CELEX: 51992PC0309
Language: en
Date: 1992-07-15
Title: PROPOSAL FOR A COUNCIL DECISION CONCERNING SUPPLEMENTARY FINANCING OF THE THIRD FRAMEWORK PROGRAMME OF COMMUNITY ACTIVITIES IN THE FIELD OF RESEARCH AND TECHNOLOGICAL DEVELOPMENT (1990 TO 1994)

COMMISSION OF THE EUROPEAN                          COMMUNITIES
                                                            COM(92) 309  fina t
BE       j, -*^                                             Brussels, 15  July  1992
                  PROPOSAL FOR A COUNCIL DECISION CONCERNING SUPPLEMENTARY
                 FINANCING OF THE THIRD FRAMEWORK PROGRAMME OF COMMUNITY
                     ACTIVITIES IN THE FIELD OF RESEARCH AND TECHNOLOGICAL
                                     DEVELOPMENT (1990 TO 1994)
                                      (presented by the Commission)
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 ---pagebreak---                               EXPLANATORY MEMORANDUM
   Introduction
   1.    The next two years 1993 and 1994 are critical for Community research and
         technological development. They are the last two years of the Third Framework
         Programme for Community activities in the field of research and technological
         development (1990 to 1994); but 1994 will at the same time be the first year of the
         Fourth Framework Programme. There is a problem of keeping both in phase as the
         procedures for deciding the fourth are notably more ponderous. There are also
         important financial aspects. The current financial perspectives expire at the end of
         this year. The new perspectives have still to be settled. It is in the interest of the
         Community to avoid any deceleration and delay in its research and technological
         development activity.
   2.    The Third Framework Programme introduced the principle of "rolling" framework
         programmes which have resulted in some major benefits.          With respect to the
         Second Framework Programme, continuity has been ensured, financial planning
         could be stabilised, priorities have been reoriented in the light of current research
         experience and of evolving needs. In this approach, the financing under the Third
         Framework Programme was designed to decrease in 1993-1994 in order to be taken
         up by the Fourth Framework Programme.
         At the time of the adoption of the Third Framework Programme, it was agreed that
          "as regards the implementation of the Framework programme in 1993 and 1994
          provision should be made for the amount deemed necessary and the continuity of
          research activities should be ensured" (antepenultimate preambular paragraph of
          Council Decision 90/221/Euratom EEC of 23 April 1990). This scenario according
         to which a Fourth Framework Programme (1993-1997) would have overlapped
         smoothly with the Third Framework Programme can at best now only be realised to
         a very limited extent. Taking into account the financial provisions of the Third
         Framework Programme for the period 1993-1994 and the timescales within which
         a Fourth Framework Programme can realistically be expected to be implemented,
         a considerable drop in annual research and technological development expenditure
         can be identified which would have negative consequences.
                                               -1
2)
 ---pagebreak--- 3.   The Commission has examined and assessed progress in carrying out the Third
     Framework Programme and made an evaluation of all the specific programmes
     implemented under the Second Framework Programme (SEC (92)675 of 22 April
     1992). It has presented its position in the communication of 9 April 1992 entitled
     "Research after Maastricht : an assessment, a strategy" (SEC(92)682). In part C of
     Chapter IV ("Linking decisions for 1993-1994") the Commission has suggested a
     solution based on a supplementary financing of the Third Framework Programme.
     The Commission has added that "to be practically applicable, an operation of this
     type must not imply modifications of the specific programmes, but must be limited
     to an increase of the total financial allocation, accompanied by a redistribution of the
     complementary resources between the specific programmes".             The Council of
     Research Ministers, having discussed this matter, in its conclusions at its meeting on
     29 April 1992 "invited the Commission to present to the Council as soon as possible
     its proposals concerning the Fourth Framework Programme and, if necessary in
     order to avoid a gap of financial resources, the Third Framework Programme, taking
     into account the evaluation of the Second Framework Programme, the need to
     ensure continuity of research activities and in the light of the discussions in the
     Council". The European Parliament has on many occasions stressed the need for
     adequate financing of Community research and technological development activities.
     The amounts the Commission has determined for the supplementary financing
     required are well covered by the financial perspectives 1993-1997 which are currently
     under discussion. As was the case for the years 1993 and 1994 when the Third
     Framework Programme was adopted, a decision can be taken for supplementary
     financing for these same two years in advance of a final agreement on the financial
     perspectives.
The Current situation
4.   The commitment credits for the Third Framework Programme are as follows:
              1991              1992              1993           1994            TOTAL
        MECU  296.402        2 203.173         1 952.200      1 247.800        5 699.575
                                                -2-
 ---pagebreak--- The profile of R&D commitment credits for research and technological
development for 1993 and 1994, under optimistic assumptions regarding the
adoption and start of implementation of the Fourth Framework Programme in
1994, is shown in the diagram below.
                        1990 1991 1992 1993 1994
                              m pcz           oi pc3     E2 PC4
                                              ESS APAS *
                                 * See paragraph 11
The diagram shows a clear discontinuity, with a trough in 1993 and, most markedly,
in 1994 which is likely to cause disruption in the Community's research and
technological development effort. Action is needed to restore a natural budgetary
rhythm which is essential for two reasons : to ensure continuity, and to ensure a
natural evolution within the existing programmes. The Commission has presented,
in an Annex to its communication of 9 April 1992 mentioned above, the facts
concerning the implementation of the Third Framework Programme and, in
particular, has described the situation of each specific programme.
A decline in Community research and technological development expenditure
would have, as its inevitable result, the disbanding of cooperating teams and the
loss of the added value that is generated by building on earlier research in a timely
manner.     In addition, a sudden change in this established level of Community
research activity, even if it would be only in 1993 - 1994 and be followed by a new
start in 1995, would impose a burden on national budgets for research and
technological development, both public and private.
 ---pagebreak--- A financial complement, not a revision
7.    For the supplementary financing of the Third Framework Programme, recourse
      must be had to a procedure never used until now. In the old, as well as the new
      version, the Treaty foresees "the Framework Programme may be adapted or
      supplemented as the situation changes" (paragraph 2 of Article 130 i). To be
      practical, such an operation must be realised in the framework of close
      interinstitutional concertation.    In this context, the possibility to increase the
      resources of different specific programmes in a modular, rather than a linear,
      manner could also be discussed. The state of implementation, the assessments
      made, and consideration of points raised by other Community institutions lead to
      some readjustment, expressed simply by the breakdown of the amounts deemed
      necessary between the activities, while respecting fully the objectives, technical
      content and procedures decided under the Third Framework Programme.
8.    Supplementary funding required for the completion of the Third Framework
      Programme must be guided by strict compliance with the principle of subsidiarity
      and by clear selection criteria. Increased funding may be justified only in this
      context. The guiding principles set out by the Commission in its communication
      entitled "Research after Maastricht : an assessment, a strategy" (SEC (92) 682) are
      of paramount importance. In particular, the need arises to concentrate resources
      on generic technologies of wide applicability to many users across the Community,
      upon which, in fact, the competitiveness of the whole European system depends.
      In this light important opportunities may arise from increased co-operation with
      Eureka, while naturally preserving the specific nature of each scheme. As was the
      case for the Third Framework Programme, the proposal for supplementary
      financing will also contribute to the strengthening of economic and social cohesion
      in the Community.
9.    A careful screening of the situation for each of the six actions decided under the
      Third Framework Programme is, however, indispensable to determine the
      requirements objectively. Some areas will require bridging finance until the Fourth
      Framework Programme starts to be implemented. Other areas will only require
      support until they reach their foreseen conclusion. All actions must fall strictly
 ---pagebreak---     within the scope of the Decision on the Third Framework Programme.
10. It must be recalled that the Commission, at the time of the adoption of the Third
    Framework Programme, stated that a further sum of 2 billion ECUs would be
    necessary and that this amount should be added to the amount of 5.7 billion ECUs
    adopted by the Council. In particular, this supplementary financing would meet the
    further needs of the years 1993 and 1994.
11. A realistic assessment of the situation now leads the Commission to the view that
    this sum of 2 billion ECUs should include an important part of the "promotion,
    support and monitoring activities" ("actions de promotion, d'accompagnement et
    de suivi" - APAS) to be implemented in 1994. This inclusion would be in
    accordance with the provisions of the Treaty on European Union concerning the
    inclusion of all RTD activities in the Framework Programme and it is therefore the
    Commission's intention to integrate the APAS in the Fourth Framework
    Programme as from the start of its implementation.
12. Through this solution a further net sum of 1.6 billion ECUs should be added to the
    Third Framework Programme activities. Of this amount, 0.4 billion ECUs are in
    the provisional draft budget for 1993 and 1.2 billion ECUs will be in the budget for
    1994.
               Co
                     0
                       1990 1991    1992 1993        1994
                     WE PC2             E3 PC3             H i PC3 COMP
                     va PC4                                ES    APAS*
                                     * See paragraph 11
 ---pagebreak--- The situation for each of the actions
Information and communications technologies
13.    The budget profile in terms of commitment credits for the specific programme
       information technology shows a decline already in 1993 and a sharp drop of credits
       in 1994. The first call for proposals was closed on 14 October 1991. 45 % of the
       proposals received were judged of high quality by external evaluators but it was
       only possible to retain about half of these (318). The corresponding contracts will
       be launched in 1992. These will amount to a budgetary commitment of 40% of the
       total available resources.
       In order to avoid a financial gap and to ensure continuity as well as needed
       evolution, a financial complement is required in 1993 and 1994. Moreover, the
       financial complement will be necessary to increase emphasis on certain topics, such
       as software, semiconductors and high performance computing. In this context, as
       recommended by recent programme evaluations, the work will be focused on a
       smaller number of demand side needs and will at the same time contribute to
       related technology transfer and training throughout the Community.
       The demand for research within this sector has been increasing both in quantity
       and quality. The electronics and information technology industries are continuously
       increasing their share of the industrialized countries' GDP. This share is predicted
       to grow from 6% in 1991 to about 8% by the year 2000. The pressure of research
       demand within the Community has been evident not only in the level of
       participation during the various calls for proposals, but also in the number of
       '"bottom-up" proposals presented by industrial groupings which normally address
       generic technologies with long-term impact on international competitivity.
       In the Third Framework Programme the Community already committed its support
       to a major effort in microelectronics. New technology generations are now forecast
       every two and a half years. The Community cannot, at this moment of time, afford
 ---pagebreak---     to reduce its efforts. On the contrary, efforts need to be intensified and
    concentrated on application-specific integrated circuits based on CMOS-technology.
    The central theme of information processing systems is the launch of a first phase
    including parallel architectures and software of the high performance computing
    and networking initiative. A continuing and timely support for the development and
    application of this technology is particularly urgent in view of the major US
    initiative, that is one of the key elements of a new national policy for fostering
    industrial and economic growth and will involve a major financial and
    organisational support from US public agencies ($ 803 million in 1993), as well as
    a strong participation of both IT and telecommunication enterprises. In software
    a major effort is required in developing software platforms for heterogeneous
    systems and disseminating software methods and tools and providing training in
    their use.
    The work on multimedia technology will require reinforcement. In peripherals, the
    work will concentrate on liquid crystal displays. For this technology the
    prerequisites set out in the Third Framework Programme, have been fulfilled,
    namely the industrial commitment to both concentration of R & D efforts and
    manufacturing.
14. The first call for proposals for the specific programme on communication
    technologies was closed on 14 September 1991. Among the proposals received,
    50 % were judged of high quality by the evaluators. Only 95 of these could be
    retained for funding, amounting to a budgetary commitment of 63% of the total
    available resources.
    The consolidation of the fragmented telecommunications system of the Community
    is needed, both to ensure that the single market operates effectively and in the
    context of the internationalisation of economic activities. Common functional
    specification and key technologies, particularly in optical communications, are being
    developed in EC R & D, in close collaboration between industry, operators,
                                          - 7-
 ---pagebreak---     services providers and users.
    In the current situation, there is the danger of premature termination of successful
    R & D efforts in these areas. For this reason, it is considered appropriate to
    propose a limited supplementary funding which should ensure the continuity of on-
    going activities.
15. The programme telematics systems of general interest has succeeded in attracting
    the participation of leading-edge users in the development of advanced telematics
    services    responding     to  socio-economic    priorities, specifically in  Public
    Administration, Health Care (including people with special needs), Transport,
    Education & Training, Rural Areas, Libraries and Linguistics. A call for proposals
    in the first five areas was issued 10 days after adoption of the programme by the
    Council in June 1991. 50 % of the proposals received were considered of high
    quality by the external evaluators, of which only half (144) have been able to be
    retained. Another 150 proposals were considered of high quality by the external
    evaluators but could not be retained for funding.            Overall, the budgetary
    commitment of these projects amounts to 73% of the total available resources.
    The results of the work so far and the independent evaluations make a clear case
    for a reinforcement of work in most of these areas. Due to the innovative character
    of the involvement of users in technological R & D , the initial funding        was
    conservative and clearly insufficient to draw the full benefit from this programme.
    Budgetary constraints have limited the original scope of most pilot application
    projects to feasibility studies, and they address a more limited number of technical
    objectives than originally intended.
    The Telematics Programme is at the cross-roads of technology development, the
    realisation of the four freedoms of movement in the single market, and the
    economic and social integration of Europe. Their integrated and sharply focused
    character, combined with a representative participation of the respective sector
    actors, has been recognised in the evaluation as appropriate also for the future
                                             8-
 ---pagebreak---        Community R &. D in this domain.
       Priority for supplementary funding will be given as follows: R & D on telematics
       svstems for administrations, based on ISDN and the adaptation of Intelligence n
       Networks to provide a common service infrastructure for distributed administra- ve
       activities; R & D on telematics systems for air traffic control, as well as other
       traffic control systems in the field of transport.
Industrial and materials     technologies
 16.   Two calls for proposals under the industrial and materials technologies p r o g r a m m e
       are scheduled. T h e first one closed in April 1992. T h e second call is envisaged in
       October 1992 with a closing date in February 1993. T h e proportion of excellent
        proposals has been maintained (1 out of 2 submitted) but at the same time the;r
                                                                                           1l,<!
        rate of acceptance has fallen from 2 5 % in 1989 to 14% in 1992 under the                2
       budget. Proposals selected for funding under the 1992 budget n u m b e r 150 for a
        Community contribution of 240 M E C U s .     However, ensuring that all the very
        highest rated proposals from this first call can be covered will also require some
        7 5 % (130 M E C U s ) of the proposed 1993 budget.       With final calls under the
        programme planned for early 1993. the danger is already a p p a r e n t that the tunds
        of 210 M E C U s then available for research contracts in 1993 and 1994. exclu»ling
        action through the Joint Research Centre ( J R C ) , will be insufficient to meet • he-
        demand from high quality proposals and the success rate will fall further.         Most
        seriously, the momentum of progress will be interrupted as the gap between - nils.
        may double to 3 years or even more. This would be detrimental to the future of
        common industrial research activities as their development can only be maintained
        if there is continuous and significant cooperation between Community industries.
        T h e proposals submitted for funding under this p r o g r a m m e concern a broad
        spectrum of technologies essential for Community industries. T h e priori!v ;\rr:\y
        are selected on the basis of the competitive advantage that research can hr.n ;
                                             . o .
 ---pagebreak--- ( oi-irnuniîy industries and in relation to the completion of the Internal Market.
In this approach, it is necessarv to support in particular projects which develop
technologies encouraging, on the one hand, the improvement of manufacturing
techniques and. on the other, product improvement (or even substitution"), in
particular encineered composites, takinc into account notably the environmental
imperative.      That is how research concerning advanced materials and their
application, toeether with technologies derived from electronics, can confer a major
advantage on the infrastructure-related industries (such as transporta and on the
consumer goods sector. Moreover, protects in prioritv areas, such as in support of
the development of clean and safe means of transport, should increasingly provide
a focus to bring these technologies together. This would include weight reduction
and recycling, improved vehicle design and manufacturing.                  Critical process
technologies such as laser processing, sensors and micromanufacturing must
increasingly be covered. T h e aim must be to foster an a p p r o a c h to manufacturing
which emphasises human and environmental aspects, efficiencv in the use of
materials, labour and energy, and speeds time to market. Therefore the stress is
on activities in the field of generic technologies of wide application across industrial
sectors, in particular those confronted bv strong international competition.
The call for proposals under measurement and testing will take place shortlv.
About 32 M E C l Js is available for prenormative research under the p r o g r a m m e in
 ! ° ( n and 1oc)4, excluding work through the J R C . T h e p r o g r a m m e provides kev
support in preparing and implementing Directives under the Single Market, and
in the development of the appropriate standardized testing methods. Prenormative
research is a priority for the Community. It is an integral part of specific
programmes such as, for example, those in the fields of information                     and
communication technologies, of industrial technologies or the environment. Rut. in
the light of the fact that implementation of the p r o g r a m m e is just starting, no
supplementary funding is required.
                                          !0
 ---pagebreak--- Environment
18.    In tiic field of euviiOILLUCIIU-I rcôoaxcn, calls tor proposals c o m m e n c e d in July i W !
       anu were m a d e most rcccmly in Mav this year. H i e second call closes at the c::d
       of 1992. T h e rave ai which iop-raicd proposals can be met is unsatisfactory: in the
       a r e a of climate change, a i u u n d 7 0 % of proposais have b e e n t o p rated (good i -
       excellent) , but in the specific area oi natural climate change, only 12% or these
       could be selected (though the proportions were higher in the specific areas u:
       anthropogenic change a n a ine impacts ot climate change). T h e rate of acceptance
       of good proposals with respect to technologies for environmental protection
       fell to 3 7 % . In the area or global environment change, project lengtn lias had to
       be reduced by a third on average and funds reduced by a further une                       fifth.
       Looking to the future, the funds available tor research projects in 1993 and 1994
       of 113.4 M E C U s , excluding work by the Joint Research C e n t r e , will prove wholly
       inadequate. T h e growing requirement for research on complex, transnational
       environmental issues is reilectcd in the Community's p r o g r a m m e of policy and
       action in relation to the environment and sustainable development (COM(92)23).
       T h e urgency of the questions or giobal climate change following the E a r t h Summit
       in Rio de Janeiro, or the environmental impact of the C o m m o n Agriculture Policy
       ( C A P ) and of the environmental challenges in the countries of Central and Eastern
       E u r o p e , together with the need to enhance          E u r o p e ' s competitive   position
       especially in comparison with the massive efforts in the United States, r e q u i i o
       Community researcn to be strengthened.             This would include cooperation with
       industry, in line with the conclusions of the joint Energy and Environment meeting
       of the Council or Ministers on 13 D e c e m b e r 1991. Community research actions,
       including for example in trie agriculture and energy fields, already make an
       important contribution to meeting these goals. C o m m e n t i n g on the Commission's
       evaluation report, M e m b e r States' representatives have endorsed the high scientific
       quality or the Community's environmental research and us success in achieving ::.>
       objectives.
                                                   1!
 ---pagebreak---        Specific issues to be addressed include global climate change w.;;i ail :;.eir
       environmental, societal and economic implications. A strong focus i;.uu,u oe on
       the study, management and protection of natural resources, such as lore^is, sows
       and water; the impacts of climate change and changes in atmospheric crie;ix.:.:ry;
       biodiversity; tne problems created by changing demographic patterns, „«c;; as
       urbanization a n a migration, especially with respect to susiainabie ceve.^p;;^r»t;
       regional problems or increasing gravity, such as desertification; and tr;e impv.c:s of
       natural hazards.          A particular emphasis would need to be placed on                ir.e
       development or aav^nced equipment and methodologies, such as eartn observ^^on
       from space, ground support and tools for verification and for use in enviro;.racauil
       forecasting and monitoring systems, especially at the regional scale where i:^p~cis
       on agricultural a n a water resources are important.
19.    Under the marine science and technology p r o g r a m m e , calls for proposais were
       m a d e in June and October 1991. However, only 37 % of the good and excédent
       proposals could be funded.           T h e resources which remain available for research
       projects in 1993 and 1994 amounting to just u n d e r 57.5 M E C U s , should m a k e it
       possible to sustain        Community participation in and synergies with international
       programmes and to continue the studies that have been u n d e r t a k e n .
Life sciences and     technologies
2U.    T h e specific p r o g r a m m e concerning biotechnology was a d o p t e d in Ivlarcn 1992.
       T h e deadline for the first call for proposals launched in May 1992 has ocen set for
       23 July 1992. T h e available funds for commitment in 1993 and 1994 are 110.51
       M E C U s . This a m o u n t is not sufficient to ensure continuity in certain key activities,
       namely in the areas of detection of Genetically Modified Organisms ( G M O s ) in
       soil, of molecular biology of the control of plant pathogens, of protein engineering
       and of bioinformatics.         For protein engineering and bioinformatics activities, tne
       continuity of the work is at risk and the Community may irretrievably lose ground
       with respect to its competitors in the field of larger sequence and structure
       databases ( D N A , proteins, carbohydrates) at a time when there is, through
                                                    12
 ---pagebreak---     Community support, an international ca.:....i:rnent (in particular within                            the
    framework of the E C - U S Task Force on 3iw.c^....oiogy R e s e a r c n ) . Moreover, the
    iaitiaiion of activities in tne area of iccr.r.cl^ j;i~-l priority of molecular b.oiogy of
    c r o p ' p l a n t s would be incomplete witnoai a a expansion to a r e a s not yet inciuaed
    because of a lack of funding. They incluae p e s ; ~nd disease resistance, adaptation
    ;o stress, screening technology for breecir..: „..z microDial inoculants.
    A recent             assessment by tne p r o g r a m m e committee          endorsed       the  positive
    conclusions on the Community's biotechnology researcn which the Commission had
    reached in its evaluation ( S E C (92) 675), ar.ar.imousiy pointing out its hign quality,
    while commenting on the low success rate for applicants. T h e                               Committee
    emphasised the need to adaress the scientific interface with c o m m o n questions
    sach as regulation, patenting and public perception which set tne context for
    academic and industrial research on biotechnology and S M E ' s participation. T h e
    bias shouid be, above all, to enhance industrial competitiveness.                             Moreover,
    although E u r o p e a n activities on standards setting in biotechnology started only very
    recently, prenormative research, for example with respect to the detection of
    G M O s , should respond more to the neeos of regulation.
21. T h e first call for proposals for the specific p r o g r a m m e on agricultural a n d agro-
    indusurial research was closed at the end of January 1992. R e s e a r c h on food and
    agriculture has been heaviiy over-subscribed.                As c o m p a r e d with the previous
    p r o g r a m m e , E C L A I R , unoer the Second F r a m e w o r k P r o g r a m m e , the proportion
    of top-rated proposals has gone up from 35 % to 4 4 % but it has been possible to
    fund fewer of them (a decline from 54 % to 30 % ) . A second call is foreseen for
    July 1992 with a deadline fixed for the end of O c t o b e r this year. Of the 329.67
    M E C U for the programme, 130.3 M E C U will be committed for the first call, with
    a further 6 M E C U for training, grants, etc. Following the second call, tne
    remaining funds of about 193 M E C U should be committed following the evaluation
    and selection expected in February 1993. Given the fact that a large n u m o e r of
    very good proposals had to be rejected following tne first call and that strong
    interest has been expressed for areas insufficiently taken into account in the field
                                                   13 -
 ---pagebreak---     of non-food, socioeconomic research and activities addressing environmental
    constraints and opportunities, supplementary financing is urgently required for 1993
    and 1994. T h e CAP reform as well as the C o m m o n Fishery Policy need to be
    strongly supported by research and tecnnological development activities aiming ai
    opening industrial markets for agricultural a n d            fishery  products,    improving
    etficicncy and quality of production, managing change in rural areas and using
    agricultural land, fisheries and aquaculture resources in a way compatible with the
    environment. As the Commission evaluation ( S E C (92) 675) noted, the agricultural
    and      agro-industrial     sector  is of great   socio-economic     importance     for  the
    Community and the goal of Community research is to provide the science and
    technology necessary for the maintenance and creation or competitive bio-based
    food and non-food industries. Moreover, tnere are benefits notably for S M E s and
    for regional development.
22. T h e specific programme on biomedical a n d health rescaxen launched a first call for
    proposals in October 1991; the deadline was set for end oi January 1992.                 The
    selection process is to be finalised soon and a second call has been notified in
    advance from October 1992 - January 1993. T h e available funds for 1993 and 1994
    (84.17 M E C U s ) should enable the Community to be able to respond to the very
    high level of interest, especially in the areas of cancer and A I D S research protocols
    and the support of multicentre clinical activities. F u r t h e r m o r e , the Community is
    contributing fully to the major international scientific challenge of analyzing the
    H u m a n G e n o m e . It is estimated that the current financial resources are sufficient.
23. Concerning the specific p r o g r a m m e "Science a n d tcchno*ogy for development", the
    p r o g r a m m e committee has recently endorsed the conclusion of an               external
    evaluation as to its cost-effectiveness and the significant benefit of Community
    cooperation in addressing scientific problems raced by developing countries. A first
    call for proposals was closed at the end of 1991 and two more calls are foreseen
    in 1992 and 1993. Just under 15 % of the funds were committed in 1991 with a
    further 40 % in 1992. Available tunas for 1993 and 1994 a m o u n t to 46.7 M E C U s
                                              - 14 -
 ---pagebreak---        which need to cover the substantial increase in the proposals oricinating directly
       from scientists in developing countries. This would put pressure on the p r o g r a m m e
       which will have to concentrate further its activities in the expectation of the
       implementation of the Fourth Framework P r o g r a m m e . However, in the light of
       other possibilities for action in the field of scientific cooperation with developing
       countries irs the context of A P A S (roughly 45 M E C U s per y e a r \ it is estimated
       that contimiitv of Community action can be ensured.
Ene-zy
 \A.   T h e specific p r o g r a m m e Non-nuclear Energies was a d o p t e d on 9 S e p t e m b e r 1991
       with an amount d e e m e d necessary of E C U 155.43 million. A call for proposals was
       launched in S e p t e m b e r 1 ° ° 1 . Contracts representing ° 0 % of the p r o g r a m m e
       budget will be placed by the end of 1992. In the sector of renewable energies, it
       has only been possible to fund 30 % of the best proposals. As there has b e e n no
       improvement in this situation, potential applicants are being discouraged. A
       n u m b e r of points in the work p r o c r a m m e in the field of renewable energy sources
       were not fully covered in the call for proposals, since oricinally a second call for
       proposals was envisaced. However, the funding for this specific p r o g r a m m e being
       now depleted, no further call for proposals can be m a d e . For 1993-1994. only E C U
       18.1 million is still available.
       T h e Council of Ministers concluded in relation to the "Community strategy to limit
       carbon dioxide emissions and to improve energy efficiency" that specific measures
       at Community level will include strenethening of R & D effort. T h e E u r o p e a n
       Parliament has also repeatedly called for an increase of the research                           and
       technolocical development effort. T h e p r o g r a m m e committee has in its reaction
       to the Commission's evaluation of the Second F r a m e w o r k P r o c r a m m e generally
       indicated its support for an increase in funding.
                                                  - 15 -
 ---pagebreak---     Additional funding is recv-red to ensure continuity, to cover the fields whic1^ a-c
    currently inadequately cove.-cd. pro for the overall strengthening of the p ' o c r a m m . "
    as called for by Counc"' a r c Parliament. Within such action the Commission w"*
    concentrate new financia' resources on reinforcing R T D directed towards the
    stimulation of the deve'orrme^t and the integration into networks of renewable
    energies, through focusme; its support on energy sources which a r e economically
    promising, such as for i r r t a r c e solar thermochemical conversion installations.
25. T h e specific programme Nvc^e-px Fission Safety was a d o p t e d on 28 N o v e m b e r 1991
    with an amount deemed recessary of E C U 35.64 million. A call for proposals was
    launched in D e c e m b e r 1991.     Dosimetry, biological effects and risk evaluation in
    the field of radiation protection could not be covered sufficiently. In general, it is
    only possible to fund between one third and o n e half of the best proposals for cost-
    shared actions which arc received. C o m m i t m e n t of 90 % of the credits for the
    radiation protection p r ocr?.mme is foreseen shortly and for 100 % of the credits
    for reactor safety before long. F o r 1993-1994, E C U 10.9 million is still available,
    excluding J R C .
    Supplementary financing is necessary to launch cost-shared actions on reactor
    safety, in particular on «pvere accidents, in o r d e r to respond to Community needs
    and in the light of the important commitments m a d e with respect to Central and
    Eastern E u r o p e a n countries. Additional funding is also necessary to ensure
    continuity of work on radiation protection and radioactive waste, for work on
    decommissioning of nuclear installations, which has arrived at a demonstration
    phase, and to carry out tests under realistic conditions of                     telemanipulation
    machines.
26. The evaluation        of the T h e r m o n u c l e a r Fusion activities     under  the  Second
    Framework Programme concluded that the objectives have been                          successfully
    reached and that the Community is in good position to plav an outstanding role in
    the auadripartite I T E R collaboration which is about to start. Concerning the
    specific programme ( 1 o o r M ° 9 4 ) a d o p t e d in D e c e m b e r 1°91. current budgetary
    provisions (which allow for commitments of 300.6 M E C U for 1993 a n d 1994),
    without a complement, are far short of what would be required to implement the
    programme of work implied bv the Technical Annex to the Fusion P r o g r a m m e
                                                  16
 ---pagebreak---     Decision. This implies that the Commission would be obliged to tighten
    considerably the austerity measures that have already been introduced particularly
    in the Associations. These measures are detrimental to the cohesion of the close
    network made by all fusion laboratories within the Community, and to the
    continuity required in the long-term effort on fusion.
    In addition to the recommendations of the Fusion Programme Evaluation Board,
    broadly accepted by the Member States, on the continuation of the overall
    expenditure of the programme at the level of about 450 MECU a year in 1990
    values, of which almost half is supported by the Community budget, and on the
    expansion in the role of industry, it has to be noted that the Council and the
    Commission have committed themselves to make the necessary financial provisions
    to continue present practice in the Community financing of Field 4 "Support
    Programme" in 1993 and 1994. Given the above evidence, there is a need for
    supplementary finance to enable Europe to remain in the forefront of the world's
    fusion research as illustrated by the recent achievement of Megawatt fusion power
    in the JET Tritium experiment and to maintain its current leading position with
    respect to its ITER partners in the context of the crucial competition over the
    siting of the ITER device.
Human Capital and Mobility
27. The specific programme concerning Human Capital and Mobility was adopted in
    March 1992. The first call for proposals has been published in June 1992 and the
    deadlines set cover the period from July to the end of 1992 depending on the areas
    concerned. For other areas, there is an open call with two annual selection rounds.
    The response has been very great. It is clear that the programme is expected to
    make an important contribution to Community research objectives.                Its
    contribution to cohesion should especially be noted. The funding available for
    commitments in 1993 and 1994 amounts to 373.39 MECUs (excluding JRC
    actions). No supplementary financing is suggested for the years 1993 - 1994 in the
    light of the fact that the programme is just starting to be implemented, but the
    Commission will assess the needs in the light of experience.
                                           17
 ---pagebreak--- Conclusions
28.  The above analysis of the detailed situation with regard to the Community's
      existing research and technological development activities under the Third
      Framework Programme demonstrates clearly that the needs and opportunities for
      reinforcement are substantial. The overall level of reinforcement must remain
      within the limits set at paragraph 12. Thus choices have to be made. It would be
      possible simply to increase the funding in each area pro rata. However, in the
      Commission's opinion this would not respond adequately to the new challenges and
      changed circumstances. The Commission's judgement of the essential requirements
      are reflected in the proposed allocation of supplementary financing which is shown
      in the following table.
                I. ENABLING TECHNOLOGIES
                   1. Information and communications technologies          625
                      - Information technologies                           430
                      - Communications technologies                         77
                      - Development of telematics systems of general       118
                        interest
                   2. Industrial and materials technologies                281
                      - Industrial and materials technologies              281
                      - Measurement and testing                              0
                II. MANAGEMENT O F NATURAL RESOURCES
                    3. Environment                                         136
                       - Environment                                       136
                       - Marine sciences and technologies                    0
                    4. Life sciences and technologies                      148
                       - Biotechnology                                      55
                       - Agricultural and agro-industrial research          93
                       - Biomedical and health research                      0
                       - Life sciences and technologies for developing       0
                         countries
                    5. Energy                                              410
                       - Non-nuclear energies                              180
                       - Nuclear fission safety                             60
                       - Controlled nuclear fusion                         170
                III. MANAGEMENT O F INTELLECTUAL
                     RESOURCES
                    6. Human capital and mobility                            0
                       - Human capital and mobility                          0
                                                                    TOTAL 1600
                                                              - 18
 ---pagebreak---                               Proposal for a Council Decision
                         adapting Decision 90/221/Euratom, EEC *
             concerning the framework programme of Community activities
           in the field of research and technological development (1990-1994)
THE COUNCIL OF THE EUROPEAN COMMUNITIES,
Having regard to the Treaty establishing the European Economic Community, and in
particular Article 130 Q (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 Commission2,
Having regard to the opinion of the European Parliament 3 ,
Having regard to the opinion of the Economic and Social Committee 4 ,
Whereas Article 1 (3) of Council Decision 90/221/Euratom, EEC of 23 April 1990
concerning the third framewc'-. programme of Community activities in the field of
research and technological development (1990-1994) states that the total amount deemed
necessary shall be "ECU 5 700 million, of which ECU 2 500 million are deemed to be
necessary during 1990, 1991 and 1992 and ECU 3 200 million during 1993 and 1994";
    1
      OJ No L 117, 8.5.1990, p. 28
    2
      OJ No
    3
      OJ No
    4
      OJ No
                                            - 1-
 ---pagebreak--- Whereas, pursuant to Article 5 of Decision 90/221/Euratom, EEC, the Commission has
examined and assessed progress in carrying out the third framework programme and has
also made an evaluation of all the specific programmes implemented under Decision
87/516/Euratom, EEC, the findings of which it has communicated to the Council, together
with its comments;
Whereas in the light of the above assessment, the scientific and technical objectives, their
respective priorities and the main lines of the activities laid down by the third framework
programme for the period 1990 to 1994 maintain their validity;
Whereas supplementary financing of Community research and technological development
activities under the third framework programme is necessary to ensure their continuity
and natural evolution; whereas these actions ensure cooperation and synergy between
research actors as well as the diffusion of the results of their joint efforts throughout the
Community and contribute furthermore to the implementation of the single market, the
improvement of the international competitiveness of European industry and the
reinforcement of economic and social cohesion;
Whereas following the principle of subsidiarity makes it possible to identify themes and
projects which can be better realised at the level of the Community by virtue of their
scale or their effects; whereas therefore priority account will be taken of cases where
subsidiarity is intrinsic to the activities themselves, notably activities linked to large
research actions of an international dimension ("big science"), activities on priority generic
technologies, activities designed to organise the single market, prenormative research
activities, activities benefiting the European scientific community;
Whereas the Commission commits itself to provide the other Community institutions with
all detailed information concerning the use of the supplementary funds;
Whereas a systematic examination of each of the six activities covered by the third
framework programme has enabled the identification and breakdown of supplementary
resources needed to ensure the carrying out of research efforts, without further waiting
for the procedures leading to the adoption of the fourth framework programme to be
concluded;
                                              2-
 ---pagebreak--- Whereas, pursuant to Article 130 i (2) of the EEC Treaty, the framework programme
may be supplemented, as the situation changes;
Whereas the Scientific and Technical Research Committee (Crest) has been consulted;
Whereas the Scientific and Technical Committee referred to in Article 7 of the EAEC
Treaty has been consulted by the Commission and has delivered its opinion;
DECIDES :
                                         Sole Article
The Council Decision 90/221/Euratom, EEC concerning the framework programme for
Community activities in the field of research and technological development (1990-1994)
is amended as follows :
- in article 1 (3) the figure "5 700" is replaced by "7 300" and the figure "3 200" is
  replaced    by "4 800";
- annex I is replaced by the annex to this Decision.
    Done at                                       For the Council
                                                  The President
                                              3-
 ---pagebreak---                                                            ANNEX
                 B R I - J M C D O W N OF THE AMOUNTS DEEMED NECESSARY TO IMPIJLMENT
                                         THE VARIOUS ACTIVITIES ENVISAGliD
                                            (in millions of ecus)
                                                                  1990-92 1993-94        Total
I. ENABLING TECHNOLOGIES
    1. Information and communications technologies                  974        1872            2846
       -. Information technologies                                                  1782
       - Communications technologies                                                566
       - Development of telematics systems of general
          interest                                                                  496
   2. Industrial and materials technologies                         390         779            1169
       - Industrial and materials technologies                                      1029
       - Measurement and testing                                                     140
II. MANAGEMENT OF NATURAL RESOURCES
     3. Environment                                                 227         427             654
         - Environment                                                               550
         - Marine sciences and technologies                                          104
     4. Life sciences and technologies                              325         564             889
         - Biotechnology                                                             219
         - Agricultural and agro-industrial research'                                426
         - Biomedical and health research                                            133
         - Life sciences and technologies for developing
           countries                                                                 111
     5. Energy                                                      357         867            1224
         - Non-nuclear energies                                                      337
         - Nuclear fission safety                                                    259
         - Controlled nuclear fusion                                                 628
III. MANAGEMENT OF INTELLECTUAL
      RESOURCES
     6. Human capital and mobility                                  227         291             518
         - Human capital and mobility                                                518
                                                         TOTAL     2500        4800            73002J
          Including fisheries.
         Including ECU 73 million for the centralized action of dissemination and
         exploitation provided for in Article 4, drawn proportionally from each activity.
          Including ECU 180 million for 1990-92 and ECU 370 million for 1993-94 for the
         Joint Research Centre.
                                                             -4
 ---pagebreak--- FINANCIAL STATEMENT
1.     Pursuant to article 130 i (1) of the Treaty, the proposal for the supplement of the
       framework programme 1990-94 fixes the new amount deemed necessary as well as
       the breakdown of this amount between the various activities envisaged. The
        breakdown of decision 90/22l/Euratom,EEC, the supplement and the totals is as
        follows (amounts expressed in millions of ECUs).
                                          Decision 90/221/
                                          Euratom,EEC         Supplement         Total
   I. ENABLING TECHNOLOGIES
      1. Information and coaaunicat ions               2221              625           2846
          technologies
          -Information technologies        1352             430              1782
          -Communications technologies      489              77                566
          -Development of telematics        380             118                488
           systems of general interest
      2. Industrial and Materials                       888              281            1169
           technologies
          -Industrial and materials         748             281               1029
           technologies
          -Measurement and testing          140               0                140
   II. MANAGEMENT OF NATURAL RESOURCES
      3. Environment                                    518              136             654
          -Environment                      414             136                550
          -Marine sciences and              104               0                104
           technologies
       4. Life sciences and technologies                741              148             889
          -Biotechnology                    164              55                219
          -Agricultural and agro-           333              93                426
           industrial research
          -Biomedical and health research   133               0                133
          -Life sciences and technologies   111               0                111
           for developing countries
       5. Energy                                        814              410            1224
          -Non-nuclear energies             157             180                337
          -Nuclear fission safety           199              60                259
          -Controlled nuclear fusion        458             170                628
   III. MANAGEMENT OF INTELLECTUAL
          RESOURCES
       6. Muaan capital and Mobility                    518                0             518
          -Human capital and mobility       518               0                518
   TOTAL                                               5700       1600             7300
 ---pagebreak---      This amount deemed necessary equals the sum of the amounts allocated for the
     execution of programmes decided upon for the implementation of the framework
     programme.
     The amounts which are to be set out on a yearly basis in the budget will be
     determined by the budgetary authority through the annual budgetary procedures on
     the basis of the allocations for the programmes and the expenditure foreseen as well
     as in compliance with the budgetary discipline.
     An indicative schedule for commitments to be set out in successive budgets under
     the heading of the third framework programme for the years 1993 and 1994 is given
     in the following table.
                           Indicative schedule for item 3 of the "Delors II package"
                                         (amounts in millions of ECUs)
                                                                  1993              1994             TOTAL
RTD (1992 prices)                                                 2 730             3 040
RTD (current prices)                                              2 847             3 266
- Framework Programme 1987-91                                         16                 3
- Framework Programme 1990-94                                     1 952             1 248
- Supplement FP 1990-94                                             400             1 200             1600
- Accompanying Actions (APAS)                                       427               <2'
- 4th Framework Programme                                                              (2)
                                                                                           <2>
Total RTD                                                         2 795 <n          2 451
(1)   Preliminary draft budget 1993
(2)  The figures presented here exclude the estimated amounts for APAS and the 4th Framework Programme because:
     - the amount deemed necessary for the 4th Framework Programme will be determined only after the Commission's
     proposal (currently in preparation)
     - in accordance with the provisions of the Treaty on European Union, the APAS wil! be implemented within the
     4th Framework Programme form the start of its implementation. The date of the adoption, in accordance with the
     co-decision procedure, of the 4th Framework Programme cannot be determined today. In any case, promotion,
     support and monitoring activities will have to be carried out in a continuous manner throughout 1994.
 ---pagebreak--- 3. The annual amounts shall cover scientific, technical and demonstration activities as
   well as personnel costs and administrative, scientific and technical expenses directly
   linked to the execution of the programmes.
4. The financial and budgetary execution of the programmes will take place in
   accordance with the provisions of the Financial Regulation, in particular the Title
   dealing with research and investment appropriations.
 ---pagebreak---                                                                      ISSN 0254-1475
                                                              COM(92) 309 final
                                                      DOCUMENTS
EN                                                                              15
                                 Catalogue number : CB-CO-92-362-EN-C
                                                             ISBN 92-77-46890-4
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