the recent initiatives taken by its partners have prompted the Community to adopt
a large programme to relaunch economic growth and employment.

The policy of research, technological development and demonstration (RTD) established
in the Treaty on European Union contributes to this effort through the knowledge and
know-how which it helps develop in the medium and long term. It promotes the
adaptation on industrial structures and strategies to the new conditions with regard to
world competition and to the requirements of sustainable growth and of a better quality
of life in Europe.

1. The proposal for a Fourth framework programme for research and technological
development (1994 to 1998), which is the subject of this document, is a direct and
logical continuation of a number of developments in the Community's science and
technology policy since the mid-1980s.

In 1984 the Community decided to improve the coordination of its research and
technological development activities by bringing them within multiannual framework
programmes. To this end it adopted the first framework programme for research and
technological development (1984-1987). The second framework programme (19871991) and the third, the current programme, (1990-1994) have followed.

In 1987 the Single European Act brought research and technological development
within the formal competence of the Community, consolidated the rules and
principles governing Community action in this area, and established the basic
machinery through which it was to act: adoption of multiannual framework
programmes and their implementation through specific programmes. The second and
third framework programmes were proposed and then adopted on the basis of the
Single Act. The Treaty on European Union, signed in Maastricht in February 1992,
clarified certain aspects of the Single Act relating to RTD, and also introduced a
number of amendments, some of them major, to the rules governing this area.

In April 1992 the Commission published a communication entitled "Research after
Maastricht, an assessment, a strategy" (SEC(92)682). On the basis of an analysis of
the state of research and industry in Europe at the beginning of the 1990s and a
critical assessment of Community action to date, this document set out the
Commission's guidelines for Community RTD policy for the next five years.

                       - 6 

**At the same time, the Commission published an evaluation report of the second**
**framework programme (1987 to** **1991).** **An analysis of this was made by CREST at**
**the request of the Council. At the end of April 1992, having considered these two**
**Commission documents, the Council asked the Commission to let it have working**
**proposals as soon as possible.**

**In July** **1992,** **the Commission, in a bid to avoid any gap in RTD financing over the**
**next two years, presented a proposal for a financial supplement to the third**
**framework programme (1990 to 1994).** **This was adopted by the Council in**
**March** **1993.**

**In October 1992 the Commission published a working document concerning the**
**fourth framework programme** **(COM(92)406)** **with a view to pressing ahead with the**
**discussion on the general guidelines for this framework programme pending**
**ratification of the Treaty on European Union. The first working document provided**
**an opportunity for a wide-ranging debate with the constructive participation of the**
**Member States, the European Parliament, the Economic and Social Committee and**
**other Community organizations, together with research scientists and representatives**
**of industry. One very significant point which emerged from the discussions was the**
**emphasis placed on the important role of research in improving the quality of life and**
**strengthening the competitiveness of industry in the Community.**

**2.** **In Edinburgh in December 1992 the European Council stressed the need for**
**Community RTD activities to continue to focus on generic, precompetitive research**
**with a multisectoral impact; at the same time it set the financial perspective for**
**1993-99,** **laid down the general framework for the Community funding allocated to**
**research and called on the Commission to make some changes:**

_**"Community support for R&D should continue to focus on generic, precompetitive**_
_**research and be of multisectoral application. EUREKA should remain the principal**_
_**vehicle for supporting R&D activities which are nearer to the market and the**_
_**Commission should bring forward proposals to improve the synergy between the**_
_**Community's research activities and EUREKA.**_ _**Improving the dissemination of**_
_**results amongst enterprises, particularly small and**_ _**medium-sized**_ _**businesses,**_
_**cost-effectiveness and coordination between national**_ _**programmes**_ _**should be priorities**_
_**for Community action. These conclusions should be reflected in the consideration**_
_**and adoption of**_ _**the**_ _**fourth framework programme.**_ _**"**_

**The European Council also called upon the Commission:**

_**"to**_ _**bring**_ _**forward**_ _**proposals for improving the**_ _**management**_ _**and**_ _**efficiency**_ _**of research**_
_**funded by the Community to achieve better economic effectiveness. To this end the**_
_**selectivity of actions should be increased, and it should be ensured that Community**_
_**activities contribute the most value added possible to efforts already underway in the**_
_**Member**_ _**States.**_ _**"**_

**In April 1993 the Commission published a second working document** **(COM(93)158)**
**taking account of the comments received on the first, developments in the world**
**context and in Europe and the guidelines issued at the Edinburgh European Council.**
**It complemented and clarified the broad lines set out in the October** **1992** **working**
**document indicating how to mobilize more effectively the capacities of the**
**Community as a whole. This communication is based on that second working**
**document.**

**I. BROAD LINES OF THE COMMUNITY'S RESEARCH TECHNOLOGICAL**

**DEVELOPMENT AND DEMONSTRATION POLICY**

**3.** **The need is to respond to the challenge which American and Japanese RTD policies**
**pose and to make up for the European shortfall as regards the intensity of research**
**(2 % of GDP in the Community as compared with about 3 % in the United States**
**and Japan) and human resources (4.3 researchers in Europe for every 1000 employees**
**as compared with 7.5 in the United States and Japan). The basic objective is to** _**move**_
_**on**_ _**from a patchwork of**_ _**separate**_ _**RTD and**_ _**demonstration**_ _**activities to a fully fledged**_
_**Community policy**_ **in this field.**

**The fourth framework programme must, therefore:**

**- make** _**Community activities more selective**_ **so as to increase the** _**economic spin-offs,**_
**in particular by concentrating on generic technologies which will enable European**
**industry and its subcontractors to go back on the offensive in international**
**competition;**

**- prepare the way for cooperation leading to closer integration of** _**national and**_
_**Community RTD activities and**_ _**increased**_ _**synergy between the**_ _**Structural Funds**_ _**and**_
_**the research activities contributing to strengthen cohesion within the**_ _**Community,,**_

**- create the conditions for increased** _**synergy between research and**_ _**training;**_

**- empower the Community, using appropriate means, to** _**respond rapidly**_ **to scientific**
**and technological change;**

**- be allocated sufficient financial resources to** _**maintain a sustained effort at**_
_**Community level**_ **to pursue realistically the objectives set by the Treaty on**
**European Union and thus contribute the most value added possible to efforts already**
**under way in the Member States.**

**Greater selectiveness to secure improved economic benefits**

_**The scope**_

**4.** **The scope of the fourth framework programme has been determined on the basis of**
**one of the most important new RTD provisions introduced in the Maastricht Treaty.**
**Under this provision the framework programme is to include all the RTD activities**
**covered by the Treaty. Thus all Community research and technological development**
**activities, whatever their form and under whichever common policy they fall, are**

**- 8 -**

**included within the framework programme. These activities include basic research,**
**basic industrial research, applied research and technological development. Under the**
**terms of the new Article 130f(3) they also include demonstration projects in the sense**
**of the demonstration of the technical feasibility of projects on the demonstration of**
**their economic viability. All these activities are explicitly confined to the**
**precompetitive stage.**

**In keeping with the Maastricht Treaty the fourth framework programme will also**
**include all research, technological development and demonstration activities carried**
**out within the framework of the major common policies, such as agriculture,**
**fisheries, energy or transport. A framework programme of research and training in the**
**nuclear field for the EAEC is being proposed at one and the same time as the Fourth**
**framework programme in order to ensure the coherence of all Community RTD**
**activities. The Fourth framework programme will incorporate demonstration and**
**dissemination activities related to the promotion of energy technologies which are**
**currently included in the THERMIE programme. Likewise in accordance with the**
**Commission's approach to the future of the ECSC Treaty, the coal and steel industries**
**of the Community will increasingly ("phasing in") find a response to their research**
**needs,** **including those on social aspects, in the Community's RTD activities. The aim**
**here is not merely a mechanical grouping of activities. The significance of this new**
**provision is primarily political, namely consistency and mutual reinforcement between**
**research policy and the other major common policies. Organized programming of all**
**research activity is needed to ensure such consistency and to allow for the greatest**
**possible synergy in the definition and implementation of the various policies.**

**The activities previously executed outside the framework programme and referred to**
**as APAS (Preparatory, Accompanying and Support Activities) will henceforth be**
**included in the Fourth framework programme.**

**The most obvious case is international scientific cooperation. The measures which**
**were until now executed on an annual basis without an overall, long-term planning**
**frame will now be subject to multiannual planning. They will form a coherent whole**
**in the shape of the second activity.**

**The same will apply to other measures with a multiannual horizon, such as SPRINT,**
**which are today executed on various legal bases. These measures will be brought**
**together under the wide-ranging third activity of the framework programme.**

**Another group of measures which are currently outside the framework programme are**
**the general measures needed to define, implement and support RTD policy. They**
**concern in particular: studies, exploratory and evaluation activities, promotion,**
**support and coordination activities. These measures will also be included in the**
**fourth framework programme, but must be implemented with the procedural**
**flexibility required so that the Commission maintains its power of initiative and**
**execution for non-significant measures in accordance with Article 22 of the Financial**
**Regulation.**

**- 9 -**

**The evaluation of programmes and policies of Community RTD will be given greater**
**credibility through the institution, by and for the Commission of a Committee for the**
**Evaluation of Research, the independence and permanence of which will be ensured.**

**The activities**

**6. The Maastricht Treaty specifies the activities which go to make up the framework**
**programme. There are four activities, clearly described in Article 130g:**

**(a) implementation of research, technological development and demonstration**
**programmes, by promoting cooperation with and between undertakings, research**
**centres and universities;**

**(b) promotion of cooperation in the field of Community research, technological**
**development and demonstration with third countries and international**
**organizations;**

**(c) dissemination and optimization of the results of activities in Community**
**research, technological development and demonstration;**

**(d) stimulation of the training and mobility of researchers in the Community.**

**The fourth framework programme is, therefore, built around these four activities.**

**The areas of RTD covered by the EAEC Treaty are grouped together in the**
**framework programme for research and training in the nuclear field.**

**Focusing**

**7. This entails being more selective in the activities carried out and laying the scientific**
**and technical foundations needed for sustainable, environment-friendly development**
**in industry, agriculture and services, exploiting the advantages of the single market**
**in order to improve Europe's competitiveness and quality of** **life.** **Within each research**
**theme, it is intended to concentrate financial resources on a limited number of topics,**
**chosen for their specific added value (shared cost actions), and, in addition, to work**
**towards the coordination of national, community and European actions through**
**suitable methods.**

**In** **keeping with the Community's industrial policy strategy endorsed by the Council**
**and** **given** **the** **needs of the other common policies,** _**research activities should focus**_
_**on precompetitive research into technologies**_ _**with**_ _**a multisectoral impact**_ **which can**
**help increase industrial competitiveness, especially in key areas, and on** _**themes of**_
_**interest to society in**_ _**general;**_ **it is necessary to ensure that the results are transferred**
**rapidly** **to** **industry, especially to small and medium-sized businesses and to the**
**branches of the economy which will use them. Certain major objectives guide the**
**choice of** **research** **activities: to develop efficient and safe infrastructures, in particular**
**an information and communications infrastructure; to produce efficiently, cleanly and**
**safely on the basis of modern organization of production; to make environmental**
**protection an aspect of industrial competitiveness; to promote an improvement in**

**- 10-**

**health care, food quality and food hygiene; to ensure technological and industrial**
**integration within the internal market (in particular by strengthening coordination**
**between RTD policy and standardization policy); to anticipate technological and**
**industrial changes so as to ensure that greater account is taken of the needs of the**
**market; to increase the synergy between international cooperation activities in this**
**area and the Community's external policies.**

**The focusing of Community RTD activities is reflected at three levels:**

**- the structure of the Fourth framework programme: on the grounds of rationalization**
**it is proposed that the first activity (research, technological development and**
**demonstration programmes) should be organized around seven main themes**
**including two new themes concerning research for a European transport policy**
**(strategic aspects and systemic and general aspects useful for the definition and**
**realisation of the Community transport policy in coordination with the generic**
**activities coming under other themes) and targeted socio-economic research. Annex**
**I proposes a structure for the fourth framework programme which ensures a large**
**degree of continuity with the third framework programme and takes into account**
**the new elements needed;**

**- selectiveness criteria: in order to define the Community RTD activities, Annex II**
**of this proposal for the Fourth framework programme (Selection Criteria for**
**Community Activities) lays down criteria with regard especially to the greater**
**focusing of activities and the coordination of national and Community activities;**
**they will also be applied when preparing specific programmes and selecting**
**projects;**

**- applying these criteria to focus Community activities on a limited number of**
**research,** **technological development and demonstration areas: Annex III gives a**
**detailed description of the subject matter of the activities proposed for the Fourth**
**framework programme.**

**The structure, criteria and content of the activities of research and training in the**
**nuclear field are set out in annexes to the proposal regarding the framework**
**programme for the EAEC.**

**Closer coordination of RTD activities in Europe**

**8. The principle of subsidiarity dictates that the Community should take action on**
**research only if the objectives can be better achieved by the Community than by the**
**Member States acting on their own (see the annex concerning the subsidiarity of this**
**proposal).** **Article 130h of the Treaty on European Union also requires the**
**Community and the Member States to coordinate their activities so as to ensure that**
**national policies and Community policy are mutually consistent.** **It must be**
**acknowledged that not enough has been achieved on this point so far.** **A new**
**approach is needed, with the detailed procedures tailored to each research area.**

**11**

**?.** **The call for greater consistency between national policies and Community policy is**
**based on thefact that less than 4% of all government expenditure on civil research**
**and technological development by the Member States corresponds to the Community**
**funds allocated to joint actions.**

**It is proposed that the following types of action should be launched:**

**- evaluation of science and technology policy options to supply a common knowledge**
**base for discussions on RTD activities in Europe;**

**- political concertation at the highest** **level,** **in the form of regular meetings of the**
**European Ministers of Research in conjunction with the Ministers with special**
**responsibility for industry and economic development specifically on this issue;**

**- concertation at the operational level between the heads of the national and European**
**research bodies and those responsible in industry (producers and users).**

**As far as the practical implementation of RTD activities is concerned, the**
**coordination of national and Community activities could be achieved in three ways:**

**- greater synergy and mutual enhancement of the action taken at national level could**
**be achieved by giving priority in the specific programmes to activities aiming at**
**such closer cooperation:**

**- in fields where worldwide collaboration is already established, only a coordinated,**
**united Europe will be able to hold its own in talks with the other major partners,**
**particularly the USA and** **Japan; it is proposed that national and Community**
**activities** **should be coordinated to a large extent in certain areas which lend**
**themselves to this approach;**

**- integration to create the** **"European** **research area" while maintaining the diversity**
**and plurality of approaches which will require closer coordination of the research**
**conducted at European level under the auspices of international** **bodies** **such as**
**CERN, ESA, ESO, EMBO, EMBL, the ESF and, above all, EUREKA. The need**
**to strengthen links between Community activities and EUREKA should be stressed**
**in this context.** **Recalling the respective roles of EUREKA and Community**
**research, the Edinburgh European Council emphasized the need to strengthen the**
**synergy between them.**

**10.** **Alongside the traditional networks established in the context of Community**
**activities hitherto, this cooperation can be achieved through such means as thematic**
**networks of excellence, concertation networks and consortia for integrated projects**
**(see Annex III to this proposal).**

**The Joint Research Centre will make its contribution to this new approach.**

**- 12 -**

**11.** **Such consistency is pointless unless the Community aims at achieving harmonious**
**development of its scientific and technological resources. Synergy between RTD**
**policy and the structural policies should be strengthened.** **The amendments**
**proposed by the Commission to the Regulations governing the Structural Funds**
**provide one opportunity in this connection during the new programming period**
**(1994-99). The emphasis now being placed on technology in the less-favoured**
**regions and on skills in science and technology offers new prospects for synergy,**
**in particular with the third and fourth activities of the fourth framework programme.**
**While applying the principle of excellence, Community RTD activities provide a**
**second opportunity. The research priorities reflected in the first activity of the**
**fourth framework programme take account of the interests and capacities of the**
**Member States, including the less advanced ones. The RTD programmes can make**
**an effective contribution at little cost to making good use, for the benefit of the**
**Community, of the scientific and technological potential of the less-favoured**
**regions by networking them with centres of excellence in the most advanced**
**regions. The third and fourth activities will have a growing impact on the less**
**developed regions and countries through specific measures (national/regional relay**
**centres, transfer networks geared to the traditional industries, measures to avoid the**
**"brain** **drain", "European chairs"). This synergy between the Structural Funds and**
**research activities will contribute towards a true policy of cohesion by developing**
**the potential of the regions and relating them to the European research area.**
**However, it should not be forgotten that it is primarily the responsibility of the**
**Member States to establish an overall strategy aimed at making the best use of the**
**capacities created by the various sources of Community funding available.** **A**
**Commission paper on synergy between RTD policy and the structural policies was**
**sent to the Council, the European Parliament and the Economic and Social**
**committee in May** **1993.**

**Furthermore, in the light of the decisive role played by SMEs in the economic**
**development of the Community as a whole, there should be greater coherence**
**between RTD policy and actions focusing on SMEs. On this last point, the Council**
**adopted on 14 June 1993 a new multiannual programme of Community actions**
**which is intended to reinforce these main guidelines and to ensure the continuity**
**and the consolidation of policy on enterprises, particularly SMEs. This programme**
**includes an important aspect relating to the improvement of** **SMEs'** **access to**
**Community programmes.**

**Svnergy** **between research and training**

**12.** **In order to promote growth and reinvigorate economic and social development a**
**combination of labour and capital is not enough; a third factor is needed - a**
**combination of knowledge, know-how and dissemination of know-how using the**
**latest technologies, particularly information and communications technologies.**
**Knowledge must be acquired with the aid of** **research;** **know-how** **must be built up**
**with the aid of research and training; and scientific knowledge must be**
**disseminated with the aid of information systems and the media. One of the greatest**
**spin-offs** **of Community activities in recent years has been the establishment and**
**expansion of** **Europe-wide** **research networks.**

**- 13 -**

**Activities aimed at promoting the mobility of researchers and stimulating the**
**creation of networks must constitute an important aspect of each of the topics**
**within the first activity of the Fourth framework programme, as** **well** **as in the**
**extension of the current "Human Capital and Mobility" programme, where they are**
**the object of a cross disciplinary activity (the fourth activity) for the development**
**of the human resources necessary to exploit new fields or research subjects.**

**The role of training activities, which seek to raise the general level of scientific and**
**technical competence, is likewise of strategic importance. This calls for action to**
**build on the foundations laid by the ERASMUS and COMETT programmes by**
**promoting training at European level and mobility as well as promoting scientific**
**information and culture in Europe alongside the implementation of the Fourth**
**framework programme, in particular in the activities related to the development of**
**generic technologies.**

**The ability to respond rapidly to developments in** **science,** **technology and industry**

**13.** **Related to the objective of improving the economic spin-offs from Community**
**research there is the problem of the speed of response to developments in science**
**and technology. The Community's institutional and decision-making framework for**
**RTD is unwieldy.**

**The Community therefore has to be able to respond swiftly to developments in the**
**situation, while maintaining the interinstitutional balance. This means first of all**
**respecting the nature and degree of detail of the two levels of Community**
**legislation (framework programme, specific programmes) and the implementation**
**level (work programme). Flexibility could be built into Community RTD activities**
**at three levels:**

**-** **framework programme: provision must be made for a limited range of activities**
**so that preparatory activities, definition phases for new programmes** **and** **possibly**
**pilot projects can be launched between the time when the framework programme**
**is adopted and its revision. Continuous and systematic examination of the**
**progress of the framework programme and independent evaluation of its**
**management and the achievements of the actions undertaken will also help to**
**reorientate Community actions in due course;**

**-** **specific programmes: to ensure flexibility, a limited amount of funds should be**
**set aside, in each specific programme, for unsolicited proposals from operators**
**(mainly from SMEs, technical centres and research organizations) which have**
**to be processed very quickly (technology stimulation);**

**-** **work programmes: the ability to adapt the work programmes under the specific**
**programmes will enable the Member States and the European Parliament to have**
**a real say in how to respond to developments in science and technology: in the**
**case of the Member States, by being represented on the programme committees**

**- 14**

**and, in the case of Parliament, through the annual budget procedure.** **Particular**
**attention will be paid in the** **implementaiton** **of** **Communtiy** **activities to the**
**simplification and improvement of management in the general interests of**
**transparency and efficiency, to decentralisation in appropriate ways as well as**
**to rigorous evaluation.**

**14.** **As regards links between Community activities and EUREKA, considerable**
**progress has been made and the basis for greater cooperation has been established**
**jointly by the Commission and the EUREKA authorities in accordance with the**
**twin principles of greater transparency in the procedures followed by the countries**
**concerned with regard to EUREKA projects and the framework programme, and a**
**clearer definition of their respective roles.** **The essential elements are better**
**circulation of information concerning projects and support measures (legislation,**
**standardization, training), the taking into consideration in EUREKA projects of the**
**results of Community projects, clearer definition of the respective roles of each**
**forum vis-à-vis industrialists, and especially SMEs, more systematic taking into**
**account of the precompetitive phases of EUREKA projects within the framework**
**programme and joint examination of** **large-scale** **strategic projects proposed by**
**industrialists. As regards the Community, this entails the establishment, after an**
**extensive pilot phase, of new mechanisms for taking into account projects from the**
**EUREKA framework outside the timetable for Community calls for proposals in**
**accordance with the normal selection rules, along the lines of earlier decisions taken**
**on a case-by-case basis concerning certain large, strategic EUREKA projects**
**(JESSI,** **HDTV, COSINE). The financial resources to be allocated to this activity**
**could be included on an indicative basis in the work programmes for the**
**Community programmes. The same would apply to projects which are part of a**
**research activity within other European scientific and technological cooperation**
**forums. The projects would be taken into account by the respective authorities (in**
**the case of the Community, by the Commission assisted by the committees, on**
**which the Member States are represented) and compared with the merits of projects**
**proposed in response to the publication of Community calls for proposals. Any**
**involvement by the Community will have to be consistent with the objectives of the**
**specific programmes and confine itself** **to** **the precompetitive and generic aspects of**
**projects submitted to the committees for appraisal.** **EUREKA's national and**
**international authorities should ask the industrialists concerned to look more**

**systematically into the relationship with Community RTD activities at each stage**
**right from the definition of EUREKA projects through to their execution. EUREKA**
**should remain the main vehicle for support for RTD activities which are closer to**
**the market, including demonstration and production development projects, and give**
**rise to increased coordination between the RTD activities of** **the** **EUREKA member**

**countries, while drawing benefit from the flexibility and "bottom-up" nature of the**
**initiative.**

**- 15 -**

**II.** **THE OVERALL LEGISLATIVE FRAMEWORK**

**The decisions needed**

**15.** **The fourth framework programme has been conceived in the spirit of the Maastricht**
**Treaty. However, in view of the delays encountered in the ratification of the Treaty**
**on European Union, and in order to ensure the indispensable continuity of the**
**Community research effort, the Commission is now presenting its proposal for the**
**fourth framework programme on the basis of the Single Act, indicating in footnotes**
**the texts which will take effect upon the entry into force of the Treaty on European**
**Union.**

**The proposal for the Fourth framework programme** **(1994-1998)** **is but one stage in**
**the larger decision-making process. The Treaty on European Union maintains the**
**principle of the dual legislative procedure introduced by the Single Act, i.e.**
**adoption of the framework programme as a whole followed by the adoption of the**
**individual specific programmes.** **However, the Treaty introduces an important**
**innovation compared with the Single Act. The provisions on the adoption of rules**
**on the participation of undertakings, research centres and universities in Community**
**programmes have been changed. In the past they were adopted at the same time**
**as each of the specific programmes; in the future they must be the subject of a**
**separate Council Decision. The same applies to the provisions, currently governed**
**by the Council Decision** **92/272/EEC** **of 29 April** **1992** **concerning the dissemination**
**and exploitation of knowledge resulting from the specific programmes of research**
**and technological development of the Community.**

**16.** **The legislative framework within which the fourth framework programme is to be**
**implemented** **will thus comprise four different types of legal act:**

**(a)** **a Decision on the framework programme** **itself.** **In accordance with the**
**provisions of the EC Treaty, it must be adopted by the Council, acting**
**unanimously, under the** **co-decision** **procedure with the European Parliament**
**(Article 189b). To include all Community RTD activities in the Programme,**
**a parallel Council Decision based on the Euratom Treaty is also required.**
**Consequently, the procedure for adoption of the framework programme is**
**more complex than the system under the Single Act;**

**(b) in contrast, the Maastricht Treaty has simplified the procedure for adopting the**
**specific programmes. They will be adopted by a qualified majority in the**
**Council after consulting the European Parliament** **and** **the Economic and Social**
**Committee;**

**(c)** **a Council Decision laying down rules for the participation of undertakings,**
**research centres and universities in the framework programme, as well as a**
**Council decision on the rules governing the dissemination of research results.**
**These decisions, referred to in the new Article 130j of the Treaty, will be to**
**be adopted in cooperation with the European Parliament (the procedure laid**
**down in Article 189c of the new Treaty);**

**- 16 -**

(d) all the acts adopting Decisions concerning the creation of other, optional,
instruments for the implementation of the framework programme:
supplementary programmes, participation in research programmes undertaken
by several Member States, cooperation with international organizations, and
joint undertakings. These acts are covered by Articles 130k, 1301, 130m and
130n of the EC Treaty respectively and are adopted under the procedures
foreseen in Article 130o.

Decision-making timetable

17. The timing of the decisions must satisfy the following two constraints :

    - the Fourth framework programme, which will govern Community RTD almost
until the end of the century, must be firmly based on the Treaty on European
Union and therefore must be adopted after it has entered into force;

    - the Fourth framework programme must be adopted early enough to ensure
proper continuity of Community RTD in industry, universities and other research
organisations. In this context, it should be remembered that the Third framework
programme and its specific programmes end on 31 December 1994 and that the
implementation of the Fourth framework programme requires not only decisions
on the specific programmes but also a whole preparatory phase before actual
research projects can start.

These two points imply a very tight timetable starting in November/December 1993
(1st reading by the European Parliament and common position of the Council) and
finishing in February /March 1994 (2nd reading by the European Parliament and
final decision) and militates in favour of a process of consensus between the two
legislative branches thereby avoiding a 3rd reading (conciliation procedure).

**m.** **FINANCIAL ASPECTS**

The legal and budgetary framework

18. The legal and budgetary provisions of the fourth framework programme (1994 to
1998) will differ significantly from those for the first three framework programmes.
In this area too the Maastricht Treaty introduced an important innovation compared
with the Single Act. Articles 130i and 130k of the EEC Treaty as modified by the
Single Act use the concept of the "amount deemed necessary". The Maastricht
Treaty, however, has introduced the concept of the "maximum overall amount" to
determine the funding for the framework programme as a whole and for the various
activities implementing it. The framework programme and its four activities will
therefore be funded within the bounds of the "maximum overall amount" set by the
legislative authority.

**17**

**The financial implications of the RTD priorities**

**19.** **In the context of the conclusions adopted by the European Council in Edinburgh**
**concerning Community finances for the period 1993-1999, the new guidelines and**
**the resulting priorities for RTD have the following financial implications:**

**-** **the maximum overall amount allocated to the Fourth framework programme for**
**the period 1994-98: the conclusions adopted in Edinburgh envisage funding for**
**Community RTD activities ranging between one-half** **and** **two-thirds of** **that** **for**
**internal policies over this period. Also the growth in RTD expenditure must be**
**consistent with the overall growth in spending on the internal policies**
**(category 3 of the proposed financial perspective).** **On the basis of RTD**
**expenditure for** **1993,** **the Commission has adjusted its October 1992 assessment,**
**taking into account these various considerations and an appraisal of the**
**financing requirements, and is now proposing** **13100** **million ECU at current**
**prices for the Fourth framework programme and the framework programme of**
**research and training in the nuclear field (1994-1998). This funding, however,**
**must cover needs expressed throughout the Community and thereby contribute**
**to supporting the competitiveness of its industry and to improving the quality**
**of life. Given the increased emphasis on priority areas, this amount will**
**considerably strengthen certain activities whilst** **at** **the same time allowing certain**
**new areas to be included within the first activity of the Fourth framework**
**programme. Among other things it will allow energy demonstration activities to**
**be carried out which were previously the responsibility of the THERMIE**
**programme but which now come under the Fourth framework programme. It will**
**also allow the Community coal and steel industries to find a progressively**
**strengthened ("phased in") response in the Fourth framework programme to their**
**research needs. It will ensure the integration of all scientific and technological**
**cooperation with third countries and an adequate reply by the Community to**
**external challenges, such as the massive investments by countries like the USA**
**and Japan, and internal challenges such as the tendency not to increase national**
**research budgets.**

**- the breakdown of this overall amount between the four activities of the Fourth**

**framework programme and the relative priorities assigned to the major themes**
**making up the first activity: Annex I to the fourth framework programme shows**
**the relative shares for each of the four activities proposed. The financial balance**
**between the four activities has been altered, compared with Annex I to the first**
**working document, to take account of the decisions and guidelines adopted by**
**the Edinburgh European Council (financial framework, priority given to the first**
**activity concerning generic technologies, greater importance attached to**
**dissemination and optimization of results within each theme and as a centralized**
**activity). Given the comparative importance of** **the** **first activity, Annex I to the**
**four framework programme also gives additional indications of the respective**
**priorities assigned to each of the major themes in it. These include the new**
**research for a European Transport Policy since the common transport policy**

**- 18**

requires specific research work which must be adequately financed. To
contribute to a better quality of life in Europe, inter alia life sciences and related
technologies must be granted additional resources in order to cope with the
increasing needs for research in general biotechnology, biomedicine and health,
as must the research needed to accompany the reform of the Community policies
on agriculture, forestry, rural development,fisheries and fish farming.

**- 19**

ANNEX TO THE EXPLANATORY MEMORANDUM

**SUBSIDIARITY OF THE PROPOSAL**

**FOR THE FOURTH FRAMEWORK PROGRAMME**

The principle of subsidiarity as defined in article 3b of the Treaty on European Union
imposes limitations on the fields where the Community can act, it acting only if and in
so far as the objectives of the proposed action cannot be sufficiently achieved by the
Member States and can therefore, by reason of the scale or effects of the proposed
action, be better achieved by the Community. In this context the following questions are
pertinent.

(a) _What_ _are the objectives of the proposed action in relation to the Community's_
_obligations?_

This proposal is directed towards achievement of the objectives which have been
assigned to RTD policy by the Single Act and subsequently confirmed by the
Treaty on European Union and, in particular, the strengthening of the
competitiveness of Community industry, the improvement of the quality of life and
the support of other Community policies. These objectives are set in the context of
a harmonious and sustainable development of the Community.

(b) _Does competence for the planned activity lie solely with the Community or is it_
_shared with the Member States?_

The Single European Act brought research and technological development within
the explicit competence of the Community, although competence is shared with
Member States, consolidated the rules and principles governing Community action
in this area, which complements the activities undertaken by the Member States,
and established the basic machinery through which it was to act.

(c) _What_ _is the Community dimension of the problem (for example how many Member_
_States are involved and what solution has been used up until now)?_

The implementation of the framework programme for RTD aims at strengthening
the scientific and technological basis of the whole of the Community (all the
Member States), and it is in line with the previous framework programmes
implemented since 1984. However, it only includes less than 4 % of Member States'
total public expenditure on research.

(d) _What is the most effective solution taking into account the means available to the_
_Community and those of the Member States?_

In order to ensure the effectiveness of Community RTD actions and in order to
avoid duplication of activities being undertaken at the level of the Member States,
the framework programme will concentrate its activities particularly on generic
technologies with multi-sectoral impact and on large scientific projects.

An additional guarantee of effectiveness will be the higher degree of coordination
between national and Community actions in line with article 130h of the Treaty.

**-** **20**

**(e)** _**What real added value will the activity proposed by the Community provide and**_
_**what would**_ _**be the cost of**_ _**inaction?**_

In comparison with individual national efforts, their integration with Community
actions together with the development of synergies with the activities undertaken
in the wider framework of European research, in particular the strengthening of the
synergy between Community actions and EUREKA, will permit improvements in
the way that existing research potential in the Community is used and will represent
real added value for the whole of the Community not only in terms of advantages
for industrial competitiveness and of the response to social needs but also in terms
of support of other Community policies. Inactivity would lead to a loss of this
synergy, to fragmentation and to duplication of efforts made by the Member States
individually.

**(f)** _**What forms of**_ _**action**_ _**are available to the Community**_ _**(recommendations,**_ _**financial**_
_**support, regulation, mutual recognition, ...)?**_

The forms of action available to the Community are described in Annex IV of the
proposal for a Council decision.

**(g)** _**Is it necessary to have uniform regulation or is a directive setting out the general**_
_**objectives sufficient, leaving implementation at the**_ _**level**_ _**of the Member States?**_

The framework programme does not impose uniform regulation in the strict sense.
Through appropriate financial mechanisms it establishes a coherent framework for
action, bringing together projects implemented in cooperation by public and private
operators (companies, research centres, universities).

21

**Proposal for a**
**COUNCIL** **DECISION** **[(1) ]**

**concerning the fourth framework programme of the European** **Economlc** **[(2) ]**

**Community activities in the field of research, technological development and**

**demonstration**

**(1994 to 1998)**

THE COUNCIL [(3)] OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Economic [(4)] Community, and in
particular Article 130q(l) thereof, [(5) ]

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Parliament/ [63 ]

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

Whereas Article 130f of the Treaty provides that the Community's aim is to strengthen
the scientific and technological basis of European industry and to encourage it to
become more competitive at international level;

Whereas it is important for the Community and the Member States to coordinate their
research and technological development activities so as to ensure that national policies
and Community policy are mutually consistent;

Whereas Article 130i of the Treaty provides for the adoption of a multiannual
framework programme, including all the activities of the Community in the field of
research, technological development and demonstration (hereinafter referred to as
"RTD");

NB: The numbered footnotes indicate the amendments (deletions or additions) which
will have to be introduced after the entry into force of the Treaty on European
Union and the alphabetical footnotes contain references to previous publications
in the Official Journal of the European Communities

CD Replace by : "EUROPEAN PARLIAMENT AND COUNCIL DECISION"

(2) Omit this word

(3) Replace by: "THE EUROPEAN PARLIAMENT AND THE COUNCIL"

(4) Omit this word

(5) Replace by: "Article 130i (1)"

(6) Omit this citation

**- 22**

**Whereas by Decision** **90/221/Euratom,** **EEC** **[(8)]** **the Council adopted a third framework**
**programme for the period 1990 to 1994, which is in the process of being implemented;**
**whereas Council Decision** **93/167/Euratom,** **EEC** **[00]** **provided for supplementary financing**
**for the last two years of implementation of the third framework programme;**

**Whereas on 9 April** **1992** **the Commission presented an assessment of progress in**
**implementing the third framework programme;** **whereas on 22 April 1992 it also**
**presented an evaluation of all the specific programmes carried out under the second**
**framework programme; whereas on 25 September 1992 the Scientific and Technical**
**Research Committee (CREST) presented an analysis of this evaluation at the request of**
**the Council;**

**Whereas on** **18** **November 1992 the Commission presented a document on the future of**
**the ECSC Treaty and its financial activities until the year 2002, the date on which it**
**expires;**

**Whereas the European Council, at its meeting in Edinburgh on** **11** **and 12 December**
**1992,** **reached conclusions reaffirming the general, precompetitive and multisectoral**
**nature of Community RTD, calling for more synergy between Community RTD**
**activities and those undertaken in the context of EUREKA and for better dissemination**

**of the results of those activities to small and medium-sized undertakings, and**
**emphasizing the central role of Community RTD policy in coordinating activities**
**undertaken by the Member States;**

**Whereas, in view of the rapid pace of technological development, the new economic**
**challenges which the Community must meet and the increased level of global**
**competition, it has been judged appropriate to adopt a new framework programme for**
**the period 1994 to 1998 in order to ensure the continuity of multiannual Community**
**RTD activities;**

**Whereas the purpose of strengthening the scientific and technological basis of the**
**Community should be to improve both quality of life and the Community's industrial**
**competitiveness^:**

**(a)** **OJ No L** **117,** **8.5.1990, p. 28.**

**w** **OJ No L 69, 20.3.1993, p. 43.**

**(7>** **Add: "and** **whereas** **there is a need to promote research activities deemed necessary**
**as part of other Community policies;"**

**-23** **-**

**Whereas, in accordance with the Treaty, it is necessary to undertake demonstration**
**activities in the sense of demonstration of** **the** **technical feasibility of projects or of their**
**economic viability;**

**Whereas the Community is committed to ensuring sustainable development which**
**respects the environment and whereas Community RTD activities will contribute to such**
**development;**

**Whereas small and medium-sized undertakings are able to make a significant**
**contribution to the innovation process and should play a substantial role in the**
**implementation of Community RTD activities; whereas, therefore, particular attention**
**should be paid to the specific needs of such undertakings in order to facilitate their**
**access to information, encourage them to take part in Community programmes and**
**enhance their ability to exploit their results;**

**Whereas the formulation and implementation of the Community's policies and actions**
**must take into account the objectives related to economic and social cohesion; whereas,**
**in accordance with this principle, the framework programme must contribute to the**
**harmonious development of the Community while maintaining scientific excellence as**
**an essential criterion; whereas it is therefore necessary to strengthen the synergy**
**between RTD activities and the action undertaken by the Community via the structural**
**funds;**

**Whereas, in conformity with the principle of subsidiarity, the Community should act**
**only if and to the extent that the objectives of a proposed action cannot be adequately**
**achieved by the Member States and is therefore, by reason of its scale or effects, better**
**carried out at Community level;** **whereas this is the case with Community RTD**
**activities which meet the criteria provided for in this Decision; whereas compliance**
**with these criteria implies that decisions on the areas for Community intervention must**
**be very selective;**

**Whereas Articles 130g and 130i of the Treaty define four types of Community activity;**
**whereas the first of these activities involves the implementation of specific RTD**
**programmes by promoting cooperation with and between undertakings, research centres**
**and universities; whereas such programmes should cover a limited number of RTD**
**areas of priority to the Community; whereas, because of the importance of the topics**
**covered by this first activity, it constitutes the main component of the fourth framework**

**programme;**

**Whereas research actions in the field of nuclear safeguards and safety and controlled**
**thermonuclear fusion are the subject of a separate decision relating to the framework**
**programme of Community activities in the field of nuclear research and training;**
**whereas the scientific and technical objectives of the actions to be carried out are listed**
**in the abovementioned framework programme:**

**24**

**Whereas the second of these activities involves the promotion of cooperation in the field**
**of Community RTD with third countries and international organizations; whereas in this**
**field of activity it is important for the Community to assume its responsibilities at the**
**international level; whereas scientific and technical cooperation must be developed with**
**the industrialized nations, taking due account of the new opportunities for cooperation**
**offered by the Agreement on the European Economic Area, the developing countries,**
**the countries of Central and Eastern Europe and the States which have emerged from**
**the former Soviet Union; whereas it is important systematically to reinforce the**
**complementary relationship and to improve links between Community activity and**
**research activities undertaken in the framework of specialized European organizations;**
**whereas it would be expedient to step up COST activities relating to multilateral RTD**
**projects;**

**Whereas the third of these activities involves the dissemination and optimization of the**
**results of Community RTD; whereas a strengthening and renewal of this activity is**
**desirable in order to facilitate the efficient use of** **results** **and to improve the environment**
**for dissemination and absorption of technologies; whereas, in this respect, ways and**
**means should be provided of facilitating optimal use of** **results** **and technological transfer**
**between the persons concerned and in particular smaller and medium-sized enterprises**
**by improving their financial environment;**

**Whereas the fourth of these activities involves the stimulation of the training and**
**mobility of researchers, particularly young researchers, in the Community; whereas**
**work should be pursued on the initiative launched under the third framework programme**
**to increase human RTD capital and to improve the mobility of researchers, inter alia on**
**the basis of networks of laboratories and research teams, both public and private, in**
**Member States, throughout the Community;**

**Whereas the fact of centralized activities involving international cooperation,**
**dissemination and optimization of RTD results and stimulation of the training and**
**mobility of researchers does not mean there cannot be similar activities in a manner**
**appropriate to each of the specific programmes covered by the first of these activities**
**to the extent required for proper implementation of these programmes;**

**Whereas the Joint Research Centre is called upon to contribute to the implementation**
**of the framework programme, particularly in those fields in which it can offer an**
**impartial and independent expert opinion and in which it can take a lead in encouraging**
**the implementation of Community policies;**

**Whereas the framework programme must be implemented through specific programmes,**
**and may also be implemented through supplementary programmes involving the**
**participation of certain Member States only or Community participation in RTD**
**programmes undertaken by several Member States, or involve the setting up of joint**
**undertakings or other structures necessary for the efficient execution of Community RTD**

**programmes;**

**-25 -**

**Whereas there should be continual and systematic monitoring of progress with the fourth**
**framework programme as regards the criteria and objectives laid down in this Decision;**
**whereas there should also be an independent assessment of management of the**
**programme and of progress with the activities undertaken, in due time and before the**
**presentation by the Commission of its proposal for the fifth framework programme;**

**Whereas, in accordance with Article** **130i(l)** **of the Treaty, it is necessary to fix the**
**amount deemed** **necessary** **[(8)]** **for the realization of the framework programme and to fix**
**the detailed rules for Community financial participation in the programme and the**
**respective shares in each of the activities provided for;**

**Whereas it is expedient to maintain coherence between all Community RTD activities**
**and whereas this framework programme and the Euratom framework programme should**
**therefore be adopted jointly for the same period;**

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

**HAS DECIDED AS** **FOLLOWS.** **[(9) ]**

**Article 1**

**1.** **A framework programme for Community activities in the field of research,**
**technological development and demonstration, hereinafter referred to as "the fourth**
**framework programme", is hereby adopted for the period 1994 to 1998.**

**2.** **The fourth framework programme shall include all Community activities as set out**
**in Article 130g of the Treaty.**

**3.** **The amount deemed** **necessary** **[(10>]** **for Community financial participation in the fourth**
**framework programme as a whole shall be ECU** **11** **625 million. Annex I sets out**
**the breakdown between each of the activities.**

**4.** **The selection criteria to be applied in** **die** **implementation of the fourth framework**
**programme are laid down in Annex II.**

**5. Annex III sets out the scientific and technological objectives and main lines of the**
**proposed activities in accordance with the criteria referred to in paragraph 4.**

**(8)** **Replace** **"amount** **deemed necessary" with** **"** **maximum overall amount"**

**(9)** **Replace by "HAVE DECIDED AS FOLLOWS"**

**(,0)** **Replace the words "the amount deemed necessary" by "the maximum overall amount"**

**- 2 6 -**

**Article 2**

**1.** **The fourth framework programme shall be implemented through specific programmes,**
**each of which shall specify its precise objectives in accordance with the guidelines**
**set out in Annex III.**

**2.** **The implementation of the fourth framework programme may also give rise, as**
**necessary, to supplementary programmes involving the participation of certain**
**Member States only, to Community participation in RTD programmes undertaken by**
**several Member States, or to the setting up of joint undertakings or other structures**
**necessary for the efficient execution of Community RTD programmes.**

**Article 3**

**The detailed rules for financial participation by the Community in the fourth framework**
**programme as a whole shall be those provided for by the specific provisions regarding**
**RTD funding of the Financial Regulation applicable to the General Budget of the**
**European Communities as specified in Annex IV to this Decision.**

**Article 4**

**1.** **The Commission shall continually and systematically monitor the progress of the**
**fourth framework programme as regards the criteria and objectives set out in Annexes**
**II and III. It shall examine in particular whether the objectives, priorities and**
**financial resources are still appropriate to the changing situation. If necessary, it shall**
**make proposals to amend or supplement the framework programme according to the**
**results of such monitoring.**

**2.** **Before presenting its proposal for the fifth framework programme, the Commission**
**shall have an assessment conducted by independent experts into the management of**
**and progress with Community activities carried out during the five years preceding**
**such assessment. It shall communicate the assessment, accompanied by its comments,**
**to the European Parliament, the Council and the Economic and Social Committee at**
**the same time as its proposal for a fifth framework programme.**

**Done at Brussels,** **For the Council**
**The President**

**-27**

ANNEX I

**FOURTH FRAMEWORK PROGRAMME (1994 to 1998):**
**AMOUNTS AND BREAKDOWN**

. ' 1 1 " . I I I, .,

MECU
(current prices)

First Activity (Research, Technological Development and 9 450**
Demonstration Programmes)

Second Activity (Cooperation with Third Countries and

International Organizations) 790

Third Activity (Dissemination and optimisation of Results) 600

Fourth Activity (Stimulation of the Training and Mobility of 785

Researchers)

AMOUNT DEEMED NECESSARY™ 11 625**

MECU
(current prices)

Indicative breakdown between themes in the first activity

-Information and Communication Technologies*

-Industrial Technologies*

-Environment*

-Life Sciences and Technologies*

-Non nuclear Energy*

-Research for a European transport Policy*

-Targeted Socio-economic Research*

3 900

1 800

970

1 325

1150**

280

125

9 450

*** ***

*** * ***

of which JRC 724 MECU. N.B.: in addition to participating in the first activity
the JRC will also participate in the third activity to the tune of 70 MECU.
A framework programme for research and training for the European Atomic Energy
Community (1994-1998) is decided along with this programme, for a total of 1475
million Ecu, taking the total deemed necessary [11] for RTD actions in the field of
energy to 2525 million Ecu and the total for Community RTD activity to 13100
million Ecu.

see mis number of the OJ page...

(1) Replace the words "AMOUNT DEEMED NECESSARY" by "MAXIMUM OVERALL
AMOUNT".

28

**ANNEXE**

**SELECTION CRITERIA FOR COMMUNITY** **ACIWrriES**

**The following criteria which guide the selection of scientific and technical objectives of**
**the framework programme should also be applied in the definition of specific**

**programmes:**

**1.** **Community research, technological development** **and** **demonstration (RTD) activities**
**must focus on clearly defined objectives which will contribute towards:**

**-** **strengthening the technological base of Community industry and providing it**
**with the knowledge and know-how (skills) required to make it more competitive**
**at international level;**

**-** **defining and implementing Community policies;**

**-**
**meeting the needs of society and promoting a sustainable development.**

**This approach will also yield short-term, medium-term or long-term economic**
**benefits and should contribute to the strengthening of economic and social cohesion**
**in the Community, while being** **consistent with the pursuit of scientific and**
**technical quality.**

**2.** **The Community's RTD activities must observe the principle of subsidiarity,**
**whereby the Community takes action if, and only if, the objectives cannot be fully**
**achieved by the Member States and can be better achieved by the Community.**

**3.** **On this basis, the following types of action could warrant Community activities:**

**-** **action on a very large scale for which Member States could not provide the**
**necessary facilities, finance and personnel, or could only do so with difficulty**
**("critical mass");**

**-** **activities tackling ambitious themes, addressing large-scale problems or of**
**long-term scientific benefit. Activities of this type require specific research at**
**Community level and can thus often enhance the Community's overall**
**contribution to the solution of international problems;**

**-**
**activities producing obvious financial benefits which justify joint action even**
**allowing for the extra costs inherent in all international cooperation;**

**-**
**activities which are complementary to those being carried out nationally and**
**which aim at strengthening the scientific and technological base of the**
**Community as a whole and where there is a better chance of applying the results**
**at Community level;**

**- 2 9 -**

**-**
**activities contributing to the achievement of a common policy, such as the**
**completion of the Single Market or of a common objective such as the**
**unification of** **the** **European scientific and technical area, and, where the need is**
**felt, to the establishment of common rules and standards.**

**4.** **The Community's RTD activities must be implemented through projects which are**
**to be assessed on the basis of their scientific and technical excellence.**

**In this process of selecting the projects to be carried out in the specific**
**programmes, priority will be given to projects:**

**-** **allowing closer coordination of** **the-** **research being conducted in the**
**Member States, at Community level and within other European and international**
**cooperation forums;**

**-** **making it possible to respond as effectively as possible to the Community's**
**objectives regarding economic and overall industrial competitiveness.**

**- 3 0 -**

ANNEX III

**SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES**

The new guidelines for a genuine Community research and technological development
and demonstration (RTD) policy imply greater focusing of the Community's activities
in order to increase the value added, notably by applying the principle of subsidiarity
and the criteria set out in Annex II.

The RTD activities in the third framework programme (1990 to 1994) which meet these
criteria have been retained

The measures selected cover all the Community's RTD activities. They are designed to
support the common policies and aim at providing the scientific and technical basis
needed for sustainable, development, respecting the environnment, which improves the
competitiveness of European industry and the quality of life.

In particular, in keeping with the Community's industrial policy and in order to meet
society's growing needs, a series of objectives in the public interest have been identified
for the purposes of selecting the Community's RTD activities:

- to develop efficient and safe infrastructures, in particular an information and
communications infrastructure;

- to produce efficiently, cleanly and safely on the basis of modern organization of
production taking into account human factors;

- to make environmental protection an aspect of industrial competitiveness;

 - to promote an improvement in health care, food quality and food hygiene;

 - to ensure technological and industrial integration within the internal market (in
particular by strengthening coordination between RTD policy and standardization
policy);

 - to anticipate technological and industrial changes so as to ensure that greater account
is taken of market and society's needs;

 - to increase the synergies between the international cooperation activities proposed and
the Community's external policies;

 - to ensure efficient dissemination, throughout the whole economic and social system,
in particular to small and medium sized enterprises, of the scientific and technological
advances made;

**- 31**

**5)**

- to train economically active people to master the new technologies.

The scientific and technological objectives are built around _four activities._

_-_
the first activity covers the research, technological development and demonstration

programmes;

- the second activity aims at promoting cooperation in the field of Community RTD
with third countries and international organizations;

- the third activity deals with the dissemination and valorization of results of
Community's RTD activities;

- the fourth activity covers stimulation of the training and mobility of researchers in the
Community.

The Community must aim at ensuring harmonious development of its scientific and
technological resources. In support of strengthening the synergies between RTD policy
and structural policies, and while maintaining the principle of excellence, the research
priorities set for the first activity must take account of the interests and capacities of all
Member States, including the less advanced ones. The third and fourth activities will
have a growing impact on the less developed regions and countries through specific
measures. However, it is primarily the responsibility of the Member States to establish
a coherent overall strategy aimed at making the best use of these possibilities.

The Community support for RTD activities covered by the//>sr _activity_ will continue
to focus on generic, precompetitive research of multisectoral application. This activity
also includes the JRC's support for other Commission services which have a long-term
character. Further, Community actions will be orientated towards certain major topics
in order that European research is able to contribute, in the most effective way, to the
solution of problems with which industry and society are faced.

In this respect, the need is to develop an operational approach in order to establish an
effective interface between cross discipline research programmes and the needs of
specific industrial sectors such as the automobile and aeronautics industries which need
to strengthen their competitiveness. For this reason, the Commission will coordinate the
activities in the different cross discipline research programmes and will for this purpose
consult representatives of industry, public bodies and users who will give advice on the
definition of the most promising research topics so that they can be included, as a
priority, in the implementation of the first activity at the level of work programmes and
calls for proposals. This could apply in particular to the automobile, aeronautics and
maritime industries.

EUREKA will remain the principal vehicle for supporting RTD activities which are
nearer to the market. The synergy between the Community's activities and EUREKA
will be improved. Financial resources to be allocated to this action could be included in

**- 32**

an indicative fashion in the work programmes for Community programmes. Improving
the dissemination of results amongst enterprises, particularly small and medium-sized
businesses, cost-effectiveness and coordination between national programmes will be
priorities for Community action.

Particular attention will be paid to the research, development and innovation capacities
of small and medium sized businesses, of institutes of higher education and of research
centres. Partnerships between them will be encouraged. Particular attention will be
given to encouraging access to Community programmes by small and medium sized
businesses by extending the approach whereby a rapid response can be given to their
spontaneous proposals (technology stimulation).

Within the different activities emphasis will also be placed on basic research wherever

necessary.

Within each research area, particular attention has been paid to the opportunities for
cooperation or even coordination between national, Community and European activities.
Other than shared cost action centred on selected research, increased use of concerted
actions will allow promotion of this cooperation in a wider range of areas, while always
respecting the criteria listed in Annex II. Similar attention has been given to ensure
complementarity between JRC activities and shared cost ones.

Closer consultations will be held with bodies representing scientific, technical and
industrial circles in the Community, particularly to define the science and technology
policy options at European level.

In addition to the specific programme on targeted socio-economic research under the
first activity, research in the human and social sciences under every theme in the first
activity, and also under the second, third and fourth activities, will be coordinated with
research in the exact sciences, natural sciences and engineering with a view, in
particular, to anticipating and assessing the socio-economic impact of the activities
planned and any possible technological risks.

The objectives of the research activities which up to now have been carried out within
the ECSC Treaty will be gradually incorporated ("phasing in") into the relevant themes
under the first activity, thus allowing the bodies concerned to submit their projects in
response to calls for proposals by specific programmes of the framework programme.

Scientific and technological cooperation with third countries and international
organizations on subjects of mutual interest will be organized partly on a centralized
basis (as the _second activity)_ and partly under the individual themes in the first activity,
in so far as they help to attain the relevant objectives of these themes. International
scientific and technological cooperation is one factor determining the economic
efficiency of the Community's RTD activities. Consistency must be ensured in this area
between national and Community policies. In this way, cooperation with third countries
and international organizations will provide added impetus for the Community'.;
investments in R&D.

**33**

The Council will lay down the rules governing dissemination of the know-how acquired
under the specific programmes and the other arrangements for implementing the
framework programme. Within this legal framework, the dissemination activities must
be consistent and coordinated. This implies not only centralized management (as the
_third activity)_ but also a degree of autonomy for the specific programmes in order to
organize special dissemination arrangements. In both cases, these activities can be
carried out primarily by means of publications or using computerized methods applying
common standards and protocols.

The dissemination activities also include measures to provide small and medium-sized
firms and private or public research laboratories with greater access to information on
Community programmes and activities. To the same end, the third activity will
encourage the establishment or expansion of national or regional relay centres to
disseminate and optimize the results.

Although application of the results is clearly primarily up to businesses and laboratories,
in certain cases it will require concerted action by the Community and the players
involved and by the relevant public- or private-sector organizations, particularly at
national or regional level (including, in particular, the above-mentioned relay centres)
in order to protect certain results and to facilitate the absorption of technologies and to
ensure the best possible degree of transfer of innovations. The third activity also includes
scientific services carried out by the JRC in support of Community policy which are not
covered by the first activity.

Activities on the training and mobility of researchers will be carried out within each
theme in the first activity in order to provide users in priority areas for the Community
not only with the RTD results they need but also with the human resources capable of
using them. Such activities will allow an increase in the economic impact of work
undertaken within these priority areas.

However, the European dimension must also be used for more general measures to
develop the human resources which make it possible to react in real time to scientific
and technological developments in emerging areas. The _fourth_ _activity,_ addressing
advanced training in centres of excellence throughout the Community, will therefore be
open-ended and will also focus on partnerships between universities and industry.

Two main avenues will be used for the _implementation_ of research supported by the
Community: first, focusing financial resources on a limited number of subjects selected
for their specific added value (shared-cost activities), without precluding the possibility
of reduced rates of support depending on the nature of the project, and secondly
encouraging the integration of national, Community and European activities by
appropriate means.

In particular, alongside the traditional networks established in the context of Community
activities hitherto, this cooperation can be achieved by means such as:

**34 -**

- _Thematic_ _networks_ _of excellence_ bringing together for a given technological or
industrial objective manufacturers, users, universities and research centres to facilitate
the integration and transfer of knowledge and technologies and to ensure that fuller
account is taken of the needs of the market. They would be organized, with catalytic
support from the Community, along the lines already tested during the implementation
of the Third Framework programme in areas such as microsystems, linguistics and
flexible manufacturing. They will be "bottom-up" in both conception and
management.
- _Concertation networks_ in which Member States will play an important role in
identifying the national laboratories or institutes to take part in the activity decided
upon. The Commission will organize the concertation. This method could be used
to carry out epidemiological research and clinical studies in the area of biomedical
research, for example.

_Consortia for integrated projects_ along the lines, in previous framework programmes,
of the Fusion Programme. The Member States identify the laboratories or institutes
to take part in an integrated project supported by pooling financial resources from the
Community. Major European research bodies such as CERN, ESA and EMBL will
be invited to take part.

In this connection, the Commission considers that the JRC can make a contribution
towards the implementation of this new approach. As it is itself actively engaged in
research and is closely involved in the formulation and implementation of Community
policies, it could play the role, in the scientific and technical areas which it covers, of
organizer or focal point for networks bringing together public and private laboratories
in the Member States, and could act as a centre of gravity for European research
consortia in specific areas.

_**The**_ _**following**_ _**paragraphs set out the scientific and technological content of the activities**_
_**to be conducted and the**_ _**reasons**_ _**for including them in**_ _**the framework**_ _**programme for**_
_**1994 to 1998, in a manner which accords strictly with the Treaty's designation of the**_
_**framework**_ _**programme as a planning instrument.**_

-35 

**FIRST ACTIVITY**

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

_This activity covers a major part of Community activities in the field of_ _research_
_and technological development._ _The basic approach is the participation of_
_transnational groupings of organisations, research centres, universities and_
_enterprises with the Joint Research Centre (JRC) also participating where it has_
_specific competencies. It_ _will_ _develop in the fourth_ _framework_ _programme along_
_the_ _following lines._

_GENERAL OBJECTIVES:_ _Three_ _fundamental objectives form the basis of the_
_fourth framework programme: support for the competitiveness of European_
_industry; the contribution of science and technology to the satisfaction of society's_
_needs; support for the various common policies. In addressing these three_
_objectives, an appropriate combination of continuity and novelty will be sought._
_Moreover, research activities currently scattered either in common policies or in_
_the category of activities currently carried out outside_ _the framework_ _programme,_
_will_ _be unified in the single scheme of the_ _framework_ _programme._

**1.** **INFORMATION AND COMMUNICATIONS TECHNOLOGIES**

The horizontal role of information and communications technologies in all industrial and
societal activities has become a factor of crucial importance for RTD policy. The
boundaries between ICT and other industrial sectors, between suppliers and users, and
between the professional and consumer markets are constantly being eroded, as ICT
increasingly underpins all service and production industries. A new "digital industry" is
emerging. In the societal dimension, administration, health, education, transport,
environment and entertainment, the workplace and the home, all become increasingly
dependent on ICT. As regards the ICT industries themselves, the pace of technological
advance demands ever greater efforts from suppliers if they are to remain competitive,
but the costs of RTD spiral out of reach of even the largest companies. At the root of
these changes is the emergence of a new **information and communications infrastructure,**
bringing together information content, information storage, computation capacity,
communications, services, and applications.

The broad twofold objective of Community RTD in ICT in the 1990s is the
improvement of the competitiveness of all industry within the favourable environment
created by the internal market, and the satisfaction of societal needs for a better quality
of life. To achieve this objective, and leading on from the technology driven policy of
the 1980s directed at a growing ICT industry, there will be firmer emphasis on a user
and market led policy geared to the development of the new infrastructure. At the same
time work will draw on the results of the second and third framework programmes,
where the programmes, including ESPRIT (information technology), RACE

**- 36**

(communications) and DRIVE, AIM and DELTA and other telematic applications, have
furnished a solid scientific and conceptual basis for the integration of information and
communications technologies into society and for the building of the new infrastructure.
Activities will continue to be precompetitive in nature, and will emphasise
demonstration, validation, and integration of technologies, specifications and standards.
They will be reinforced by an effort in longer term advanced research, especially
interdisciplinary research addressing issues of relevance in several industrial areas.

The new focus of RTD on the generic technologies and applications essential to the
fundamentally pan-European information infrastructure, together with careful
coordination with national initiatives, ensures respect for the principle of subsidiarity.
Furthermore, the growth and spread of the infrastructure strengthens economic and social
cohesion by bringing information, services and advanced communications to enterprises
and citizens in outlying regions. It enables SMEs to realise their full competitive
potential. The requirements of the infrastructure gives us a yardstick for assessing R&D
priorities, and so ensuring effective use of resources.

The infrastructure can be seen as consisting of four main domains: applications,
integrated systems, communications, and underpinning information technologies. The
generic information technology and communications technology domains encompass
those technologies which lie at the heart of the infrastructure, including components,
computers, software, data banks, data highways, and video displays, and which are also
essential for the technologies for digital high- definition TV. They provide the building
blocks for the complex integrated systems bringing together technologies such as
language engineering, high performance computing and multimedia interfaces. These in
turn are the basis for the implementation of applications in areas such as health,
transport, open learning, statistics, libraries and business organisation.

There are inevitably close links between RTD activities in the different domains,
reflecting the increasingly integrated nature of ICT. Furthermore the widespread
application of ICT means that there are links with many other themes within the
framework programme.

All four domains draw on a range of modalities with a view to encouraging flexibility
and responsiveness. As well as traditional shared-cost and concerted activities, RTD in
certain areas will use focused clusters of projects, accompanied and reinforced by
networks of excellence, association of suppliers and users, coordination with national
initiatives, international cooperation, dissemination of results, and training activities
complementary to and coordinated with similar more centralised activities. In addition
the participation of SMEs will be facilitated through supplier-user pairs and
streamlined procedures for small projects.

In order to strengthen the industrial and social impact of RTD results, RTD actions will
be embedded in a set of coherent industrial policy actions. Consequently, accompanying
measures will be systematically identified, in particular through a continuous analysis
of market, industrial and technological evolution. These analyses will provide guidelines
for future actions and pave the way for the implementation of appropriate industrial
policy measures.

**37 -**

_A._ _Telematics applications of common interest_

This domain covers RTD activities on applications of information and communication
technologies that will contribute, on the one hand, to fulfilling requirements resulting
from existing Community policies as well as fundamental needs of modern societies in
sectors such as health care, transport or training, and, on the other hand, to the
positioning of European industry for the new markets that will emerge as a result of
research activities. The general objective is to improve the effectiveness of telematics
applications engineering and to ensure the interoperability of systems and telematics
networks, by means of prenormative research and development activities and trials for
technical validation. The work will draw upon the experience gained in the Third
Framework Programme, but the emphasis will shift from data telematics to image
telematics. Activities will be focused around six topics and will be closely coordinated
with other relevant Community activities.

**Development and upgrading of trans-European telematics applications.** Today, to be
more efficient, European research needs advanced trans-European networks and services.
In addition, the internal market has set important requirements in the field of services
and information exchange between administrations. The needs for enhanced telematics
services will be supported by RTD activities aiming at developing and validating costeffective solutions based on the constantly evolving pool of new technologies and on the
upgrading of European telecommunications networks. In particular, work will
concentrate on applications integrating distributed services for information exchange and
videoconferencing. The results of the RTD work in this first area, which deals
exclusively with trans-European applications, will be made available to the remaining
telematics application areas.

**Applications for health care** will aim at the stimulation of telematics technologies for
delivery of seamless health care irrespective of location with a focus on information
access, interchange and management of data, telemedicine, and security and privacy
issues, whereas **applications for disabled and elderly people** will develop and validate
systems and services compensating for the impact of disability, ageing and social
exclusion.

Work in the area of **flexible and distance education and training and information**
**exchange** **between libraries** will promote the provision of efficient education and training
services, widely available and able to meet the needs of individuals, industry and
researchers. The activities will encompass technology and systems development for the
design and delivery of learning products and services, and their integration into
experimental networks. Work will also cover technology development creating a generic
scientific and technological base for European library resources and for a networked
library infrastructure.

RTD for telematics transport **applications** will develop and validate common functional
specifications, practices and guidelines for telematics systems and services developed for
all transport modes, including multimodal transport. Particular attention will be given to
telematics systems as a contribution to the traffic management of railways, shipping and
road traffic including inter- and intra-city traffic and multi-modal transport as well as for
the creation of a unified system for European air traffic management. **Applications for**
**urban and rural** areas will validate solutions, such as teleworking and teleservices, that

                      - 38 

will bring work and services to citizens and will reduce unnecessary movement of
people. It will also combat the migration of companies and citizens from rural areas and
improve the conditions of daily life. Particular attention will be paid to the ease of use
of these telematics services by citizens and small and medium-sized enterprises.

Finally, exploratory actions will assess the potential of telematic solutions in new areas
such as environment (pollution monitoring, surveillance and control, advance warning
for major natural catastrophe, management of environmental hazards and tracing of
dangerous material) as well as other needs for telematics services which may usefully
be developed in the course of the Fourth Framework Programme.

_B._ _Technologies for_ _integrated information_ _and_ _communications_ _systems_

The increasing convergence of information technologies and communications in the
information infrastructure leads to greater complexity of systems, which in turn relies
upon the availability of technologies for the integration of systems. This domain
concentrates on the development of the integrated technologies most vital for the growth
of the European information infrastructure. Activities are divided into six topics.

The aims of activities within the topic **language and information engineering** are to
develop technologies for processing spoken and written language within information and
communication systems, and to demonstrate their integration into a variety of application
areas. Work also covers electronic language resources, including dictionaries and
corpora, and general linguistic research. Information engineering will cover advanced
electronic publishing systems, new database structures to ease information access,
improvements in the usability of information and in information management,
cooperative RTD networks, and standards work. The topic **high performance computing**
**and** networking has as its objective the exploitation of high performance computing and
networking technologies for the benefit of a broad range of users in fields such as
manufacturing, engineering, and commerce, on applications ranging from non-destructive
simulation of car collisions, drug design, and advanced imaging for earth observation,
to medical diagnosis and surgery, and very high performance databases. Activities
include the transfer of applications and the implementation of user environments for the
use of parallel, distributed and embedded systems, and the development of selected new
applications and technologies. Work on **integrated personal** systems is directed at the
development of technologies and systems supporting personal access from any location
to services in the information and communications infrastructure, and the local
manipulation of information. Work will include miniaturisation, new multimodal user
interface paradigms, high levels of systems integration, integration of smart card
technology, personal applications, and secure, fast access to remote digital information
services. Applicability will be demonstrated in systems such as the electronic wallet,
advanced European Minitel and systems for personal and group working.

The topic **multimedia** systems aims to stimulate advanced technologies and standard
exchange formats for the processing, retrieval and dissemination of multimedia electronic
information (text, voice, images, audio and video), and to demonstrate their integration
into a variety of interactive multimedia applications. Work will cover hardware and
software productivity tools for authoring and development platforms, multimedia
information servers, hypermedia presentations, the management of documents, advanced
compression algorithms, copyright protection software, virtual reality techniques, and

                            - 3 9 

pilot applications, particularly in the area of business processes. ICT support for function
**integration in manufacturing** aims at the development of new ICT solutions in support
of manufacturing and engineering operations, in order to achieve increased
competitiveness as well as greater efficiency and environmentally clean and safe
operations supporting a lean manufacturing approach. A specific ICT infrastructure and
advanced ICT technologies for distributed multi-site operations will be developed to
support innovation. Activities will be targeted at exploiting new organisational
approaches integrating basic technologies of software engineering, open systems, data
modelling and database design, computer aided design, microelectronics, microsystems
and, selectively, mechatronics Work on **security of information systems** covers the
development and demonstration of technologies for the integrity, confidentiality and
availability of information in integrated systems. The work will include research on new
technological opportunities to assure security, the development of software, protocols,
and components and their integration into secure systems and services followed by
validation and testing within integrated systems. Particular attention will be given to the
requirements of electronic payment, health-care and remote-working systems.

C. _Technologies_ _for_ _advanced communications_ _services_

Telecommunications networks are ah indispensable part of the information infrastructure.
The overall objective of this domain is to develop advanced communications systems
and services for the consolidation of the internal market, economic development and
social cohesion in Europe, taking account of the rapid development of technology, the
changing regulatory situation, and opportunities for development of advanced transEuropean networks and services. An effective framework will be provided for usage
innovation and the wide dissemination of European technologies and expertise. Activities
will concentrate on four topics.

Work on **digital multimedia** services will include technology development for terrestrial
radio, satellite and fibre transmission of interactive digital video services. It will also
cover switching, processing and recording developments, for service providers, network
operators and users, including new technology development for image compression,
variable bit-rate coding, wireless networks, network interfaces, and recording. The
objective of work on **photonic technologies** is to stimulate and accelerate European
development of integrated photonic systems, and involves the development of integrated
optical subsystems, free packaging and mass-manufacturing techniques, and optical
cross-connects, as well as key technologies for 21st century: 3D holographic displays,
life-images recognition and new signal compression techniques. **Mobile communications**
activities are directed towards ensuring mobility on fixed networks and using advanced
radio and satellite systems across Europe. The work will involve technology
developments in signal coding; access systems; channel, network and service
management; the development of new signalling protocols; and system development to
ensure compatibility and interoperability of networks through protocols for transparent
network interoperation. The objectives of work on **intelligence in networks and service**
**engineering** are to develop technology for flexible and real-time management of
communication assets, to enable the fast and flexible introduction of new services in
advanced networks and effective network management and service deployment in a

**-40**

diverse and competitive communication environment. The work will focus on the
development of tools for service integration and will support the development of
protocols and standards. It will involve the development, enhancement and prototyping
of service creation environments and the development of advanced "operating systems"
for communications services.

_D._ _Information_ _technologies_

Work in this domain focuses on the technologies underpinning the information
infrastructure, selecting activities which are most essential and add most value at the
European level. There is a strong feedback relationship with the other three domains of
ICT: activities in information technologies provide important inputs to the other
domains, and conversely are conditioned by the other domains' requirements. Work is
divided into six topics.

The objective of the topic **semiconductor** **technologies,** **including ASICs** is to provide
essential microelectronic components which underpin the competitiveness of all high
technology industries. Work will concentrate on those technologies, particularly CMOS,
likely to be in major use towards the end of the decade. All aspects of the process,
including design and production, will be supported. Some work may be undertaken in
conjunction with the Eureka initiative. Systems integration of advanced components into
Application Specific Integrated Circuits (ASICs) is a key area of emphasis. The **open**
microprocessor systems **initiative** aims to provide Europe with a recognised capability
in microprocessor systems, and to promote their broad acceptance in applications
systems world-wide. The work includes the provision of an open library of hardware
building blocks which can be integrated into on-chip systems for a wide range of
applications, open systems software, and both hardware and software integration tools.
The objectives of the topic **integrated microsystems** is to provide technologies for the
emerging domain of microsystems, in which microelectronics will be integrated with
other microtechnologies such as micromechanics and microoptics. The work will focus
on multidisciplinary design, manufacturing of miniature multitechnology systems, and
integration and packaging methods. Applicability will be demonstrated in microsystems
for applications such as the clean, safe car of the 21st century and portable intelligent
medical diagnostic systems.

Activities within **advanced peripheral technologies** concentrate on the technologies
needed for the low-cost high-resolution thin-screen display components and memory
subsystems required by computers, televisions, and intelligent systems in areas such as
avionics, cars, telecommunications, manufacturing, and retailing. Work on displays
focuses on visual quality, screen size and flatness, with an emphasis on LCD technology.
Memory subsystem development will include increased capacity, compactness and
read/write performance. The objective of the topic **software best practice** is to improve
productivity, quality and reliability in European software production by fostering the best
use of advanced software tools and techniques, including aids for re-use and portability
in a distributed environment. In addition to further development of current techniques,
work will include industrial experiments, dissemination aimed at raising awareness of

**-41** **-**

**best practice, training for the introduction of new practice, and the European Software**
**Institute. Distributed information processing activities concentrate on tackling challenges**
**generated by the convergence of information processing and communications**
**technologies, and will focus on distributed database management, distributed statistical**
**systems, open distributed processing, and advanced human-computer interactions.**

**2.INDUSTRIAL** **TECHNOLOGIES**

**The globalisation of markets, newly emerging competitors, the internationalisation of**
**processes for new technologies and the essential improvement in environmental**
**protection are forcing European industries to adapt their structures, their cooperation and**
**their competition strategies. In the developed countries the share of manufacturing is**
**declining and accounts for about 30% of GDP (including the building and construction**
**industry). It must be stimulated it in order to improve its competitiveness through a**
**better collaboration with** **"knowledge-related"** **activities (eg services, engineering,**
**training). Despite past efforts, Europe is still in a difficult situation; industrial R&D**
**expenditure and the number of researchers are still significantly below those of Japan**
**and USA** **(1.3%** **of GNP against respectively 2.2% and 1.9%) and there is a risk that this**
**difference will increase. In this context, the strategy of the Community has to play an**
**important catalytic role to support industrial initiatives, to stimulate the development of**
**technological innovation, and to help** **die** **establishment of European standards.**

**The growing requirement to master a large spectrum of technologies for industrial**
**competitivity justifies the reinforcement of Community actions in this field. The studies**
**realised for the** **BRITE-EURAM** **II programme have shown that the European effort on**
**industrial research is generating important results;** **die** **indirect economic impact has been**
**estimated to be more than four times Community funds in R&D (technological effects,**
**organisational effects, networking, training) with a relatively larger impact on peripheral**
**and less favoured regions. The proposed research actions are a continuation of previous**
**activities but will be concentrated on the development and application of generic**
**sciences and technologies (such as mathematics and physics applied to industrial**
**systems, new design and organisation methodologies, high performance material**
**engineering,** **rapid** **prototyping** **or** **molecular** **engineering)** **operating** **within**
**multidisciplinary and multisectoral projects. In addition, the development of harmonised**
**methods for measurement and testing and** **prenormative** **research will reinforce industrial**
**competitivity while offering support to European legislation.**

**Following the lines of the new European industrial policy, the research actions on**
**industrial technologies will be aimed at industrial technologies the application of which**
**could have a rapid impact on a wide range of industrial activities. Research on new**
**technologies for "clean manufacturing" or "flexible manufacturing" is a clear example**
**and their global economic impact is important; a reduction of** **1** **month on the time to**
**place a new vehicle on the** **market** **will represent a gain of 30 MECU or so for the**
**automotive industry. Numerous industries, including SMEs, could benefit from these**
**research activities, concentrated as they are around strategic objectives and consortia of**

**42-**

**suppliers, manufacturers, end users, universities and research centres. Proposed actions,**
**especially those dealing with coordination, will stimulate technological networking**
**improving the consistency between projects and the diffusion and exploitation of RTD**
**results, in particular through standards and industrial specifications. Research activities**
**for and by SMEs, and training activities within an industrial context will also be**
**reinforced.**

**The proposed actions cover 4 areas: the first three areas address the integration needs**
**of technologies related to the materials and product life cycle (including applications of**
**available information and communication technology), whilst the fourth area is more**
**specifically related to prenormative research.**

**A** _**Design, Engineering, Production Systems and**_ _**Human**_ _**Management**_

**This theme is of major importance and covers the whole of** **the** **manufacturing industry.**
**The objective is to develop and apply, within a perspective favourable to the**
**environment and to the improvement of the quality of life, new methods, techniques,**
**new processes and tools in each phase of industrial production essential for**
**competitiveness (design and engineering, production and maintenance, quality of**
**products); such diffusing technologies will be integrated and applied in production**
**systems so as to fit the needs of networks of companies and human management in**
**production. In particular, emphasis will be placed upon use of the available computer**
**integrated technologies** **"CIT",** **rapid prototyping, micro-system technologies, man-**
**machine interfaces and the technologies required for clean manufacturing (such as**
**bioprocessing) and for the rapid emergence of new products, particularly in the field of**
**industrial machines, transport and human habitat.**

**B** _**Materials and**_ _**material-related**_ _**technologies (including processing and recycling)**_

**The objective is twofold: first, to improve the existing processes commonly used by the**
**material transformation industries (metallurgy, chemical processing, construction) and,**
**secondly, to make sure that the most advanced materials are ready for supply to both**
**manufacturing industry (electro-mechanical, machine-tools, transportation,** **etc..)** **and**
**high-tech industries (eg aeronautics and electronics). Priority will be given to research**
**topics related to high performance materials (structural materials but also on bio-**
**materials, magnetic, optical and super-conducting materials), and to research into the**
**improvement of the quality, reliability and the performance of materials and products**
**and into longer term research whose exploratory character may quickly yield practical**
**applications thereby strengthening European industry's technological lead.** **The**
**programme will obviously cover the recycling and treatment of waste and the recovery**
**of materials at the end of product life, including the necessary quality assurance.**
**Special attention will be given to the technologies required for the rational management**
**of primary resources and the reuse of secondary materials and products in order to**
**contribute to the development of clean processes and technologies.**

**43**

**C** _**Advanced propulsion technologies**_

**European integration and the trends in the economy are creating a growing demand for**
**flexible and efficient transport systems. The advanced propulsion systems are the key**
**elements which allow for comfort, quality, safety, cost-efficiency, volume, speed and**
**environmental-friendliness in the context of the European transport policy. The priority**
**research tasks for automotive, aeronautics, railway and shipbuilding industries will**
**therefore encompass the** **design,** **engineering and production of new transmission and**
**power systems. Research topics will consider the application and integration of generic**
**technologies and the development of specific technologies to set up advanced systems,**
**even if, in relation with the different transportation means, various technologies may be**
**developed and applied; the emphasis will concentrate mainly on design and**
**manufacturing techniques, modelling and simulation, advanced material applications and**
**the reduction of the environmental impact.** **Particular attention will be given to**
**command and control systems.**

**D** _**Research linked with**_ _**standards,**_ _**measurement and testing**_

**The main objective is the research necessary to develop new measurement and testing**
**methods and to accelerate the establishment of European directives and standards for the**
**reinforcement of the single market and the realisation of the other Community policies,**
**especially** **those dealing with health and security.** **Within the industrial field the**
**emphasis will be placed on the improvement of** **die** **interface between standardisation and**
**regulatory issues and the design, assembly and the quality of products. In parallel with**
**die** **development of test procedures and more effective measuring systems and a better**
**system for mutual recognition of conformity certificates, the accent will be put on**
**recognition of accreditation and audit systems set up in** **die** **framework of partnership**
**with industry or sub-contracting. The infrastructure will be strengthened at the European**
**level. Coordinated and cost-shared actions will be undertaken with networks of national**

**laboratories. Workshops and training courses will permit the diffusion of codes of good**
**practice within Member States.**

**All these actions will be principally undertaken through collaborative research projects.**
**On the basis of the experience of the third framework programme (CRAFT, Feasibility**
**Awards) specific activities to stimulate research for and by SMEs will be improved and**
**reinforced,** **especially,through** **simplified** **procedures** **and the support** **of** **a decentralised**
**assistance network. Greater use of concerted actions, when this mode of action is**
**sufficient** **to attain the Community added value, will permit greater selectivity in cost-**
**shared actions (concentrated on strategic fields, needing a minimum critical mass).**
**Modalities will be established such that the necessary flexibility is achieved in order to**
**guarantee maximum efficiency and a quick reaction to emerging needs.**

**- 4 4 -**

**Accompanying measures aiming at strengthening the impact of Community actions will**
**be optimised: studies, evaluation of impacts, training, support to diffusion and**
**exploitation of RTD results, joint activities with assistance networks for SME's,**
**measures for decentralised management, and coordination of industrial research on**
**common objectives, such as the factory of the future,** **die** **clean vehicle, etc, to facilitate**
**integration of technologies and transfer of knowledge between projects, sectors and other**
**European initiatives such as EUREKA.**

**JRC actions will complement these efforts through research on advanced materials,**
**ceramics and composites (especially for high temperature applications) and non-**
**destructive testing techniques. Prenormative research will cover work on structural**
**mechanics and research on measurement and reference materials. These actions will**

**also cover all scientific and technical support activities of JRC to the Community**
**industrial policy and the Single Market.**

**3.** **ENVIRONMENT**

**Environmental research makes major contributions to commercial competitiveness and**
**to the improvement of quality of life in the Community. These are essential elements**
**in the definition and** **die** **execution of Community environment policy and to the**
**expectation of an economic boost based on sustainable development in the sense of the**
**objectives of the Community's Fifth Action Programme on** **die** **Environment. This**
**programme provides a new strategy to determine, in a spirit of sharing of**
**responsibilities,** **die** **actions which affect natural resources or which affect the**
**environment. This strategy aims at reducing the tendencies and practices which have a**
**negative effect on the environment with a view to improving both the quality of life and**
**socio-economic** **development for the current and future generations by enlarging** **die**
**range of instruments available aimed at changing the behaviour of actors in the field. It**
**will also take into account what the Community has accepted to do as a result of the**
**UNCED** **in Rio de Janeiro.**

**Environmental research and its economic and social implications have acquired a**
**world-wide dimension. As it becomes ever more multi-disciplinary and requires more**
**money and resources, environmental research needs a strongly integrated and**
**coordinated international effort that exceeds the capability of any one Member State. The**
**participation of the European Community in this effort is clearly justified by the political**
**and** **geostrategic** **stakes in areas such as global change and the management of natural**

**resources.**

**In** **this** **context the Community's** **intiative** **with regard to RTD on the environment has**
**the following priority objectives:**

**(a)** **continuing the development of a scientific base permitting the definition and**
**execution of a Community environment policy that will achieve an increased**
**level of environmental protection;**

**-45**

**(b)** **contributing to improving industrial competitiveness by (i) the stimulation of the**
**development of generic technologies integrating environmental constraints within**
**the** **scope of sustainable development and (ii) improving ability to anticipate**
**environmental problems;**
**(c)** **contributing to the observation of the behaviour and the understanding of the**
**processes taking place within the Earth's systems, and examining the effects of**
**human activities on these characteristics and processes.**

**In comparison to** **die** **Third framework programme, the nature and scale of these issues**
**requires a thematic focus of Community effort on two priority areas of** **research:** **on the**
**one hand the natural environment and global** **change,** **and on the other the new**
**technologies for the protection of** **die** **environment.**

**Concerted actions (concerted networks) and shared cost actions (integrated projects) will**
**be the main operational mechanisms,as in the third framework programme (continuity).**
**However, in** **die** **area of** _**research**_ _**on the quality of**_ _**the**_ _**environment and global change,**_
**in order to focus Community efforts concerted and shared cost actions will be**
**incorporated into** **die** **large thematic networks, integrating strongly the potential of the**
**national research programmes. These networks will be developed in cooperation with**
**the JRC and in close cooperation with international organisations and research**
**programmes (ESF,** **IGBP,** **WCRP and HDP) and the space agencies.**

**At the same time** **die** **socio-economic aspects inherent in the two priority themes and**
**linked with** **die** **general topic of sustainable development will be tackled. These aspects**
**will be important with regard to changing** **die** **behaviour of actors in the field.**

_**A.**_ _**Hatural**_ _**environment, environmental quality and global change**_

**In this area Community efforts will be concentrated on prenormative and** **pre-legislative**
**aspects to facilitate the implementation of the Fifth Community Programme of Policy**
**and Action in relation to the Environment and Sustainable Development.**

**Community effort, including** **die** **activities of the JRC concerning the risks associated**
**with chemical products (European Chemicals Bureau) and the validation of alternative**
**testing methods (European Centre for the Validation of Alternative Methods), will**
**concentrate on the following objectives:**

**- providing a scientific basis for evaluating the state of the environment and improving**
**the timely awareness of environmental problems, which will require the identification**
**of indicators and environmental parameters, of advanced systems for surveillance and**
**evaluation, including natural** **phenonema,** **constiting a risk for man and society;**

**- a better understanding of the fundamental mechanisms which are active in the**
**environment and** **die** **effects of human activity. Here there is a need for a long term**
**research strategy focusing on global change and its possible effects.**

**- 4 6 -**

**Within this framework Community activities** **will** **be concentrated on: a) observation of**
**the behaviour and understanding of the basic processes of natural, terrestrial, oceanic,**
**climatic and atmospheric systems, putting the emphasis on the European context and**
**dimension,** **but** **within a planetary perspective; b) identification and evaluation of the**
**impact of human activities on this behaviour and processes, and; c) evaluation of the**
**impact of the possible climatic, biospheric and atmospheric changes on man, the**
**environment, society and economic activities. These tasks will be achieved through**
**thematic networks consisting of concerted actions and integrated projects** **and** **the**
**activities of the JRC. The thematic networks will be coordinated to ensure coherence of**
**the whole, particularly in the diffusion of results and model development. The JRC will**
**be closely associated with these actions. They will be developed within the framework**
**of the ENRICH (European Network for Research on Global Change) network and in**
**collaboration with CEO (Centre for Earth Observation).**

**Socio-economic aspects will be considered partly within the research projects**
**(multidisciplinary approach) and partly through specific actions for concept and**
**methodological developments.**

_**B.**_ _**New technologies for environmental protection**_

**Community effort will be concentrated on three priorities:** _**instrumentation**_ _**technologies,**_
_**technologies relating to industrial processes and products and technologies relating to**_
_**the restoration**_ **of the environment and the prevention of natural hazards.**

**Within the area of instrumentation technology, the objective is to contribute to the**
**technological development necessary for observation, surveillance and environmental**
**research. This requires in particular a contribution to Earth observation technologies**
**from space. This includes sensors, observation technologies and monitoring of the**
**various biosphere behaviours, environment analysis technologies and technologies**
**relating to the treatment, validation and dissemination of data. This effort is also viewed**
**as support for other Community policies.**

**Within the area of technologies relating to industrial processes and products, the**
**objective is to contribute to: a) the development of techniques to reduce or prevent the**
**negative impacts of industrial processes and substances on the environment, b) the**
**development of methods of analysis for product life-cycles and impact evaluation**
**methodologies for industrial processes and products, c) the development of technologies**
**to treat, recycle and eliminate waste and to treat water, d) the development of**
**technologies for the habitat and for transport that integrate environmental constraints and**
**improve the quality of life in close coordination with the activities of other pertinent**
**topics, e) the support of the development of value-added industries in the area of earth**
**observation and (f) the adaptation of the technologies for exploiting marine resources in**
**order to improve the environment and to fight against pollution.**

**Finally, within the area of restoration technologies, the accent will be placed upon the**
**restoration of environmental quality, while in the area of natural hazards the emphasis**
**will be placed upon monitoring and response.**

**- 4 7 -**

**The mechanisms for technological research will be concertation networks and integrated**
**projects in the areas where the organisation of the research potential on a Community**
**dimension is necessary. The JRC will contribute within its specific areas of competence.**
**These actions can be managed in collaboration with EUREKA. Industrialists and product**
**users will be associated. The effort will concentrate on multisectoral and diffusive**

**techniques. Complementary stimulation actions are envisaged to improve technology**
**transfer to companies.**

**As for the preceding** **area,** **socio-economic aspects of technological research will be**
**treated simultaneously within each action and with specific measures for methodological**
**and conceptual developments.**

**4.** **LIFE SCIENCES AND TECHNOLOGIES**

**A consideration of** **the** **specific difficulties facing European agriculture and industry, the**
**needs of Member States' health care services, and** **die** **technological aspects of the**
**implementation of Community policies suggests that there is much to be done in**
**mobilising the research potential in life sciences and technologies in order that** **die** **socio-**
**economic partners in the Community could be more readily given access to the**
**anticipated technological benefits. Furthermore, Community resources are limited. It**
**is therefore of the utmost importance that the supply of science and technology matches**
**the economic and social demand, as expressed in Community policies and actions.**

**The scientific supply-side is characterised today in Europe not only by the excellence**
**of fundamental research, but also by the excessive fragmentation of expertise into too**
**many disciplines, whose respective contributions** **are** **often unbalanced. At the same time,**
**social demands for a response to the needs of protecting and managing the living world**
**are unprecedented in their strength and clarity. In a society undergoing dramatic**
**demographic changes, increasing therapeutic, and thus economic, demands will be made**
**which will impinge on disease research in a wider geographical and cultural context. The**
**liberalisation of trade and the global scale of problems affecting** **die** **biosphere pose anew**
**the issue of competitiveness for the many industrial sectors which have traditionally**
**exploited biological resources.**

**The novelty at this stage lies in the abundance of new scientific challenges which can**
**be met, in particular by the advanced methods of biotechnology, integrated as**
**appropriate with other industrial technologies. Now that life sciences and technologies**
**have clearly demonstrated their societal role, a more precise vision must be developed**
**of where and how mankind should arrange its way of life for the greatest social and**
**economic common good. The obligation of using life sciences and technologies in the**
**most harmonious way possible in relation to current practice, with a view to meeting the**
**basic needs of society, is the overall purpose of this research theme.**

**Member States' capabilities are now much more developed than they were only a decade**
**ago,** **but remain very heterogeneous. In some key areas these capabilities are so**
**fragmented that a critical size has not been reached and the value added-deriving from**
**the integration of complementary approaches cannot be realised, while other efforts are**
**wasted through redundancy. The operation of scientific networks has revealed the**
**validity of this approach without, however, being sufficiently developed. The operational**

**- 4 8 -**

**choices indicated under this take into account, above all, the opportunities for facilitating**
**the interplay of complementary national activities. These considerations will be**
**addressed in the following three fields:**

**biotechnology**
**biomedicine and health**

**agriculture and fisheries (including agro-industry, food technology, forestry, and**
**rural development).**

**The most important activities will have to be upgraded through a range of measures**
**aiming to promote a more positive environment for the timely application of life**
**sciences and technology. Use will be made of demonstration activities to raise the profile**
**and increase the attraction of alternative technological approaches. The selection of**
**demonstration projects must be particularly rigorous in order to ensure the expected**
**impact. Where appropriate, links will be established with the EUREKA programme.**
**Special attention will be given to studies and debates which bring technological**
**innovation within the scope of ethical and regulatory issues. Other measures will be**
**implemented: training bursaries, special arrangements for the participation of SMEs (on**
**the model of the CRAFT programme).**

_**A.**_ _**Biotechnology**_

**A specific European weakness when faced with biotechnology breakthroughs is the**
**dispersion of responsibilities and the lack of social consensus on what scientific tasks**
**to undertake. This extreme reluctance to identify and mobilise relevant activities must**
**be overcome by a more systematic consideration of the broad range of available**
**scientific opportunities and by a concentration on those which relate to major issues of**
**industry and society.**

**The Community programme should promote global rather than reductionist approaches**
**and the integration of disciplines rather than excessive specialisation, and should pay**
**careful attention to users' needs as expressed through various interest groups including**
**consumer groups, regulatory bodies, industrial or professional associations, EUREKA**
**projects and national programmes. It is clear that in this area the need is to restrict** **die**
**number of topics selected to those where all the above conditions for a cooperative**
**process at Community level are met.**

**In an attempt to focus biotechnology on where it differs fundamentally from alternative**
**technologies, primacy must go to reaching an understanding of how the living cell itself**
**manages to be so productive and how industry can learn from cellular processes.**
**Significant progress will be expected from four priority integrated actions where national**
**and Community efforts could converge. These will concentrate on:**

**- the understanding of** **the** **"cell factory" concept and its extension to the design of new**
**industrial bioprocesses, which will require the integration of biological, technological**
**and computerised approaches; this will also include the promotion of the**
**multidisciplinary vision of biochemical engineering;**

**- 4 9 -**

**- the development of methods and infrastructures contributing to the analysis of**

**genomes;**

**- the development of plant molecular and cellular biology, and plant physiopathology,**
**notably with agricultural and agro-industrial applications in mind;**

**- the promotion of neurosciences by the combined support of several disciplines such**
**as pharmacology, cellular biology, molecular biology and medical chemistry in order**
**to understand the inter- and** **intra-cellular** **events by which nerve cells manage**
**information.**

**Three other objectives will be addressed via R&D projects and concertation networks**
**supporting national efforts. They will consist of:**

**- the development of scientific and technological research in animal physiology,**
**immunology and structural biology;**

**- the maintenance of a coherent framework for prenormative research, as well as**
**biodiversity and bioethical studies;**

**- the provision of informatics resources, telematics and genetic collections to serve the**
**research described above.**

**These activities together will produce knowledge indispensable for industrial progress**
**in the targeted fields supported by the Community participation, and they will achieve**
**this goal by applying the multidisciplinary approach which characterises biotechnology.**
**Their success will depend on how much attention can be given to the continuity of**
**efforts on the generic activities developed in this area in relation to the other areas of**
**biomedical or agro-industrial applications.**

_**B.**_ _**Biomedical and**_ _**health**_ _**research**_

**Health, so highly valued by every European citizen, is one of the most important sectors**
**of the economy, absorbing 6 to 8 % of GNP and creating work for more than 6 million**
**people; the challenge for research is to control** **die** **greatest scourges. AIDS represents**
**one of the most worrying epidemics which need a strengthening of the coordination of**
**research activities. Cancer, cardio-vascular disease, mental and neurological disorders,**
**the problems of the aged and handicapped also require serious attention. Rising costs**
**have become a concern for all countries, while citizens in every Member State are**
**demanding high-quality health care. New health technologies and health care systems**
**are expected to face these common problems. The Community's available resources will**
**be concentrated on the following fields of** **research:**

**- development of the scientific and technical basis required for the evaluation of new**
**drugs, notably for the treatment of neurological, mental, immunological and viral**
**illnesses (these actions must take account of the** **needs** **of the European Medicines**
**Agency). New in vitro tests and animal models (primates and transgenic animals),**
**their validation and multi-centre clinical tests and drug safety checks will be included.**
**Research will be conducted through collaboration between industry, research centres,**
**universities and the authorities responsible for verifying the efficacy, safety and**
**quality** **of new drugs.**

**50-**

**- development of biomedical technology and engineering, particularly through research**
**concerning medical devices for minimally invasive surgery, imaging techniques,**
**biosensors,** **biomaterials** **and** **modelling** **of human functions.**

**- participation in the "Decade of the Brain", notably by the development and use of**
**methodology, of instrumentation and of the most advanced and costly infrastructures**
**considered necessary for the study of the nervous system. This approach will integrate**
**the contribution of several disciplines.**

**Three other objectives will be followed by coordinated actions and the support of**
**national efforts:**

**- development of the collection and analysis of statistical and epidemiological data**
**concerning illnesses with major socio-economic impact (cancer, AIDS, occupational**
**illnesses, etc.) and the** **"orphan"** **illnesses; sharing and harmonisation of** **the** **databanks**
**on genetic diseases comprising Community participation in the management of the**
**international database of the human genome and in relation to the potential for**
**somatic gene therapy.**

**- research on health systems and technologies, and on information and education on**
**health matters. This will concentrate on primary care, the evaluation of health needs,**
**performance measurements of health policy initiatives and the evaluation of health**
**technologies. The impact of the Single Market on the supply of health care across**
**internal frontiers will be** **examined,** **as well as the following: regulation and de-**
**regulation, the balance between health systems financed by the private and public**
**sectors; tax harmonisation measures; the need to define a European approach for the**
**introduction of new technologies in health systems.**

**- research on medical ethics.**

**C.** _**Application**_ _**of life sciences and technologies in agriculture and fisheries**_
_**(including**_ _**agro-industry,**_ _**food technologies, forestry and rural development).**_

**In the field of agriculture, forestry, rural development, agro-industry and fisheries, the**
**objectives and challenges are to provide an RTD base for competitive, efficient and**
**sustainable primary production (agriculture, horticulture, forestry, and fisheries) and**
**agro-** **industries (food, bioenergy and non-food); support the evolving Community**
**policies (agriculture and fisheries especially); and respond to the needs of society for a**
**wide range of healthy and nutritious foods and environmentally friendly non-food**
**products. In order to meet the different objectives of the programme, four priorities have**
**been identified and will be addressed by RTD projects and thematic and concertation**
**networks in support of national efforts. They will consist of:**

**- integrated production and processing chains that gather all the necessary skills and**
**technologies relating to the use of biological raw materials (including those of aquatic**
**origin) in a specific sector and with the focus on production lines with the largest**
**market potential and the greatest economic feasibility.**

**-**
**scaling-up** **and downstream processing by pooling European resources; critical mass**
**will be created to solve major problems and technological bottlenecks in this field**
**using modelling, simulations and scale-up trials for testing the new approaches.**

**- 51 -**

**- generic food science and advanced technologies to better meet the consumer's needs**
**for a safe and health-promoting diet; research will concentrate on generic food**
**processing technologies which take account of the molecular basis of the conversion**
**of biological raw materials into finished food stuffs and integrate new advanced**
**technologies for the food sector.**

**- agriculture, forestry, rural development and fisheries in support of the reform of**
**common policies and to identify solutions appropriate to the transformations in rural**
**areas.** **The need is to develop new systems and chains of production which are**
**economically viable in this area, which are protective of the environment and which**
**maintain an adequate level of employment. An improvement in the economic situation**
**of agriculture and of fisheries will also be sought by means of quality products,**
**diversification of products (food and non-food) and activities, and by cost-reductions,**
**which pre-suppose the introduction of new technologies and the better utilisation of**
**more effective inputs. The demands of consumers and the completion of the Single**
**Market require an effort to be made with regard to animal and plant health as well**
**as to animal welfare. New land uses will be developed, for example for set-aside**
**land. As regards forestry, the need is to develop a multi-functioned forestry**
**management (production, leisure, protection). Finally, increased attention** **wil** **be**
**devoted to rural development, in line with the strengthened Community policy in this**
**area.** **The same will apply to coastal development.**

**In line with Community policies and in order to provide means for primary production**
**(including of aquatic origin) which respond to** **die** **demands of the consumer and industry**
**for a supply of raw material in adequate quantity and quality, and at the same time**
**serving** **die** **interests of producers and benefiting the rural economy, three priority**
**coordination/network** **actions will be carried out in support of the substantial, existing**
**efforts of Member States as regards:**

**- networks for enhanced primary production in agriculture, forestry, fisheries and fish-**
**farming with the main emphasis on sustainability, quality, security of supply and**
**interactions with the environment;**

**- networks for rural and coastal development with particular attention on training and**
**alternative economic activities;**

**- food production and processing integrating socio-economic, health and food safety**
**aspects.**

**Activities** **will** **be carried out in this area by the** **JRC** **which will lend its support through:**

**- the use of a laboratory for analysis of wine and other food drinks, where the expertise**
**will be progressively enlarged to all pharmaceutical and food products;**

**- by establishing a** **technical** **support project for the management and control of the**
**application of the CAP, using data transmission by satellite;**

**- by** **continuing** **the** **télédétection** **project for agricultural statistics.**

**The aim in this area is to extend the application of the basic technologies developed in**
**biotechnology, biomedicine and** **télédétection.**

**52**

**5. ENERGY**

**Energy policy, which seeks to ensure security of supply (notably through the promotion**
**of indigenous resources and technologies and the diversification of usable sources) now**
**faces a new challenge: that of compatibility between energy and the environment.**
**Present and future uses of different energy sources, on a European and global scale,**
**carry local, regional and global risks to man and the environment: increased pollution;**
**greenhouse gases; emission of ionizing radiations, etc. The aim of Community activities**
**is to develop and demonstrate effective, cleaner and more reliable technologies**
**guaranteeing compatibility between energy usage, the equilibrium of the biosphere and**
**economic development under its various headings (competitivity, economic and social**
**cohesion).**

**During the period covered by the second and third framework programmes, Community**
**activities of R&D and** **of demonstration/dissemination** **relating to energy have established**
**networks of cooperation for research and networks for promotion and diffusion for those**
**energy** **technologies which have achieved maturity (notably the OPET network). These**
**activities will be** **continued,** **while seeking an appropriate balance between the three main**
**lines under** **consideration** **(non-nuclear energies; nuclear fission; fusion) and**
**strengthening the integration between R&D and demonstration (in succession to the**
**THERMIE programme), thus** **contributing** **to the achievement of the Community's major**
**goals in the energy field, sustainable development and support of competitivity. This**
**work of integration will contribute to better evaluation of the relative efficiency of R&D**
**and demonstration for each strand of technology and to better achievement of the**
**synergies and adjustments required between upstream and downstream activities.**
**Complementarity will be sought between shared-cost actions in these areas and JRC**
**activities.**

**The R&D actions will be centred on critical scientific and technical aspects so as to**
**achieve significant techo-economic breakthroughs in the medium- to long-term. The**
**European and global dimension of this new energy question and the solutions which**
**could be applied will also be taken into account. Modelling studies aimed at better**
**understanding of the energy-environment-economy interfaces will contribute to the**
**analysis and to the definition of the Community energy strategy and will permit better**
**definition of** **the** **work to be undertaken. Research dealing with technologies which are**
**reaching maturity (management of low-level radioactive wastes and techniques of**
**nuclear decommissioning, sectoral activities concerned with energy saving in industry)**
**will be reduced or abandoned, as will areas (like conventional geothermal energy) where**
**intervention at Community level no longer appears either necessary or adequate**
**(imbalance of available funds).**

**As far as demonstration and dissemination are concerned, special effort will be devoted**
**to the areas of the rational use of energy, renewable energies and clean combustion of**
**coal.** **This Community action will be necessary to ensure a stable supply at an**
**acceptable price to the totality of European enterprises. It will also improve exploitation**
**of resources in the different regions of** **the** **Community and will contribute significantly**
**to cooperation, in terms of technology transfer, with developing countries.**

**53 -**

_**A.**_ _**Technologies**_ _**for cleaner and more efficient production and use of energy**_

**The Community's work on research (including pre-normative aspects), technological**
**development, demonstration and dissemination/valorization will be focused on three**
**principal axes. It will deal with the rational use of** **energy,** **the introduction of renewable**
**energies on a large scale and with more effective production from the burning of fossil**
**fuels (coal and hydrocarbons).**

_**Rational use of energy**_ **will focus principally on the transport sector, with integrated**
**projects relevant to urban transport and reasearch and development on technologies such**
**as** **batteries, fuel cells and advanced fuels. For the residential and tertiary sectors, the**
**work should especially concentrate on bringing more effective technologies to the**
**market, on the restructuring of energy-intensive systems, on adjusting the behaviour of**
**consumers to a more restrained use of energy and on prenormative research on the use**
**of energy in buildings. In the industrial sector, the development and demonstration**
**actions will focus on technologies which can reduce energy consumption substantially.**
**Targeted projects aimed at stimulating a more efficient use of energy (the intelligent**
**house) and integrated projects bearing on the** **pattern** **of consumption (combined heat and**
**power, and planning of industrial zones) should reinforce this activity.**

**The objective of** **die** **second axis is to contribute to the development and demonstration**
**of** _**renewable**_ _**energies,**_ **which are clean indigenous resources, in order to ensure better**
**integration of the energy system with** **die** **environment and much greater security of**
**supply. The planned activities are designed to establish a European industrial and**
**technological framework favourable to a significant uptake of renewable energies. The**
**programme should also encourage networks of** **excellence:** **specialized research centres,**
**electrical power generation companies, towns, regions and islands, architects and**
**building engineers.**

**The programme is characterized by a balance between continuity and novelty. In order**
**to follow-up and accelerate the work already in hand, research, development and**
**demonstration on the most promising technologies will be emphasized: solar**
**photovoltaic, technologies for solar heating, cooling and natural-lighting for buildings,**
**wind energy, biomass. Other exploratory options will also be investigated: marine**
**energy, solar electricity using thermodynamic cycles, geothermal (hot dry rock),** **"solar"**
**hydrogen.**

**The JRC will take part in these activities mainly through prenormative research in the**
**field of photovoltaic energy and the conservation of energy in buildings. New initiatives**
**will be aimed at easing the integration of renewable energies from the technological,**
**economic and social points of view.** **Large-scale integrated projects such as the**
**development of electricity production from renewable sources, especially biomass, or**
**better integration of renewable energies into future electrical systems are priority targets.**
**Large scale integration of renewable energies into the rural setting, in regions, towns and**
**islands, is also very important; there is a huge potential for the use of renewables in**
**rural development in the Third World and this has major implications. The efficient**
**execution of these integrated projects will require that close links be established with**
**other Community policies (Common Agricultural Policy, Structural Funds).**

**54-**

**The third axis concerns the production and transformation of energy from fossil fuels.**
**Combustion, which is an essential generic research topic common to the field of rational**
**use of energy and to that of the conversion of fossil fuels, will be given priority. In the**
**area of conversion, we will be looking for cleaner and more cost-effective disposal of**
**the proceeds of conversion of fossil fuels.** **The work will concentrate on key**
**technologies such as integrated combined cycles ("hot gas cleaning" and pressurized**
**combustion) or fuel cells for the decentralized production of electricity. Substitution of**
**coal by biomass or combustible waste will also be studied.**

**Complementary work should ensure better energy security in the much longer term:**
**actions relating to better management of indigenous resources at the levels of both**
**extraction and conversion will be started. For hydrocarbons, the work will focus on**
**development and demonstration,** **principally** **for the oil service industries, of more**
**efficient techniques of reservoir exploration (geophysics), exploitation and transport. In**
**this context, a basic programme of research in the earth sciences could complement this**
**action.**

_**[B.**_ _**Nuclear Safety and Safeguards**_
_**C Controlled**_ _**Thermonuclear Fusion**_

_**NB:**_ _**Activities B and C between square brackets are included in this annex to give an**_
_**overall picture of energy**_ _**research**_ _**activities to be**_ _**undertaken.**_ _**However,**_ _**they are subject**_

_**to a Council decision, the same day, concerning the**_ _**framework**_ _**programme for**_ _**research**_
_**and training for the**_ _**European**_ _**Atomic Energy Community]**_

##### **`6. RESEARCH FOR A EUROPEAN TRANSPORT POLICY`**

**Mobility of people and goods across Europe, its countries and regions as well as within**
**urban areas has become a phenomenon of our modern society which it is increasingly**
**difficult to master. In this context, the development of transeuropean networks for**
**transport which facilitate the interconnection with and the interoperability of national**
**networks and the access to these networks will be key questions in achieving an open**
**and competitive market.**

**In this respect, the Communication from the Commission to the Council over the future**
**developments for the Common Transport Policy ("Livre Blanc" COM(92)494) specifies**
**that the essential aim of reasearch for a European Transport Policy is to contribute to**
**the development, integration and management of a transport system which is more**
**efficient, safer and compatible with the environment and with quality of life, promoting**
**sustained mobility of people and goods.**

**In order for this goal to be achieved, a European approach will be developed to exploit**
**the synergy between the different Community and national activities, as well as those**
**of other international organisations. Research** **will** **be conducted within a coherent and**
**coordinated framework, taking into account activities within the themes on industrial**
**technologies, telematics, environment and energy wherever they relate to the objectives**
**of the Common Transport Policy. Work focusing on generic technologies is, in effect,**
**to be conducted under each of the relevant themes within the first activity.**

**55**

The activities under this theme will focus, on the conditions for interoperability and the
interconnection of networks, notably with regard to intermodality and accessibility. This
will facilitate the design and management of infrastructures so that they are more
compatible with the environment and safer for their users.

In this sense, the research activities will principally address the evaluation, integration
and global validation of technological innovations developed in the other themes.

The objective is to contribute towards the optimisation of the Transeuropean Transport
Networks, to the improved performance of transport modes and of individual operators,
to the capacity of each to cooperate with the others, to accessibility for users as well as
to support for the development of a multimodal transport system at urban, rural, regional
and transeuropean levels.

With this aim in view, the RTD activities will follow a systems and integrating
approach, taking into account the strategic orientations of the European Transport Policy
and the results of research conducted within other themes of the first activity, so as to
develop specific solutions applicable to the transport sector.

This work could lead, if necessary, to large-scale tests and to demonstration projects.

The research will place emphasis on the optimisation of transport systems, the
improvement of safety, the reduction of harmful emissions, and on social acceptability.
In particular:

 - For **combined transport and rail** **transport,** it will, notably, set out to ensure the
interoperability of rail networks, in particular those which operate at high speed,
eliminating progressively the technical, regulatory and operational barriers. The
research should lead to the specification of functional requirements for multimodal
integrated routes, as well as pilot concepts to integrate and evaluate new technologies
for interchanges, their management and control.

- In the case of **aeronautics** a similar systems approach is necessary, on one hand, to
define those objectives of European interest related to reducing congestion of airspace
and of airports as well as to improving human safety and the impact on the
environment, and on the other hand to allow the integration and evaluation of the
results of research on generic technologies dealing, in particular with air traffic
management, aircraft safety, the reduction of engine emissions and noise, drag
reduction and the critical technologies for very large aircraft.

- For **urban** **transport,** it will permit, through the integration of results achieved and
tested in other research programmes on generic technologies, the development of
specific solutions within a systems approach and appropriate modelling with the aim
of reducing congestion, energy consumption and improving the balance between
different modes, particularly between collective and personal transport.

56

**- In** the **maritime** area, integrated research and demonstration projects should permit
optimisation of the performance of short sea shipping systems, new sea/land/river
interfaces, which include new port facilities making use of manpower in a way which
respects the needs of safety and the protection of the environment with an efficient
traffic management system.

- For **road** **transport,** the development of the appropriate methodologies to define the
instruments necessary for the realisation of a common policy for road safety and the
optimisation of interurban travel modes, while integrating and evaluating
technological solutions concerning, in particular, traffic management and the design
of infrastructure.

With all these activities, particular attention will be given to ergonomics and human
factors in an operational framework, as well as the protection of the environment.

These activities will be accompanied, at the strategic level, by research focused on
**modelling and** **transport** **scenarios.** Research in this area will be undertaken with the
global objective of reaching a better understanding of the generation of transport
demand.

It consists of the development of harmonised methods at the Community level for
analysing the development of transport and movements, the flows and their interactions.
It also includes determination of the impact on demand of industrial location and
distribution networks, the identification of changes in industrial structures, of logistic
contraints and of the choice of modes of transport within the enlarged European
economic area.

Moreover, in line with the European Transport Policy, technological innovations will be
accompanied by research concerning their integration into new operational and
institutional frameworks (including those associated with technical standards and the
definition of transeuropean transport networks).

Finally, a new harmonised methodology for the evaluation of the global impact of
European transport systems is necessary for this purpose and particularly to optimise
transeuropean networks.

The JRC will participate in these activities, essentially through the analysis of the safety
of transport systems as well as their impact on society and on the environment in
general. It will also undertake work of scientific and technical support related to projects
financed by the Commission.

**7. TARGETED SOCIO-ECONOMIC RESEARCH**

The close interrelationship between technology, growth and employment is the essential
feature of the context in which the objective is to contribute to the identification of
concrete RTD activités which can be carried out throughout the Community with the
aim of encouraging the competitiveness of European industry and the emergence of a
new pedagogic and social model which will capitalise on the diversity of European
Society. This new research topic will allow a response to be made to the growing need
felt by decision-makers, and in particular those in charge of research, technological

                  - 57

development and demonstration policies in Member States and at the Community level,
to be able to benefit from a greater synergy between the natural sciences and
engineering, and the economic and social sciences. The need, first and foremost, is to
renew and enlarge for them the knowledge base for decision-making through activities
to evaluate scientific and technological policy options, taking account of developments
in technology and know-how.

As well as these horizontal activities of targeted research, socio-economic research will
be carried out within each topic of RTD in the first activity (evaluation of socioeconomic impact and risks), in the second activity (socio-economic aspects of
international scientific and technical cooperation), in the third activity (improvement of
the efficiency of the uptake of results of RTD) and in the fourth activity (training and
mobility of researchers in the social and economic sciences). Close contacts will be
continued with the COST projects in the field of social sciences and with European
organisations working in this field.

**A.** _**Evaluation**_ _**of**_ _**scientific and technological policy options**_

The evaluation of scientific and technological policy options for Europe will provide the
common knowledge base for policy makers in the fields of science and technology
policy at both the national and Community levels and also for those people responsible
for other fields of Community activity within which science and technology play a role.

These activities will follow the direction taken by the MONITOR programme (FAST,
SAST, SPEAR), by the work of the Institute for Prospective Technological Studies of
the JRC, by the activities in the framework of the VALUE, SPRINT or EUROSTAT
programmes and on the base of the experience acquired through the specific programmes
(evaluation of the socio-economic impact of research) in fulfilment of a decision taken
at the time of the approval of the third framework programme.

The object is to put at the disposal of actors, policy makers and users of RTD a
European instrument - which takes into account global developments - for the evaluation
of the scientific and technological policy options the better to encourage growth and
employment and, with this as objective, to integrate into a diversified ensemble the
activities undertaken at the regional, national and European levels in the fields of
prospective studies of relationships between science, technology and society, of
economic and technological monitoring, of strategic analysis, principally of generic
technologies, and of the evaluation of RTD programmes and policies. In particular, the
aim will be to reinforce prospective studies on technology and industry and to improve
coordination within the Community in order to provide a consistent and global
framework which will enable European actors to take the steps and initiatives relevant
to their responsibilities and to adapt their own strategies better to technological and
industrial changes. This to be done by putting into place a limited number of dedicated
networks, concertation activities and studies, activities related to the preparation and
definition of new programmes, support activities (methodological research, open
databases, collections of indicators, directories of "technology assessment" in Europe,
etc.) and of dissemination (workshops, seminars, information weeks). This will offer to
actors involved in the evaluation of scientific and technology policy a pluralistic
framework for dialogue and discussion of approaches which will lead to the

**- 58 -**

**identification of scientific and technological policy options for Europe and to**
**recommendations which can be used by actors, policy makers and users in the field of**
**RTD.** **This is why the activities foreseen are to be undertaken in close collaboration with**
**governmental organisations and parliamentary offices for the evaluation of scientific and**
**technological policy at regional, national and European level (in particular with STOA**
**and the European Parliament Technology Assessment Network), with public sector**
**organisations and those of the private sector which specialise in these fields as well as**
**with** **die** **representatives for these questions of the various socio-economic actors in the**
**field. A limited group of activities should be foreseen to be able to help with the**
**launching of preparatory actions and definition phases for new Community RTD**
**activities.**

**The JRC will support these activities through the Institute for Prospective Technological**
**Studies which will establish a technology observatory in order to collect and analyse**
**information on scientific advances and technological innovations and to undertake**
**forward studies and technological evaluations essentially at the request of Community**
**institutions.**

**B.** _**Research on education and training**_

**The rate of change of scientific and technological knowledge and associated skills on**
**the one hand, and of the education and training system, including the training of**
**instructors, on the other are becoming more and more out of phase and it is becoming**
**extremely difficult to ensure that timely, appropriate and well balanced exchanges take**
**place between the two. Considerable efforts have been made at the national level to try**
**to overcome these difficulties. The recent developments at the European level of**
**networks in research and training and of various industrial and commercial agreements**
**between** **businesses call for a common understanding and mastery by Europeans of these**
**problems, which are increasingly global in character.**

**The object of the Community research activities in this field is twofold: first, it is one**
**of identifying the new generic processes which link research, education and training and**
**the interfaces that it is necessary to build in order to master them; secondly, it is**
**necessary to evaluate the implications of** **die** **process of** **Europeanisation** **and**
**globalisation in order to identify the input of the Community to the improvement of**
**education and training systems in Europe.**

**The activities foreseen will respect the principal of subsidiarity** **by centring on**
**exchanges of experience, the comparison and** **inter-operability** **of practices, the diversity**
**of which enriches the Community. Priority will be given to four broad research**
**objectives. First, research into** **die** **development of** **the** **European open labour market for**
**all professional categories and the education and training needs that such developments**
**imply. Secondly, research into methods of education and training, at all levels, including**
**into the tools used, psycho-pedagogic and organisational aspects. Thirdly, comparative**
**analysis of the special training needs linked to the development of new methods of**
**quality and process control. These new methods must provide an appropriate response**
**with regard to systems of qualifications for different types of work which will permit**
**mutual recognition of problems and practices at the European level. Fourthly,**
**comparative research on systems of education and training will be** **supported,** **including**
**into regional differences and links with economic development in the regions.**

**59 -**

C. _Research_ _into the problems of social integration_

**The growth in poverty and the appearance of new forms of social exclusion constitute**
**major problems which the Member States must face. The Community has contributed**
**to the fight against poverty and social exclusion through Structural Funds initiatives**
**thanks to certain aspects of the EUROFORM, NOW, HORIZON and LEADER**
**intiatives, as well as the HELIOS and TIDE programmes, but above all through its three**
**successive programmes designed to combat poverty.**

**Relative to the research effort of** **the** **Member States invested in these fields, Community**
**research has a threefold objective: first, to contribute through a comparative analysis at**
**the European level to a more systematic understanding of the processes of social**
**exclusion and integration, their causes, their different forms and ways in which the**
**problems manifest themselves and their implications for Community policies, in**
**particular the structural policies; secondly, to allow all Member States through**
**dissemination of appropriate information to benefit from successful experiences of social**
**integration, through the circulation of information, the copying and application of the**
**most innovative projects, starting with a thorough analysis of their results and of the**
**lessons drawn from them by each Member State;** **thirdly,to** **evaluate in what way the**
**actual process of European integration (in terms of markets, currency,** **etc.)** **gives rise**
**to** **particular** **causes of social exclusion and integration as compared with those specific**
**to the situation at national or local level. Such research work will help with better**
**targeting of activities at the Community level to respond to the problems of social**
**integration.**

**The place where currently new types of social exclusion and integration are seen most**
**frequently is the town (conurbations, city-regions, medium sized towns, etc.), and it is**
**at this level, as** **well** **as that of the networks which link towns together and which are**
**becoming more and more dense, most noticeably in Europe, (information, transport and**
**financial networks...) where best advantage can be had from these significant changes.**
**On the basis of the knowledge gained as a result of national research programmes as**
**well as on the experience acquired through networks of European towns and regions and**
**on their increasing willingness to implement common projects on the ground, the**
**Community's contribution will be centred around two principal objectives.**

**The first covers in particular multi-disciplinary research into concrete means of ensuring**
**that those people who are excluded gain easier access to information, communications,**
**public services, education and training, to the labour market which interest them both**
**as citizens and socio-economic actors equally at the national and the European level. The**
**second broad objective is to evaluate the contribution that technological developments**
**make to the resolution of these problems in the larger context of experiments tried out**
**across the Community. In effect it is necessary to put the emphasis on the**
**complementarity of the different generic technologies developed under other topics of**
**the first activity in relation to the socio-economic research work dealing with strategic,**
**organisational and institutional aspects in order to contribute to the solution of** **the** **acute**
**problems of urban life and to promote innovative approaches to this subject.**

**60 -**

**SECOND ACTIVITY**

_**Promotion of**_ _**cooperation**_ _**in the field of Community Research, Technological**_
_**Development**_ _**and Demonstration**_ _**with**_ _**Third Countries and International**_
_**Organizations.**_

_This second activity covers various related forms of Community_ _intervention._
_Scientific and technical cooperation will be developed and intensified at the same_
_time_ _with_ _industrialised countries, central and Eastern European countries, the new_
_independent states of the former Soviet Union and developing countries._ _Such_
_cooperation can be on a bilateral or multilateral basis; it can take place directly or_
_through international organisations. The objectives of such cooperation are both to_
_reinforce Community capacities in the fields of science and technology and to_
_support the implementation of Community policies vis-à-vis third countries and it_
_will be based on the principle of mutual benefit._

In order to improve the competitiveness and the scientific and technological bases of the
Community, die challenge is to increase the added value of RTD activities of the
Community and the Member States, as well as of the other Community policies through
selective cooperation with third parties, in coordination with the Member States. An
important aspect of this challenge is the scientific contribution to the solution of regional
or global problems or to advances in the situation of developing countries and of the
countries of central and Eastern Europe. It is also necessary to be sufficiently flexible
to react to possible developments in third countries. In cases where intellectual property
rights are involved, the rules on the subject which the Council and the Commission
adopted jointly in June 1992 which give general guidelines will be respected.

The main objectives are the strengthening of the scientific and technological capabilities
of Europe, supporting the implementation of Community policies with respect to third
countries and contributing to the solution of regional and global problems, through
increasing coordination with the Member States.

_A._ _Scientific and technological_ _co-operation_ _in Europe_

_1._ _Collaboration with other scientific and technological cooperation frameworks in_
_Europe_

The aim of this activity is to reinforce the coherence of research in Europe, in order to
optimize it by taking into account national efforts, both those of Member States and
those of EFTA countries, those of COST, EUREKA, and European organisations such
as CERN, ESA, EMBL, ESF, etc. Besides this, the European position vis-à-vis
international organisations at the world level (UN, OECD, etc.) should continue to be
promoted.

61

**The resulting objectives are to establish closer relations with these frameworks and**
**organisations, not only at the political level, but also at the practical project level.**
**This will foster the creation of networks of scientific and technical excellence,**
**extending beyond the frontiers of the Community. The transfer of RTD results**
**towards the market place will be improved, notably via EUREKA. Such relations will**
**facilitate the setting of standards and legislation responding to requirements revealed**
**during research actions.**

**The COST concerted action projects are complementary to those of the Community**
**programmes, and retain their specific character with respect to the other European**
**research structures.**

**With a view to strengthening the links between Community and EUREKA activities,**
**the essential elements are better circulation of information concerning projects and**
**support measures, taking into consideration in EUREKA projects the results of**
**Community projects, taking into account in a more systematic way of the**
**precompetitive phases of EUREKA projects within the framework programme and**
**joint examination of large scale strategic projects proposed by industrialists. As**
**regards the Community, this entails the establishment, after an extensive pilot phase,**
**of new mechanisms for taking into account projects from the EUREKA framework,**
**while respecting the specific character of the two frameworks, in particular, that of**
**the Commission's procedures.**

**The financial resources to be allocated to this activity could be included on an**
**indicative basis in the work programmes for the Community programmes. The**
**Community's participation should respect the aims of the specific programmes, and**
**only concern the precompetitive and generic parts of projects, which would be**
**submitted for the opinion of the corresponding Committees.**
**As far as EFTA countries are concerned, account will be taken of the fact that several**
**of** **them** **take part fully in the framework programme (European Economic Area) and**
**that others are linked by bilateral cooperation agreements.**

_**2.**_ _**Cooperation with Central and**_ _**Eastern**_ _**Europe and**_ _**the**_ _**new independent States of**_
_**the**_ _**former Soviet Union**_

**The objectives of this activity are to contribute, through cooperation in areas of**
**mutual interest, to the safeguarding of the scientific and technological potential of**
**these countries and to their restructuring. This will contribute to the rehabilitation of**
**their production systems and to an improvement in the quality of life, which are key**
**factors for stabilisation.**

**Synergy with other Community activities, notably PHARE and** **TACIS,** **and close**
**liaison with the actions of the Member States, will be sought. In the energy field, use**
**will be made of the 'energy** **centres'established** **by the Community in these countries**
**under the THERMIE programme.**

**62**

**The participation of the countries concerned in the** **specific** **programmes within the**
**first activity is foreseen. Community funding will be available to facilitate their**
**participation.**

**The action will also include specific research themes appropriate to the current critical**
**needs of these countries, notably in terms of the environment, energy, safety and**
**technologies having an integrating effect on the economy.**

_**B.**_ _**Co-operation with**_ _**industrialised**_ _**non-European**_ _**third countries**_

**The objective of this co-operation is to promote the interests of the Community and**
**to optimise the efforts made in the area of RTD, by facilitating access to sources of**
**science and technology of the third countries in question : U.S.A., Japan,** **Canada,**
**Australia and others.**

**It is worth emphasising that these countries are at the same time allies or partners for**
**the Community as well as competitors, notably on the commercial and industrial**
**level. Hence the importance of respecting the principles of selectivity in areas of co-**
**operation,** **of concentration on a few carefully selected sectors, of flexibility in the**
**modalities of co-operation, of balanced mutual benefit, of non-transfer of financial**

**means.**

**The modalities of** **co-operation** **with these countries include** **:** **concertation for certain**
**sectors such as megaprojects, execution of joint research and study projects, as well**
**as the exchange of information and experts.**

**Co-operation with these countries supports the external political activities of the EC**
**and must be seen in this policy context. Such co-operation also allows Member States**
**to have access to sources of science and technology of the third countries in question**
**in an equal manner. Coordination with Member States is necessary to avoid**
**duplication of work and dispersion of financial resources and to give a better**
**definition to the scope of Community action based on the principle of subsidiarity.**

_**C. Scientific and technological cooperation with developing countries (DCs)**_

**Each Member State conducts programmes of scientific cooperation with DCs, the**
**importance of which is often a function of cultural traditions or long-standing**
**relations. This Community action will be primarily a means of integrating different**
**research initiatives in a global and coordinated way and in synergy with Community**
**development actions.**

**It will permit a scientific effort relevant for developing country problems to be**
**maintained in Europe and even to be enhanced in certain Member States with a view**
**to achieving a better balance. At the same time it will facilitate the** **strengthening** **of**
**research capacities in DCs through carrying out joint research work under shared cost**
**contracts and the reinforcement of links through networks.**

**-63 -**

The priority topics to be covered, which are common to all DCs and of prime
importance for their economic and social development, are renewable natural
resources and their utilisation for improving sustainable agricultural production and
environmental protection, and health research for development. The utilisation of
new information and communications technologies for the strengthening of economic
structures is also envisaged. These generic topics allow a degree of flexibility in the
definition of more precise priorities in the work programmes, according to the region
and to the needs expressed.

In addition, DC participation in certain specific programmes of the First Activity, on
subjects of general interest or of clearly identified mutual interest, is envisaged,
particularly for those countries with a scientific potential which is already developed.
This could be achieved by the allocation of a Community financial contribution for
concerted actions or shared cost contracts.

**THIRD ACTIVITY**

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

_This third activity_ _comprises measures_ _which_ _are_ _not linked to any_ _particular aspect_
_of_ _research_ _and_ _technological_ _development;_ _rather,_ _it concerns Community RTD_
_activities as a whole. The objective is to ensure that these activities have positive_
_repercussions_ _on the competitiveness of_ _industry_ _and the achievement of the other_
_objectives_ _of_ _the_ _Treaty._

The competitiveness of European industry depends to a large degree on its ability to
transform the outputs of its research into viable commercial products and processes.
European industry is generally less efficient than its competitors at this transformation
process, and, in the context of increasing global competition, the ability to secure a
return on investment in R&D is becoming a crucial factor in many industrial sectors.

To remedy this situation, and taking into account developments in the United States and
Japan, the Community must make a substantial contribution to improving the
dissemination and utilisation of research results. However, it should also create better
conditions for the transfer and absorption of new technologies, whatever their origin, by
industry and especially SMEs, whilst taking into account the needs of society: in fact,
the social acceptance of science and technology seems to meet increasing resistance.

The Member States of the Community have implemented at national and regional level
a series of policies aimed at research exploitation and the diffusion of new technologies.
But, on the one hand, these initiatives vary largely from one region to another and, on
the other hand, the Community dimension is not sufficiently taken into account, although
it could yield a significant amount of value added in the context of the Single Market.

**- 6 4 -**

**The centralised action for the dissemination and utilisation of research results under the**

**third framework programme, and the SPRINT and THERMIE (in the field of energy)**
**programmes situated outside the framework programme, endeavour in cooperation with**
**other Community actions in this field and with relatively modest resources to develop**
**a coherent Community system for research utilisation and technology diffusion, building**
**upon appropriate national and regional structures, thus observing the principle of**
**subsidiarity. This effort needs to be continued and extended in the course of the fourth**
**framework programme by implementing integrated larger scale Community actions.**

**Activities of dissemination and optimisation of** **results,** **moreover, have to be carried out**
**in coordination with those implemented and financed by the specific programmes. They**
**reflect the non-linear, complex and iterative nature of the innovation process and the**
**specific character of technology transfer and utilisation, which call for special skills and**
**a multi-sectoral approach.**

**The objectives of the Third Activity are the promotion of the inter-sectoral and**
**transnational dissemination and exploitation of the results of RTD and demonstration**
**activities, the support of technology transfer and absorption by firms and the**
**improvement of the financial environment for firms in order to encourage the diffusion**
**and** **utilisation** **of new technologies. Priority attention will be given to SMEs. The**
**synergies with** **die** **EUREKA programme will be strengthened as will the links between**
**dissemination and optimisation activities with the cohesion and rural development policy**
**of the Community.**

_**A.**_ _**Dissemination and Exploitation of Results**_

**The objective of this area is, building upon appropriate structures at** **die** **national and**
**regional level, to promote the inter-sectoral and transnational dissemination and**
**exploitation of the results of RTD and demonstration activities in order to strengthen**
**their social and economic impact.**

**It is composed of the following activities:**

**- the establishment of a European infrastructure for RTD dissemination and**
**optimisation, with the objective of improving knowledge of the Community's RTD**
**and demonstrations activities, facilitating the dissemination of information and the**
**exploitation of RTD outputs in Europe and promoting scientific and technological**
**cooperation. This infrastructure is based, on the one hand, on the strengthening of the**
**activities of the relay centres network, and, on the other hand, on the reinforcement**
**of the European public information and dissemination service (mainly CORDIS).**

**- specialist services and direct assistance, which complement the established**
**infrastructure and are directed at supporting SMEs, with the aim of promoting**
**transnational and inter-sectoral utilisation of RTD results. They include assistance in**
**the field of intellectual property rights, market research studies, training schemes, the**
**stimulation of know-how transfer, the creation of technology clubs and support for**
**projects on trans-sectoral applications.**

**-65 -**

**- strategic and interdisciplinary reflections on improving the effectiveness of the**
**transfer of RTD results (including acceptability and the evaluation of the social**
**impact, management and economics of research, pilot projects on communication**
**towards society).**

**The network of organisations which promote energy technology (OPET) will continue**
**its activity in the energy field.**

_**B.**_ _**Dissemination of technologies to enterprises**_

**The objective of this area, in accordance with the principle of subsidiarity, is to promote**
**the wider use of technologies, especially by SMEs, and to contribute to the**
**establishment of a European infrastructure for technology transfer, bringing together the**
**competent organisations at national and regional levels.**

**Emphasis will be placed on improving the quality and efficiency of innovation and**
**technology transfer support services, as well as on the improvement of the capacity of**
**industry, especially SMEs and traditional industrial sectors, to absorb new technology.**
**An integrated approach will be promoted based on the demands of firms ("bottom up")**
**and covering all the aspects related to the transfer and utilisation of technologies. The**
**proposed actions will not include RTD activities in the strict sense which are covered**
**by the First Activity.**

**The foreseen activities are:**

**- the establishment of transnational networks of technology transfer and diffusion**
**practioners, involving mainly organisations such as research and development**
**organisations, sectoral technical centres, science parks, etc. in order to encourage the**
**use of technologies in SMEs and the exchange of best practice;**

**- the application of tools designed to facilitate the diffusion of technological**
**opportunities and the bringing together of suppliers, users, and intermediaries;**

**- the demonstration of mechanisms and conditions for the transfer of technologies and**
**their use by new users via the implementation of inter-regional or trans-sectoral pilot**
**projects. These projects will be based on intermediary organisations generating**
**important multiplying effects on the diffusion of new technologies and management**
**methods in SMEs;**

**- measures to improve firms' awareness of best practice methods in the management**
**of technological resources;**

**- improving knowledge of the mechanisms involved and the reinforcement of the** **co-**
**ordination of relevant policies and instruments.**

**C.** _**The Financial environment for the dissemination of technology**_

**Given that the financial environment influences the competitiveness of industry, the third**
**area aims to improve, through an appropriate Community action respecting the**
**subsidiarity principle, the European environment for the financing of the exploitation,**
**adaptation and dissemination of technologies.**

**-66**

**This area comprises:**

**- indirect measures which aim to** **reinforce** **the communication between financiers and**

**the promoters of technological projects, to support the establishment of effective**
**systems for mobilising private capital and the exit of investments ("exit"), to analyze**
**and promote the most appropriate legal structures;**

**- pilot actions which aim to establish or to test financial mechanisms for the absorption**
**of** **research** **results and technologies by SMEs. The technology performance financing**
**scheme started under the SPRINT programme** **will** **be carried on and a new**
**instrument compatible with those of the Member States and adapted to national**
**contexts will be established. In accordance with established agreements, its**
**management would be entrusted to public or private specialist financial intermediaries**
**selected in the different Member States particularly for their ability to provide equity**
**co-financing. This scheme should facilitate the granting of loan guarantees, interest-**
**rate subsidies and measures to support associated technical and managerial assistance.**

**These activities will be implemented in close cooperation with the other Community**
**actions in the field (Eurotech capital, European Investment Funds, enterprise policy).**

_**D.**_ _**Scientific services for Community policies**_

**The JRC will give its technical support to activities of dissemination and utilisation of**
**know-how resulting from its own research and technological developments activities**
**which, due to their horizontal and trans-sectoral character, are an integral part of the**
**third** **activity.**

**The different forms of know-how exploitation, especially transfer to industry, in**
**particular SMEs, will be encouraged.**

**The optimisation of transfer of know-how, possibly in association with EUREKA**
**projects, will also be encouraged.**

**These activities will be carried out in close collaboration with the Commission services**

**responsible for dissemination and optimisation.**

**The JRC will also give its scientific support to Community policies, at the request of**
**directorates in charge of these policies, where the need or the request is manifested.**

**These activities, which are in general of a limited and short term nature, do not fit in**
**well, because of their very nature, with long term planning, because they follow the**
**short term requests of** **the** **Directorates General. The opportunity to undertake them only**
**becomes apparent during the execution of the framework programme, and when it**
**appears that** **die JRCs** **scientific knowhow could contribute to the formulation or to the**
**implementation of one or other of the Community's policies.**

**- 6 7 -**

Certain examples can nevertheless be identified: remote sensing of specific pollutants
and of the cultivation of certain hallucinatory plants (combating drugs); the analysis of
complex systems with multiple operators and the analysis of specific datasets; remote
sensing for fisheries.

**FOURTH** **ACIWITY**

**Stimulation of training and mobility of researchers in the Community**

_The specific objective of_ _this_ _activity,_ _is to_ _promote,_ _the development at_
_Community level, while_ _respecting_ _the_ _principle_ _of_ _subsidiarity,_ _of a factor_
_representing_ _a key_ _variable_ _for_ _the scientific_ _and_ _technological_ _system : human_
_resources._ _Mobility is not a zero sum_ _opération_ _: it_ _leads_ _to a net_ _increase_ _in_
_productivity._

The optimal utilisation of human resources is a basic parameter of all socio-economic
activity. Although Europe possesses a human capital in research which ranks in second
position at world level, its utilisation is often ponderous and slowed down by barriers
which isolate Member States, separate different disciplines and hinder technology
transfer. The development of human resources in the field of research through training,
and their better utilization by transnational mobility and co-operation, are essential
means to reinforce the basis of European industry and to improve its international
competitiveness.

The proposed activity succeeds (with a number of required modifications) the specific
programme "Human Capital and Mobility" (1992-1994) and, further back in time, the
programmes "Science" (1988-1992) and "Access to large scale scientific and technical
facilities" (1989-1992). Elements of continuity essentially concern die objectives
(increase of the efficiency of research and of the efficient use of research facilities in the
Community through training, mobility and co-operation). The adjustments required by
the evolving situation essentially occur at the levels of strategy and management
(reduced dispersion of financing efforts, simplification of contractual agreements,
elimination of obstacles to free circulation of researchers, clear distinction between the
areas covered by the programme and the objectives of the targeted research described
in the First Activity of this framework programme). The fourth activity, which aims to
give advanced training in centres of excellence distributed throughout the Community,
will keep it open characteristic and put the emphasis on university-industry partnerships.

The general objectives of the activity, which encompass those of the former SCIENCE
programme, are the following:

 - to stimulate training through research and, by means of co-operation, to foster better
utilization of high-level researchers in the Community;

                           - 6 8 

**- to improve the mobility of European researchers at geographical level, and also**
**amongst different disciplines and between university and industry;**

**- to promote transnational co-operation for "free" research (as opposed to the targeted**
**research foreseen in the first activities); i.e. : research activity proposed by the**
**scientists themselves;**

**- to improve large-scale facilities which are indispensable for high-quality research, and**
**to place them at the disposal of all European researchers;**

**- to improve the scientific and technological cohesion of the Community, by offering**
**research opportunities to scientific institutions and to researchers, which may help**
**them to reach the level of excellence.**

**This activity will cover the exact, natural, economic and management sciences, as well**
**as social and human sciences of relevance to Europe.**

**The activities foreseen, following along the lines of the SCIENCE programme, are**
**gathered into three sub-areas :**

_**(a) Training through research and stimulation of mobility**_ **:**

**- Co-ordination of all training activities undertaken in the specific programmes defined**
**in the first, second and third activities, with the aim of increasing their synergies;**

**- Harmonization of national policies and definition of the status of the European**
**research trainee;**

**- Implementation of training activities through research and stimulation of** **researchers'**
**mobility. This will consist of** **stays** **of three months to three years, which should allow**
**European researchers to receive professional training and specialised experience**
**outside their home countries. These training periods will be open to all researchers**
**holding or preparing a doctor's degree. Grants will be awarded to host laboratories**
**and will cover mobility and subsistence expenditure, and will provide a contribution**
**to research and management costs. Particular attention will be paid to training in the**
**field of the management of changes within enterprises as they relate to new**
**technologies.**

**- Organization of Euroconferences and scientific prizes.**

_**(b) Twinning of**_ _**laboratories**_ _**in different countries**_

**This will allow researchers from different countries of the Community working in**
**isolation to join their efforts in a "European Laboratory Without Walls" and to**
**constitute, in this manner, research groups with a sufficient "critical mass". Grants will**
**be awarded to help researchers to meet, to perform experiments in common, to support**
**the exchange of results between researchers, to complete equipment or to reinforce**
**research staffs through temporary contracts for visiting scientists (preferably from other**
**countries).**

**- 6 9 -**

_**(c) Large scale facilities.**_ **Community activities will include :**

**- support for researchers in order to facilitate their access to large installations and**
**large instruments (necessary for research and rare in the Community);**

**- support** **for** **the development of new technologies;**

**- the coordination of large scale research facilities.**

**- 7 0 -**

ANNEX **IV**

**RULES FOR FINANCIAL PARTICIPATION BY THE COMMUNITY**

1. The financial participation by the Community in RTD activities undertaken
within the specific programmes shall be:

**(a)** _**Indirect action (shared cost actions with third parties)**_

   - for RTD projects, including _consortia integrated projects:_ progressively lower
participation the nearer the project is to the market place and normally not
exceeding 50% of the costs of the project (in the case of universities and higher
education establishments, this may take the form of 100% of _additional costs);_

_-_ for _thematic networks of excellence_ and training and mobility of researchers:
normally 100% of the _additional costs;_

_-_
for preparatory, accompanying, and support measures: up to 100% of the costs
of the measure;

   - for measures appropriate for certain specific programmes, such as _feasibility_
_awards:_ up to 100% of the costs of the measure.

**(b)** _**Concerted action**_

For concerted actions consisting of the coordination of RTD projects, such as
concertation networks: up to 100% of the administrative costs of the concertation.

**(c)** _**Direct action**_

For direct action consisting of RTD programmes or parts of programmes carried out
by the JRC: normally 100% of the costs of the research.

There may be no derogation from these general rules, except under the conditions
set out in each specific programme.

2. The rules for any eventual financial participation by the Community in the
activities foreseen in Article 2, paragraph 2, of this Decision will be specified in
the measures concerning such activities taken by the Council in conformity with
Article 130 Q [(1)] of the Treaty [(2)] .

**(1>** **Replace by:** **"Article** **130** **O".**
**(2)** **Add a paragraph 3 as follows:** **'The** **rules for the financial participation of undertakings, research centres, and**

**universities in the implementation of the specific programmes will be specified in the measures foreseen by Article**
**130** **J of** **the Treaty".**

**- 71 -**

**Proposai for** a
**COUNCIL DECISION**

**concerning a framework programme of Community activities in the field of research**

**and training for the European Atomic Energy Community (1994 to 1998)**

THE COUNCIL OF THE EUROPEAN COMMUNITIES

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

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Parliament,

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

Whereas Community activities in the field of nuclear research and training can be the
subject of a multiannual framework programme and of specific programmes both
determined in accordance with Article 7 of the Treaty;

Whereas by Decision 90/221/Euratom, EEC [00] the Council adopted a third framework
programme for the period 1990 to 1994 in the field of research and technological
development (hereinafter referred to as "RTD") both within the scope of the EEC Treaty
and in the nuclear area and whereas that programme is in the process of being
implemented; whereas Council Decision 93/167/Euratom, EEC^ provided for
supplementary financing for the last two years of implementation of the third framework

programme;

Whereas on 9 April 1992 the Commission presented an assessment of progress in
implementing the third framework programme of RTD; whereas on 22 April 1992 it
also presented an evaluation of all the specific programmes carried out under the second
framework programme of RTD;

Whereas, in view of the rapid pace of technological development, it has been judged
appropriate to adopt a new framework programme on nuclear research and training for
the period 1994 to 1998 in order to ensure the continuity of multiannual Community
activities in this field;

Whereas, Article 4(1) of the Treaty provides for Community nuclear research and
training activities designed to supplement the activities carried out by the Member States
and that whereas it is appropriate, to that end, to define the criteria which will allow
value to be added to efforts undertaken by the Member States; whereas compliance with
the criteria laid down in this Decision implies that decisions on the areas for Community
intervention must be very selective;

(a) OJNoL 117, 8.5.1990, p. 28.
00 OJ No L 69, 20.3.1993, p. 43.

**72**

**Whereas, in the application of the above criteria, research activities in the fields of**
**nuclear safety and safeguard of controlled thermonuclear fusion should be pursued;**
**whereas these activities are implemented by means of specific programmes based on**
**cooperation with and between undertakings, research centres and universities;**

**Whereas cooperation in the field of Community research with third countries and**
**international organizations should be promoted; whereas in this field of activity it is**
**necessary to take account of the Community's international responsibilities, on nuclear**
**fission safety, in particular,** **with** **the countries of Central and Eastern Europe and the**
**States which have emerged from the former USSR; whereas it is also important to**
**continue international cooperation activities with third countries in the field of controlled**
**thermonuclear fusion where appropriate; whereas it is important systematically to**
**reinforce complementarity and to improve links between Community activity and**
**research activities undertaken in the framework of specialized European organizations;**

**Whereas action should be taken to promote the dissemination and optimization of the**
**results of Community research activities; whereas the Treaty contains precise provisions**
**regarding the dissemination of knowhow which apply principally to the nuclear research**
**programmes and that these provisions are applied jointly by the specific programmes and**
**a centralized activity;**

**Whereas action should also be taken to promote the stimulation of the training and**
**mobility of researchers, particularly young researchers, in the Community;**

**Whereas activities involving international cooperation and stimulation of the training and**
**mobility of researchers should be carried out within each specific programme;**

**Whereas the Joint Research Centre is called upon to contribute to the implementation**
**of the framework programme;**

**Whereas the framework programme is to be implemented through specific programmes;**

**Whereas there should be continual and systematic monitoring of progress with the**
**framework programme as regards the criteria and objectives laid down in this Decision;**
**whereas there should also be an independent assessment of management of the**
**programme and of progress with the activities undertaken, in due time and before the**
**proposal for the next framework programme; whereas the Commission shall also present**
**an annual report to the Council;**

**Whereas, without prejudice to the entry of the amounts needed to implement the**
**programmes in the framework of the annual budgetary procedure in accordance with the**
**third paragraph of Article 7 of the Treaty, it is necessary to make an estimate of the**
**Community financial means necessary for the realization of the research and**
**development activities envisaged;**

**- 73**

**Whereas it is expedient to maintain coherence between all Community RTD activities**
**and whereas this framework programme and the fourth framework programme for**
**Community RTD** **activities** **[(c)]** **should therefore be adopted jointly for the same period;**

**Whereas the Scientific and Technical Committee has been consulted by the Commission,**

**HAS DECIDED AS FOLLOWS:**

**Article 1**

**1.** **A framework programme for Community activities in the field of nuclear research**
**and training is hereby adopted for the period 1994 to** **1998.**

**2.** **The framework programme shall include all activities regarding research,**
**technological development, international cooperation, dissemination and optimization**
**of results, as well as training, in the fields of:**

**- nuclear safety and safeguards,**

**- controlled thermonuclear fusion.**

**3.** **Without prejudice to the third paragraph of Article 7 of the Treaty, the amount**
**deemed necessary for Community** **financial** **participation in** **the** **framework programme**
**as a whole shall be ECU 1 475 million. Annex I sets out the breakdown between the**

**two fields referred to in paragraph 2.**

**4.** **The selection criteria to be applied in the implementation of the framework**
**programme** **are laid down in Annex II.**

**5. Annex III sets out the scientific and technological objectives and main features of the**
**proposed activities, in accordance with the criteria referred to in paragraph 4.**

**Article 2**

**The framework programme shall be implemented through specific programmes. These**
**programmes shall be adopted in accordance with Article 7 of the Treaty. Each specific**
**programme shall specify its precise objectives in accordance with the guidelines set out**
**out in Annex III.**

**Article 3**

**The detailed rules for financial participation by the Community in the framework**
**programme as a whole shall be those provided for by the specific provisions regarding**
**RTD funding of the Financial Regulation applicable to the General Budget of the**
**European Communities, as specified in Annex IV.**

**(c)** **See p.** **of this Official Journal**

**- 74**

Article 4

1. The Commission shall continually and systematically monitor progress with the
framework programme as regards the criteria and objectives set out in Annexes II and
III. It shall examine in particular whether the objectives, priorities and financial
resources are still appropriate to the changing situation. If necessary, it shall make
proposals to amend or supplement the framework programme according to the results
of such monitoring.

2. Before presenting its proposal for the next framework programme, the Commission
shall have an assessment conducted by independent experts into the management of
and progress with Community activities carried out during the five years preceding
such assessment. It shall communicate the assessment, accompanied by its comments,
to the Parliament, the Council and the Economic and Social Committee at the same
time as its proposal for the next framework programme.

Done at Brussels, For the Council

The President

                      - 75

ANNEX **I**

**FRAMEWORK PROGRAMME (1994-1998)**
**AMOUNT AND BREAKDOWN**

MECU

(Current prices)

Nuclear safety and safeguards 495

Controlled thermonuclear fusion 980

AMOUNT DEEMED NECESSARY* 1475

 - of which JRC : 343 MECU allocated as follows : Nuclear safety and safeguards
293 MECU and controlled thermonuclear fusion 50 MECU.

                     - 76

ANNEX II

**SELECTION CRITERIA FOR COMMUNITY** **ACTIVITIES**

The following criteria which guide the selection of scientific and technical objectives of
the framework programme should also be applied in the definition of specific

programmes:

1. Community research, technological development and demonstration (RTD) activities
must focus on clearly defined objectives which will contribute towards:

  - strengthening the technological base of Community industry and providing it
with the knowledge and know-how (skills) required to make it more competitive
at international level;

  - defining and implementing Community policies;

  - meeting the needs of society and promoting a sustainable development.

This approach will also yield short-term, medium-term or long-term economic
benefits and should contribute to the strengthening of economic and social cohesion
in the Community, while being consistent with the pursuit of scientific and technical
quality.

2. On this basis, the following types of action could warrant Community activities:

   - action on a very large scale for which Member States could not provide the
necessary facilities, finance and personnel, or could only do so with difficulty
("critical mass");

   - activities tackling ambitious themes, addressing large-scale problems or of
long-term scientific benefit. Activities of this type require specific research at
Community level and can thus often enhance the Community's overall
contribution to the solution of international problems;

   - activities producing obvious financial benefits which justify joint action even
allowing for the extra costs inherent in all international cooperation;

   - activities which are complementary to those being carried out nationally and
which aim at strengthening the scientific and technological base of the
Community as a whole and where there is a better chance of applying the results
at Community level;

**- 77**

**- activities contributing to the achievement of a common policy, such as**
**completion of** **the** **single market or of** **a** **common objective such as the unification**
**of the European scientific and technical area, and, where the need is felt, to the**
**establishment of common rules and standards.**

**3.** **The Community's RTD activities must be implemented through projects which are**
**to be assessed on the basis of their scientific and technical excellence.**

**In this process of selecting the projects to be carried out in the specific programmes,**
**priority will be given to projects.**

**- allowing closer coordination of the research being conducted in the**
**Member States, at Community level and within other European and international**
**cooperation forums;**

**- making it possible to respond as effectively as possible to the Community's**
**objectives regarding economic and overall industrial competitiveness.**

**78 -**

ANNEX III

**SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES**

_Nuclear_ _Safety and_ _Safeguards_

The objective is to ensure the safety of all nuclear activities whatever they are,the
production of electricity from fission, the use of radioactivity or ionising radiation, or
the presence of natural radioactivity. In spite of the progress achieved by the nuclear
electricity industry, the accident at Chernobyl has shown that nuclear safety should still
be improved, particularly in the East. It is necessary to consolidate the nuclear option
by showing our ability to control it in all areas of application. This demonstration of a
full nuclear safety capability will be made through four priority routes:

- the development of a dynamic approach to nuclear safety contributing to the
consolidation of a "safety culture " on a world scale; the joint use of the large European
facilities to arrive at a better understanding of the crucial phenomena linked to the
nuclear fuel cycle and waste ; pursuing the development of techniques to control nuclear
safety ; the integration of radiological protection into a global system for the protection
of man and the environment.

As far as the first priority is concerned and in close cooperation with the competent
international organisations the areas of activities will concern the study of new systems
of control and monitoring, aspects related to severe accidents, and the evaluation of the
safety characteristics of new reactor concepts. The ageing of installations and their
prolonged operation will require complementary studies in the frame of research
networks. The decommissioning of installations in the EC, the Eastern and central
European countries, as well as the restoration of sites will be studied in coordination
with the national authorities.

As far as the second priority is concerned, the work carried out by the JCR in the field
of the nuclear fuel cycle and radioactive waste will focus on the problems of safety
related to nuclear fuel and on final disposal. Prenormative approaches will be developed.
The joint use of underground installations by research workers of all the Member States
will have to be increased.
The research activities at the JRC in the field of control of safeguards and in the
framework of networks of national laboratories, will be aimed at obtaining results, or the
development of new techniques necessary to assure the respect of the obligations
concerning safeguards relevant to treaties and to those following from the Treaty on
non-proliferation. Moreover, the JRC will pursue its activities in supporting the
fulfilment of the tasks which are the responsibility of the Commission in this field, as
well as with its participation in establishing a coherent and reliable international system
of control of safeguards through its cooperation with the IAEA and its cooperation with
the countries wishing to contribute to such a system, in particular with the Eastern
countries.

                           - 7 9 

**In** **the field of radioprotection, the thorough understanding of the biological mechanisms**
**arising from radiation exposure remains the key to achieving a better quantification of**
**the effects of low doses. The reduction of exposure from all sources, taking into account**
**social and economic constraints, remains the objective of the protection of man and his**
**environment.**

**The problems of radioactive pollution originating from accidents or operational errors**
**in the Eastern and** **central European countries, in particular Chernobyl, require**
**cooperation with these countries. The setting up of a network of international centres**
**will stimulate international collaboration and contribute to a better coordination of**

**bilateral and international initiatives.**

_**Controlled**_ _**Thermonuclear Fusion**_

**The long term objective of** **die** **Community action, embracing all activities undertaken**
**in Member States (plus Sweden and Switzerland) in the field of controlled thermonuclear**
**fusion by magnetic confinement, is the joint creation of safe, environmentally sound**
**prototype reactors. The long time span and the large human and financial efforts**
**required before reaching this objective make necessary the total cohesion of the network**
**of organizations associated in the Community action, as well as the full exploitation of**
**the cooperation with the large fusion programmes outside the Community.**

**Safety and environmental issues will play a central role in the realization of the large**
**devices included in the strategy which is envisaged for moving towards a prototype**
**reactor. During the period** **1994-1998,** **the simultaneous development of three themes**
**of activity is necessary for implementing this strategy : the Next Step activities, on the**
**first experimental reactor; the improvement of concepts, in plasma physics and**
**engineering, for** **die** **subsequent step,** **die** **demonstration reactor; the long term**
**technology, essential for progressing towards the exploitation of fusion as an energy**

**source.**

**For the period** **1994-1998,** **die** **objective of the Next Step activities will be to complete**
**the engineering design of an experimental reactor, in the frame of the quadripartite**
**international agreement ITER, between EURATOM, Japan, the Russian** **Federation** **and**
**the USA. For EURATOM, the activities, other than the participation in the "Joint**
**Central Team", will be coordinated by the NET team and carried out by JET, the**
**Associations, the JRC and industry. A European candidate site for the construction of**
**the Next Step will be identified. The JET Joint Undertaking will end after a phase of**
**operation with tritium; the expertise will be transferred, in particular to ITER; available**
**equipment will be utilised in organizational frames to be defined. The optimisation of**
**concepts, on which** **tokamaks** **and similar configurations are based, will be continued by**
**the Associations; the upgrading of existing devices, as well as the construction of new**
**ones,** **such as a stellarator, could be necessary. The possibility of using other fusion**
**reactions will be studied. The long term technology will concern tritium breeding**
**blankets, materials and safety; the specialized laboratories, in particular at the JRC, will**
**contribute in demonstrating the safe handling of tritium.**

**- 80-**

**The research will continue to focus principally on controlled thermonuclear fusion by**
**magnetic confinement. However, it is important that alternative ways, such as fusion**
**by inertial confinement, for example with** **trie** **aid of beams of particles, receive due**
**attention, if possible in the frame of international collaboration, in particular for a**
**possible experimental activity.**

**The synergy between research and training will be developed. The mobility of scientists**
**will be increased, in particular in the frame of consortia for integrated actions, grouping**
**several Associations** **on** **joint projects. The decentralized management of the Programme**
**will be maintained.**

**-** **81**

ANNEX **IV**

**RULES FOR FINANCIAL PARTICIPATION BY THE COMMUNITY**

1. The financial participation by the Community in RTD activities undertaken
within the specific programmes shall be:

**(a)** _**Indirect action (shared cost actions with third parties)**_

for RTD projects, including _consortia integrated projects:_ progressively lower
participation the nearer the project is to the market place and normally not
exceeding 50% of the costs of the project (in the case of universities and
higher education establishments, this may take the form of 100% of
_**additional costs);**_

for _thematic networks of excellence_ and training and mobility of researchers:
normally 100% of the _additional costs;_

for preparatory, accompanying, and support measures: up to 100% of the
costs of the measure.

**(b)** _**Concerted action**_

For concerted actions consisting of the coordination of RTD projects, such as
concertation networks: up to 100% of the administrative costs of the
concertation.

**(c)** _**Direct action**_

For direct action consisting of RTD programmes or parts of programmes carried
out by the JRC: normally 100% of the costs of the research.

There may be no derogation from these general rules, except under the
conditions set out in each specific programme.

2. The rules for the participation of the Community in the Joint Undertaking, JET,
and ITER activities are specified in the specific programme relating to controlled
thermonuclear fusion.

                     - 82 

FINANCIAL STATEMENT

Part 1: Financial implications
1. TITLE OF THE OPERATION

Fourth framework programme of Community activities in the field of research and technological development and framework
programme for the European Atomic Energy Community (1994-1998)

2. BUDGET HEADING CONCERNED

Sub-section B6

3. LEGAL BASIS

Article 130 Q(I) of the EEC Treaty (to be replaced by article 130i, paragraph 1 of the EC treaty after the entry into force of the
Maastricht Treaty) and article 7 of the EAFX Treaty.
4. DESCRIPTION OF THE OPERATION

4.1 Specific objectives

Implementation of research, technological development and demonstration programmes by promoting cooperation with and between
enterprises, research centres and universities;

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

Dissemination and application of results of Community research, technological development and demonstration activities;

Stimulation of the training and mobility of researchers in the Community.

4.2 Duration

1994-98

4.3 Target **population for** the **operation**

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

5. CLASSIFICATION OF THE EXPENDITURE AND REVENUE

SI. Non-compulsory expenditure.

5.2 Differentiated appropriations.

5.3 Type of revenue involved

The EFTA countries as defined in Article 2 of the Protocol amending the Agreement on the European Economic Area (EEA) will
contribute to proportional additional financing for this framework programme, if the EEA Joint Committee provided for in the
Agreement so decides, probably limited to the non-nuclear activities.

_6._ TYPE OF EXPENDITURE OR REVENUE

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

Networks, training and the mobiKty of researchers, concerted actions, which consist of the coordination of research and development
projects, and accompanying activities, may receive a contribution of up to 100% of the cost of these activities.

Research activities carried out by the Joint Research Centre will in principle be 100% funded.

**-** **83**

**7.** **FINANCIAL IMPACT**

**7.1** **Method of calculating tile total cost of the operation**

**The framework programmes have been defined so as not to exceed** **two-thirds** **of the amount allocated to category 3 of the proposed**
**financial perspective for** **1993-99.**

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

_**12**_ **Breakdown**

**The four activities correspond to the four objectives listed at 4.1 above.**

4th framework programme 1994-98

MECU

(current prices)

First Activity (Research, Technological 1092S
Development and Demonstration Programmes)

Second Activity (Cooperation with Third 790
Countries and International Organizations)

Third Activity (Dissemination and 600
Application of Results)

Fourth Activity (Stimulation of the 78S
Training and Mobility of Researchers)                 -,,                 - ., .

OVERALL AMOUNT 13100
I l

**MECU**
**(current prices)**

**Indicative breakdown between** **mêmes** **in the first activity**

**Information and Communications Technologies***
**Industrial Technologies** *****

**Environment ***
**Life Sciences and Technologies ***

**Energy •**

**nuclear**

**non-nuclear**
**Research for a European transport** **policy***
**Targeted** **Socio-economic** **Research ***

```
  3900

  1800

   970

  1325

  2525

1475

1050

   280

   125

  10925

```

**of which JRC 1067 MECU. N.B.: in addition to participating in the** **first** **activity, the JRC will also participate in the third activity**
**to the tune of 70 MECU.**

**- 8 4 -**

_**73**_ **Indicative schedule**

**MECU - current Prices**

YEARS Financial Actual

Perspectives Amounts

4th FP

1994 4325 pm
1995 4715 2928

1996 5078 3153

1997 5450 3384

1998 5852 3635

Total

1994-1998 13100

**The deflators used are respectively for 92-93: 1.023, for 92-94 : 1.059, for 92-95 : 1.091, for 92-96 : 1.123, for 92-97 :** **1.157** **and**
**for 92-98 :** **1.192.**

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

**ANTI-FRAUD** **MEASURES PLANNED UNDER THE OPERATION**

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

**Part 2 : Basis for cost/effectiveness analysis**

**OBJECTIVES**

**The framework programme corresponds to the objectives established by the Treaty on European Union and notably its Article** **130f|** **1** **)**
**which** **states:** **"The** **Community shall have the objective of strengthening the scientific and** **technological** **bases of Community industry**
**and encouraging it to become more competitive at international level, while promoting all the research activities deemed necessary**
**by virtue of** **other** **chapters of this Treaty." The four activities selected reflect Article 130g.**

**JUSTIFICATION OF THE OPERATION**

**The operation is justified by the need for the Community to help strengthen the scientific and technological bases of Community**
**industry and to encourage it** **to** **become more competitive at international level, while contributing to the definition and implementation**
**of Community policies and to meeting** **die** **needs of society.**

**MONITORING AND EVALUATION OF THE OPERATION**

**The form and frequency of the process of evaluation will be such as to enable the Commission to respond to the** **requirements** **under**
**Article 4 of** **the** **draft Decisions in the proposal above, and to evaluate Community RTD programmes and policies.**

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

**The indicators and quantitative or qualitative criteria which make it possible to measure the results will be determined at the level**
**of each specific programme.**

**-** **85**

**During the implementation of the fourth framework programme, the Commission will examine the state of its progress in relation**
**to criteria and objectives indicated in annexes II and III. It will assess, on a permanent and systematic basis, in particular, if** **die**
**objectives, the priorities as well as the financial means are still adapted to the changing situation (see Article 4(1) of the draft**
**Decision).** **It** **will submit if necessary proposals aiming to adapt or to complete the framework programme according to this**
**assessment. Similarly, before submittmg its proposal for the fifth framework programme, it** **will** **commission independent experts to**
**carry** **out an evaluation of management** **and** **achievements of Community** **RTD** **activities during the five years preceding** **this** **evaluation**
**(see** **Art4(2)** **of** **the** **draft decision).**

**- 8 6 -**

BUSINESS IMPACT STATEMENT

**THE IMPACT OF THE PROPOSAL ON BUSINESS**

**WITH** **SPECIAL REFERENCE TO SMALL AND MEDIUM-SIZED**

**ENTERPRISES (SMEs)**

**Title of proposal:** Commission proposal concerning the fourth framework programme of Community
activities in the field of research and technological development (1994-98)

**Reference** **number:**

The proposal

_**1.**_ _**Taking account**_ _**of**_ _**the**_ _**principle of**_ _**subsidiarity,**_ _**why is Community**_ _**legislation necessary**_ _**in this**_ _**area and**_
_**what**_ _**are**_ _**its**_ _**main**_ _**aims ?**_

The objectives of the Community's research and technological development activities are to strengthen the
scientific and technological bases of Community industry and to encourage it to become more competitive
at international level. The need for Community action is acknowledged by Title VI of the EEC Treaty and
by Chapter I of the Euratom Treaty. In addition, the EC Treaty (in Article 130f as introduced by the Treaty
on European Union) stipulates that the Community shall promote all the research activities deemed
necessary by virtue of other Chapters of the Treaty. The subsidiarity of the Community RTD activities
proposed has been determined in accordance with the approach described in Article 3b as introduced into
the EEC Treaty by the Maastricht Treaty.

The impact on business

_**2.**_ _**Who**_ _**will be affected by**_ _**the**_ _**proposal ?**_

_**-**_ _**Which**_ _**sectors of**_ _**business**_ _**?**_

The Community's RTD activities must concentrate more on generic technologies for widespread use in all
sectors of economic activity in Europe. The joint research funded by the budget allocated to the fourth
framework programme on, for example, information technologies, industrial technologies, materials or
biotechnology will assist very many sectors.

**-** _**Which**_ _**sizes of**_ _**business**_ _**(what is**_ _**the**_ _**proportion of small and**_ _**medium-sized**_ _**firms)?**_

The Community encourages RTD and cooperation by businesses, including SMEs, research centres and
universities. The complementarity between the comparative advantages of small firms and big companies
has prompted the Commission successfully to encourage small firms to become involved in the Community's
research programmes, notably with the aid of special incentives. SMEs have also benefited most from the
improvements made to the management of Community research, e.g. simplification of the information
packages, support in seeking partners and targeted proposer days, etc. The fourth framework programme
expands this approach by providing for technology promotion activities for SMEs, by focusing the

**- 8 7 -**

**dissemination** **measures on small firms and proposing a completely new financial instrument specially**
**designed to encourage SMEs to apply the results of Community research. This instrument forms part of**
**the third activity and is a new addition to the package of measures designed to ensure more effective**
**participation by SMEs in the Community's RTD activities.**

_**-Are**_ _**there particular geographical areas**_ _**of**_ _**the**_ _**Community where these**_ _**businesses are**_ _**found ?**_

**In principle, the Community's RTD activities serve no geographical or regional objective. Although the**
**objectives of strengthening economic and social cohesion in the Community and of promoting**
**harmonious development also apply to RTD policy, scientific and technical excellence is the overriding**
**selection criterion applied for this particular policy. This criterion in itself is a factor encouraging**
**cohesion in so far as it enables scientists from the least favoured regions to participate in the most**
**advanced research activities in Europe. The evaluation panel's September** **1991** **report on the impact of**
**the framework programme on economic and social cohesion in the Community revealed increasing**
**involvement by firms from the least favoured regions (most of them SMEs) in the Community**
**partnerships. The fourth framework programme should** **help** **to continue this** **trend,** **building on the results**
**of the operations carried out under the Structural Funds (and in particular STRIDE) to bolster RTD**
**structures in the least favoured regions. Specific measures are also planned under the third and fourth**
**activities for these regions.**

**3.** _**What**_ _**will**_ _**business**_ _**have to do to comply with the proposal ?**_

**The proposal imposes no formal obligations on businesses in the Community. On the contrary, it**
**provides them with greater means** **to** **participate** **in** **joint** **research.** **The private sector will retain primarily**
**responsibility for fully seizing the opportunities opened up and for applying the results of the research**
**projects for the manufacture and successful marketing of innovatory products.**

**4.** _**What economic**_ _**effects is**_ _**the**_ _**proposal likely to have ?**_

**-** _**on**_ _**employment,**_ _**on investment and the**_ _**creation**_ _**of new**_ _**businesses**_ _**and**_ _**on**_ _**the competitive position of**_
_**businesses**_ _**?**_

**By making European businesses more competitive at international level, the Community's RTD activities**
**will create jobs and encourage investment. The Commission communication evaluating the second**
**framework programme for Community research and technological development (SEC(92)675 of**
**22 April 1992) and the subsequent analysis of this evaluation by CREST give an idea of the economic**
**impact of the Community's RTD activities. The proposed fourth framework programme follows the**
**concentration strategy started in the third. More selective allocation of the funds requested for the**
**individual activities should ensure that the activities have greater relevance and impact.**

**5.** _**Does**_ _**the proposal contain measures**_ _**to take**_ _**account**_ _**of**_ _**the**_ _**specific**_ _**situation**_ _**of**_ _**small and**_ _**medium-sized**_
_**firms**_ _**(reduced**_ _**or**_ _**different**_ _**requirements,**_ _**etc.) ?**_

**Arrangements specifically for small firms will continue to be developed and, in certain cases, tested.**
**New approaches have also been proposed (cf. paragraph 2 above).**

**- 8 8 -**

**Consultation**

**6.** _**List the**_ _**organizations**_ _**which have been**_ _**consulted**_ _**about**_ _**the**_ _**proposal and**_ _**outline**_ _**their**_ _**main**_ _**views.**_

**This proposal concerning the Fourth framework programme is the fruit of a policy debate within the**
**Commission, which keeps in constant contact with the advisory bodies responsible for RTD (CREST,**
**IRDAC and CODEST), the European Parliament and the Economic and Social Committee, UNICE, the**
**national authorities, researchers and the relevant European and national organizations.**

**-89**

**PROPOSED** **TIMETABLE** **[1 ]**

**Plenary debate on the Parliament's own initiative report**

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

**Preliminary political agreement on the main lines in the Council**

**June 1993**

**June 1993**

**June 1993**

**Official submission to the Parliament and**

**Economic and Social Committee by the Council**

**plenary session in July 1993**

**Examination of the proposal in Parliamentary committee** **September/October 1993**

**(Entry into force of the Maastricht Treaty** **(?)**

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

**Opinion of the Economic and Social Committee**

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

**Adoption of Common Position by the Council**

**Transmission of the Common Position**

**Second reading (and final reading ?)**

**Adoption of specific programmes**

**October 1993)**

**November 1993**

**November 1993**

**November 1993**

**December 1993**

**plenary January 1994**

**February 1994**

**April/May** **1994** **[2 ]**

**1** **Considered by the informal "Research" Trilogue of 26 May 1993 as a basis for organising work.**
**2** **The transmission of informal texts of specific programmes should in principle take place well before the final**
**adoption of the decision on the Fourth framework programme, during the second half of 1993.**

**- 9 0 -**

**ISSN 0254-1475**

### **COM (93) 276 final**

# **DOCUMENTS**

## E N 15 Catalogue number : CB-CO-93-329-EN-C ISBN 92-77-57040-7

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