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No C 243/4 Official Journal of the European Communities 23. 9. 89

## II

_(Preparatory Acts)_

# COMMISSION

Proposal for a Council Decision concerning the framework programme of Community activities
in the field of research and technological development (1990 to 1994)

_COM(89) 397 final_

_(Submitted by the Commission on 4 August 1989)_

(89/C 243/06)

THE COUNCIL OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European
Economic Community, and in particular Article 130q (1)
thereof,

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 the Single European Act incorporated a Title
VI (Articles 130f to 130q) into the EEC Treaty; whereas
that Title constitutes the new legal basis for Community
activities in the field of research and technological development; whereas, in particular, Article 130f lays down
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, in order to achieve this, the Community
is encouraging companies, including small and
medium-sized undertakings, research centres and universities in their research and technological development
activities and is supporting them through appropriate
actions;

Whereas, on the basis of Article 130i, all Community
activities in this field are set out in a multiannual

framework programme;

Whereas, following an initial framework programme for
the period 1984 to 1987, a second framework
programme for the period 1987 to 1991 was adopted by
the Council Decision 87/516/Euratom, EEC (*) and is in
the process of being implemented;

C) OJ No L 302, 24. 10. 1987, p. 1.

Whereas, pursuant to Article 4 of the abovementioned
Decision, the Commission examined the state of
implementation of the second framework programme, in
particular through an evaluation report prepared by a
group of independent experts;

Whereas, in view of the rapid pace of technological
development, new economic challenges which the
Community must meet, the increased level of global
competition and the need to keep in view the horizon
beyond 1992, Community activities in the field of
research and technological development must be intensified and made more complete; whereas, in the light of
these factors, a new framework programme should be
adopted for the period 1990 to 1994 in association with
the current framework programme 1987 to 1991;

Whereas the Community's activities mut be based on the
principle of subsidiarity, and whereas the Community's
activities in the field of research and technological
development must thus provide added value in relation
to activities carried out at national level;

Whereas the strengthening of research and technological
development policy must constitute an element of the
harmonious development and cohesion of the
Community;

Whereas it is necessary to retain the pre-competitive
nature of Community research and technological
development and at the same time the process of
technological progress requires a continuum of interlinked activities, ranging from basic research to the
demonstration of the applications of new technologies;

Whereas Community research and technological development activities should incorporate a prenormative
dimension in order to guarantee the scientific and
technical basis necessary to establish adequate norms and
standards; and whereas such an approach is likely to
facilitate the completion of the single market and to
provide a response to the Community's increased

23. 9. 89 Official Journal of the

responsibilities in the fields of environment, health and
safety,

Whereas the Joint Research Centre is called on to

contribute to the implementation of the framework
programme in those fields in which an impartial and
independent expert opinion is required for the benefit of
all Community policies;

Whereas the dissemination and exploitation of the results
of research and technological development activities are
essential elements in the process of innovation, in
particular for small and medium-sized undertakings, and
whereas, for this reason, a global initiative should be
undertaken which will apply to all activities in the field
of research and technological development;

Whereas a new initiative should be launched to improve
the mobility of young researchers at post-graduate level,
relying on networks of centres of excellence throughout
the Community;

Whereas efforts should be focused on a limited number

of activities and specific programmes corresponding to
the strategic priorities laid down in the framework

programme;

Whereas the framework programme is implemented
through specific programmes and whereas, furthermore,
decisions may be taken on supplementary programmes
within the meaning of Article 1301, participation within
the meaning of Article 130m and cooperation with third
countries or international organizations within the
meaning of Article 130n;

Whereas the Community's involvement in Eureka
projects which fit in with activities downstream of the
Community's research and technological development
strategy should be increased by means of appropriate
instruments and the interface between the framework

programme and European cooperation activities in the
field of scientific and technical research (COST) should
be improved, in accordance with Articles 130m and
130n;

Whereas it is necessary to make an estimate of the
Community financial means necessary for the realization
of the research and development activities envisaged, in
accordance with Article 130i(l) of the EEC Treaty;
whereas this amount is entered in the financial

perspective included in the Inter-institutional Agreement
of 29 June 1988 (') for the years 1990 to 1992; whereas
the item TMPs and research' of the abovementioned

perspective allows the retention of a sum of about ECU
2 400 million; whereas as a consequence of the annual
technical adjustments provided for in the Agreement, the
working assumption has been made that this amount will
be about ECU 2 700 million;

(') OJ No L 185, 15. 7. 1988, p. 33.

European Communities No C 243/5

Whereas it is appropriate to estimate the amount
required for the implementation of the framework
programme in 1993 and 1994. which, with regard to its
realization in financial terms, shall comply with the
budgetary discipline agreed upon for these years in a
future agreement, taking as its basis the amount provided
for the final year of application of the current
Agreement;

Whereas the funds effectively available for the execution
of the framework programme shall be determined
according to the budgetary procedure in line with the
abovementioned agreements;

Whereas it will be possible for new financial instruments
drawing on market resources to be developed outside the
framework programme but related to it, in order to
facilitate exploitation of the results of research and
technological development programmes;

Whereas the Commission, in discharging its responsibilities, undertakes to improve the efficiency of
programme management, in particular by implementing
an advanced monitoring system and decentralized
procedures at the project level;

Whereas the Scientific and Technical Research

Committee (CREST) has been consulted,

HAS DECIDED AS FOLLOWS:

_Article 1_

1. This framework programme for Community
activities in the field of research and technological development, hereinafter referred to as the 'third framework
programme', shall cover the period 1990 to 1994. The
provisions laid down for specific programmes adopted in
the context of Decision 87/516/Euratom, EEC
concerning the framework programme for 1987 to 1991
shall remain in force.

2. The third framework programme shall provide for
six activities grouped as follows:

_Diffusion technologies_

1. Information and communications technologies;

2. Industrial and materials technologies.

_Management of natural resources_

3. Environment;

4. Life sciences and technologies;

5. Energy.

_Management of intellectual resources_

6. Human capital and mobility.

3. Without prejudice to the amount of ECU 3 125
million deemed necessary in respect of the framework

No C 243/6 Official Journal of the European Communities 23. 9. 89

programme for 1987 to 1991 which it will be possible to
enter in the budget from 1990 onwards, the amount of
Community expenditure deemed necessary for the
execution of the activities envisaged by the present
Decision shall be ECU 7 700 million. Of this amount,
ECU 2 700 million are estimated to be necessary for the
execution of the activities envisaged during 1990, 1991
and 1992 and ECU 5 000 million for the implementation
of the activities envisaged during the years 1993 and
1994. The budgetary authority shall determine the
available funds for each year.

4. The breakdown of the amount deemed necessary
for the period 1990 to 1994 between the six activities
referred to in paragraph 2 is set out in Annex I.

5. The activities referred to in paragraph 2 and
their scientific and technical objectives are described in
Annex II.

_Article 2_

1. The third framework programme shall be
implemented through specific programmes in accordance
with Articles 130k and 130p of the Treaty, covering each
of the areas referred to in Article 1 (2).

2. For the implementation of the specific programmes,
decisions may be taken on supplementary programmes
within the meaning of Article 1301 of the Treaty, on
participation within the meaning of Article 130m, and on
cooperation within the meaning of Article 130n.

3. The amounts deemed necessary for the implementation of each specific programme shall be the subject of

two Council decisions, covering the periods 1990 to 1992
and 1993 to 1994 respectively.

_Article 3_

The detailed rules for financial participation by the
Communities in the third framework programme as a
whole shall be those provided for in Title VII of the
Financial Regulation of 21 December 1977 applicable to
the general budget of the European Communities,
without prejudice to the charging to the budget of any
contributions from the Communities to supplementary
programmes or to national or multinational activities or
projects.

_Article 4_

The financing of activities related to the dissemination
and exploitation of the results of the specific
programmes shall be brought about, in the context of
coherent management, by bringing together sums
allocated to these activities according to a percentage to
be determined for each specific programme.

_Article 5_

During the third year of execution of the third
framework programme the Commission shall assess its
progress. It shall examine, in particular, whether the
objectives, priorities, activities envisaged, and financial
resources are still appropriate to the changing situation.
In the light of this review, as far as is necessary, it shall
make proposals for the revision of the framework

programme.

_ANNEX_ _I_

Framework programme of Community activities in the field of research and technological development

(1990 to 1994)

Breakdown of the amount deemed necessary:

_(in millions of_ _ecus)_

I. _Enabling technologies_

1. Information and communications technologies

2. Industrial and materials technologies

II. _Management of natural_ _resources_

3. Environment

4. Life sciences and technologies

5. Energy

III. _Management of intellectual_ _resources_

6. Human capital and mobility

```
   3 000

    1 200

    700

    1 000

    1 100

    700

Total 7 700

```

23. 9. 89 Official Journal of the European Communities No C 243/7

_ANNEX_ _II_

Activities

The third framework programme (1990 to 1994) defines new objectives for giving an innovatory push to
Community action. The orientations defined in the 1987 to 1991 framework programme remain in force in
the implementation of the specific programmes, where an element of continuity is required.

The choice of scientific and technical objectives rests on the principle of Community added value. This
principle, and the exercise of selectivity which results, are of vital importance for the efficient use of the
limited funds at the Community's disposal. The modification of industrial attitudes towards further transnational initiatives; replying to the essential challenges of industrial competitiveness; implanting European
attitudes in the training of young researchers — these are the criteria that have guided the selection of
objectives listed in the current Annex.

As concerns the preferred means of action, the shared-cost action remains the principal instrument. In
those cases where coordination of existing research at the national level is the predominant aspect,
concerted action will be used.

The Joint Research Centre participates in the implementation of the framework programme. A new
emphasis will be given to this participation by reinforcing research with a prenormative character in the
area of industrial and materials technologies; by a reorientation of research on nuclear safety; by the
reinforcement of activities linked to the environment and industrial risks; and by a new emphasis on
technological forecasting. The financing of JRC research activities relevant to the framework programme
will be brought about by bringing together funds available from the sums allocated to the specific

programmes.

The Council shall define the detailed arrangements for the dissemination of knowledge resulting from the
specific programmes. This requires general action and a unified management within the Commission
services to achieve coherence. In particular, this management has to provide for diffusion of results through
publications as well as by computerized means according to common standards and protocols, the
adaptation of industrial and intellectual property rules, innovation transfer and the exploitation of results
within the Community. The financing of these activities is achieved by grouping funds deducted from the
sums allocated to the specific programmes.

In strict accordance with the guiding character given to the framework programme by the Treaty, the
following paragraphs make reference to the strategic elements of the 1990 to 1994 framework programme.

I. ENABLING TECHNOLOGIES

1. Information and communications technologies

The interaction between information and communications technologies, the increased requirements of
users and the necessity to constitute a real nerve system for the single European area lead to a
re-orientation of efforts along three main lines, while preserving the synergies required for subjects of
great Community interest such as high-definition television.

A. _Information technologies_

Apart from the research produced within the Esprit Programme, re-oriented towards the new
generation of technologies, laying more stress on prototypes and multi-supplier and distributed systems,
new activities will receive priority in the following areas.

— Microelectronics

The objective is to contribute to the creation of a European manufacturing capability for advanced
products, in particular integrated circuits in conjunction with the JESSI project. It is crucial to
maintain the skills necessary to ensure the survival of the European electronics industry, associating
the efforts of suppliers and users, and to enable potential new applications in the most advanced

areas.

No C 243/8 Official Journal of the European Communities 23. 9. 89

— Peripherals

The objective is to produce new generations which are reliable, low-cost and mass produced, taking
into consideration for complex systems the most up-to-date technologies and for developing new
manufacturing methods. The action should favour the appearance of new in-out and storage
arrangements.

— Software

Systems and tools need to be developed enabling productivity in software production to be
increased.

. — IT applied to industrial engineering

The action will contribute to optimizing the use of advanced CAD/CAM systems in strategic
industrial sectors.

B. _Communications technologies_

In parallel to the continued development of an integrated broadband network, the objective consists of
developing intelligent, reliable and secure networks as well as new value-added and profitable services
adapted to developing user needs.

Priority has also to be given to the growing demand for mobile telephony services and the integration of
these services into networks. The requirements to be taken into account concern those of private life
and leisure as well as professional life. To meet these needs and ensure a flexible transition between
successive generations of networks, the following actions are foreseen:

— development of intelligent networks, using new techniques of information transfer, optical communications and artificial intelligence;

— mobile communications: specific issues need to be resolved, such as communication security,
saturation of available frequencies, the efficient use of airborne methods of transmission, equipment
miniaturization and the integration of mobile telephony into universal networks;

— image communication: building on numerical image transfer (including HDTV), research efforts are
needed to integrate image into multimedia communications and to ensure the development of allied
protocols and coders-decoders;

— service engineering: work on architectures and software, realized on basic teleservices and on
improved value-added services.

These actions will be accompanied by others, aimed at ensuring the reliability and the security of
communications by means of developing verification and testing technologies. Finally, it will be
necessary to identify the characteristics and common function of certain model services by realizing real
scale experiments in advanced communications.

C. _Development of telematic systems in areas ojgeneral interest_

The realization of the large internal market is setting new requirements in the field of information
exchange. At the level of public administration, faced with problems determined by the abolition of
barriers and the realization of the single market, these requirements comprise topics such as the interior,
justice, customs, and social security. At the level of the individual user, questions of transport, health,
distance learning, environmental protection and access to rural areas predominate.

To meet these requirements, beyond the efforts being undertaken within regional or national contexts,
additional Community effort is needed. This comprises the development of telematics systems combining
information technologies, communications and audio-visual techniques. Industrialists, network users and
suppliers throughout the Community will be encouraged to regroup around projects which meet both
the requirements of economic development and social demand, thereby cementing a community of
interest and spirit.

These projects, the full development of which will take place outside the framework programme, require
preparatory R & D work, including language research and engineering, of a collaborative nature and
including pilot experiments which will act as a catalyst and form the building blocks for future action.

2. Industrial and materials technologies

The objective is to contribute to the necessary rejuvenation of European manufacturing industry by
developing its science base and the advanced technologies required. Technological developments will be
integrated with considerations of emerging market requirements and of more severe environmental
constraints. Priority will be given to major integrated projects; among these, the development of the
'clean car'.

23. 9. 89 Official Journal of the European Communities No C 243/9

This strategic step leads to a shift in priorities in the areas described below accompanied by the phasing
out of areas such as membranes and catalysis.

— Materials

Emphasis will be placed on materials with specific properties, exploiting recent breakthroughs in the
understanding of microscopic structure;

— on materials for use in extreme or unusual conditions, as well as on environmental and whole life
cycle aspects of materials, including recovery and recycling.

— Design

Reducing 'design to product' lead time requires advances in the scientific and technical basis of
design, including materials selection, systems analysis, design rules for manufacture, assembly,
reliability and maintenance. Emphasis is placed on design-relevant enabling technologies, such as
fluid dynamics, power systems and acoustics; process control, particularly aimed at 'zero-defects'
products.

— Manufacturing

Improvement of the management of manufacturing operations: manufacturing practices must aim at
greater efficiency, shorter implementation times, reduced 'work in progress' and unit costs, higher
quality levels. Research includes mathematical modelling, adaptation of computer-aided design and
manufacturing techniques, especially for small and medium-sized enterprises.

— Measurement and testing

A new emphasis on the formulation and implementation of common norms, standards and codes of
practice is stimulated by the completion of the internal market. This leads to new requirements for
scientific and technological know-how to provide an objective base for normative work.

II. MANAGEMENT OF NATURAL RESOURCES

3. Environment

The purpose is to provide the scientific knowledge and technical know-how needed by the Community
to carry out its new role relating to the environment, according to Title VII of the EEC Treaty. In this
sector, the research activities have a common horizontal dimension of prenormative research, aimed at
the preparation of environmental quality norms, safety and technical norms, methodologies for environmental impact assessment. The new actions are concerned with the following four areas.

— Participation in the Global Change Programme

The objective of the programme is to understand the processes governing environmental change and
to assess the impact of human activities. European participation will contribute to the development
of research on the interaction between biogeochemical cycles, atmospheric chemistry, physical and
chemical oceanography, climatic processes.

— Technologies and engineering for the environment

In addition to research on environmental monitoring, including remote sensing, a specific action will
be directed at introducing techniques and engineering systems to protect and rehabilitate the

environment.

— Large integrated research projects

These projects address the whole range of problems arising from major environmental issues. They
may concern large coordinated campaigns, from observation and experimentation focusing on the
continental or marine environment to integrated operations attacking all aspects of a regional issue.

— Research on economic and social aspects

This includes the scientific research to support the study of the legal and ethical aspects of environmental policy and management. This deals with risk assessment, perception and management; the
economic evaluation of environmental impacts; the socio-economic impact of the implementation of
environmental policies; and the effectiveness and consistency of laws and regulations related to
environmental matters.

No C 243/10 Official Journal of the European Communities 23. 9. 89

4. Life Sciences and technologies

The long-term strategic objective is to contribute, in a selective and integrated way, to the development
of Europe's potential for understanding and using the properties and structures of living matter.

— Basis biotechnology

Emphasis is shifted towards strengthening the science base, through research centred on understanding biological information, transformation and control systems, whilst keeping in mind the
ethical implications of such work. In particular, the research actions will include genome analysis,
related to genomes of representative species; neurobiology and immunology; macromolecular
modelling; nutrition; testing, also in order to provide the scientific prenormative basis for
Community regulations.

— Agricultural and agro-industrial research

Research in the agricultural and forestry sectors will include projects on crop and animal
production, taking into account the present objectives of the common agricultural policy and of
rural development; it will contribute to major interdisciplinary programmes, such as a programme
aimed at finding effective remedies for desertification. Research will be developed in the field of
aquaculture and fisheries. Research, development and demonstration actions will be taken beyond
current activities, exploiting results from plant molecular biology and physiology research, through
soil-plant interaction, to harvesting and processing. Emphasis is placed on increasing resistance of
plants to adverse agents by genetic means. In the field of industrial utilization of agricultural raw
materials, the strategic priority is to obtain, through chemical and biological processing, new
biodegradable products and to provide clean energy sources by exploiting biomass.

— Biomedical and health research

The main focus is on new ways of tackling socially and economically relevant diseases, through
concerted methodological and protocol studies in epidemiological, experimental and clinical
research. For cancer, attention is shifted towards early tracing of carcinogenic factors and the development of new tests for anti-carcinogenic drugs. For AIDS, a new activity aimed at the development
of control systems, including chemotherapy and vaccines will be developed.

— Life sciences and technologies for developing countries

Emphasis is placed on tropical agriculture (integrated management of agricultural resources for
reducing food shortages in regions at risk whilst protecting the environment) and on tropical health
research (efforts are concentrated on new steps to combat some major tropical diseases).

5. Energy

Environmental compatibility has become a key element for energy systems. Therefore the central
issue of Community action in this field is shifted towards the development of clean and safe energy
technologies. This is pursued in the following three areas:

— Fossil, renewable energy sources, energy utilization

A diversity of technological options is required, taking into account energy-related environmental
problems such as the greenhouse effect and acid rain. The research includes the use of hydrogen and
other suitable substitutes for liquid fuels in the transport sector. In-depth analysis is carried out on
the concept of 'zero emission power', which is focused on electricity generation having a minimal
environmental impact. Certain lines of research inconsistent with this approach are discontinued,
such as research on coal liquefaction. Following recent breakthroughs in the understanding
of combustion processes, and of new electrolytes and catalysts, new energy production and saving
technologies will be developed.

— Nuclear fission safety

Community action will put further emphasis on the harmonization of safety approaches and thus
reinforce the prenormative dimension of its research. A new impulse will be given to research on
reactor safety, radioactive waste management, fuel elements, actinides and control of fissile
materials. Radiation protection research will include radiation from natural and medical sources,
a better definition of the risks of low radiation doses, new technologies to assess quickly the
radiological consequences of nuclear accidents.

23. 9. 89 Official Journal of the European Communities N o C 243/11

— Controlled nuclear fusion

The Jet Joint Undertaking is prolonged up to 1996, in order to achieve control of plasma in
conditions close to those of the Next Step (Engineering fusion test reactor). Work for the detailed
design of the Next Step as well as for new systems will be pursued. Some existing fusion devices will
be phased out having completed their experimental programmes. The present keep in touch activity
in inertial confinement is developed, through fundamental research on the interaction of plasma with
laser light and possibly with accelerated heavy particles. Muonic and other cold fusions will be
explored.

III. MANAGEMENT OF INTELLECTUAL RESOURCES

6. Human capital and mobility

The purpose is to provide the European research system with the trained human resources on which it is
critically dependent and which are likely to become increasingly scarce in the years to come.

A new initiative characterized by the highest efficiency and Community added value is required. These
two requisites are inherent in a major project of mobility of young researchers, at post-graduate level, in
the area of the exact and natural sciences, technologies and economic science. Training at the interface
between basic sciences and technological applications will be pursued.

The Community will finance the cost of training, generally for a period of two years, in centres of
excellence of a country different from the country of origin. This is a Community investment in human
capital, which will have pervasive effects over the whole research and technological development system
and on cohesion and the redressing of intracommunity imbalances. This investment can, where
necessary, be complemented by support measures in favour of networks of research training centres.

An important role in the implementation of the programme will be played by the scientific community
itself, through its own institutions, particularly for the identification of networks of centres of excellence
and the selection of candidates.