Legal provisions of COM(2011)812 - Research and Training Programme of Euratom (2014-2018) complementing the Horizon 2020 - The Framework Programme for Research and Innovation

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dossier COM(2011)812 - Research and Training Programme of Euratom (2014-2018) complementing the Horizon 2020 - The Framework Programme for Research ...
document COM(2011)812 EN
date December 16, 2013

Contents

TITLE I - ESTABLISHMENT

Article 1 - Establishment

This Regulation establishes the Research and Training Programme of the European Atomic Energy Community for the period from 1 January 2014 to 31 December 2018 (the Euratom Programme), and lays down the rules for participation in that Programme, including the participation in programmes of funding bodies managing the funds granted in accordance with this Regulation and in activities conducted jointly under this Regulation and under the Horizon 2020 Framework Programme for Research and Innovation (the Horizon 2020 Framework Programme) established by Regulation (EU) No 1291/2013 of the European Parliament and of the Council.

Article 2 - Definitions

For the purposes of this Regulation, the following definitions shall apply:

(a)'research and innovation activities' means the whole spectrum of activities of research, technological development, demonstration and innovation, including the promotion of cooperation with third countries and international organisations, dissemination and optimisation of results and stimulation of the training and mobility of researchers in the European Atomic Energy Community (hereinafter the Community);

(b)'direct actions' means research and innovation activities undertaken by the Commission through its Joint Research Centre (the JRC);

(c)'indirect actions' means research and innovation activities to which the Union or the Community (hereinafter the Union) provides financial support and which are undertaken by participants;

(d)'public-private partnership' means a partnership where private sector partners, the Community and, where appropriate, other partners, such as public sector bodies, commit to jointly support the development and implementation of a research and innovation programme or activities;

(e)'public-public partnership' means a partnership where public sector bodies or bodies with a public service mission at local, regional, national or international level commit with the Community to jointly support the development and implementation of a research and innovation programme or activities.

Article 3 - Objectives

1. The general objective of the Euratom Programme is to pursue nuclear research and training activities with an emphasis on continuous improvement of nuclear safety, security and radiation protection, notably to potentially contribute to the long-term decarbonisation of the energy system in a safe, efficient and secure way. The general objective shall be implemented through the activities specified in Annex I in the form of direct and indirect actions which pursue the specific objectives set out in paragraphs 2 and 3 of this Article.

2. The Euratom Programme indirect actions shall have the following specific objectives:

(a)supporting safety of nuclear systems;

(b)contributing to the development of safe, longer term solutions for the management of ultimate nuclear waste, including final geological disposal as well as partitioning and transmutation;

(c)supporting the development and sustainability of nuclear expertise and excellence in the Union;

(d)supporting radiation protection and development of medical applications of radiation, including, inter alia, the secure and safe supply and use of radioisotopes;

(e)moving towards demonstration of feasibility of fusion as a power source by exploiting existing and future fusion facilities;

(f)laying the foundations for future fusion power plants by developing materials, technologies and conceptual design;

(g)promoting innovation and industrial competitiveness;

(h)ensuring availability and use of research infrastructures of pan-European relevance.

3. The Euratom Programme direct actions shall have the following specific objectives:

(a)improving nuclear safety including: nuclear reactor and fuel safety, waste management, including final geological disposal as well as partitioning and transmutation; decommissioning, and emergency preparedness;

(b)improving nuclear security including: nuclear safeguards, non-proliferation, combating illicit trafficking, and nuclear forensics;

(c)increasing excellence in the nuclear science base for standardisation;

(d)fostering knowledge management, education and training;

(e)supporting the policy of the Union on nuclear safety and security.

Any new attribution of activity to the JRC shall be analysed by the Board of Governors of the JRC to check its consistency with existing activities in the Member States.

4. The Euratom Programme shall be implemented in such a way as to ensure that the priorities and activities supported are relevant to changing needs and take account of the evolving nature of science, technology, innovation, policy making, markets and society, with the aim of optimizing human and financial resources, and to avoid duplication on nuclear research and development in the Union.

5. Within the specific objectives referred to in paragraphs 2 and 3, account may be taken of new and unforeseen needs that arise during the period of implementation of the Euratom Programme. This may, if duly justified, include responses to emerging opportunities, crises and threats, to needs relating to the development of new Union policies, and to the piloting of actions foreseen for support under future programmes.

Article 4 - Budget

1. The financial envelope for the implementation of the Euratom Programme shall be EUR 1 603 329 000. That amount shall be distributed as follows:

(a)indirect actions for the fusion research and development programme, EUR 728 232 000;

(b)indirect actions for nuclear fission, safety and radiation protection, EUR 315 535 000;

(c)direct actions, EUR 559 562 000.

For the implementation of indirect actions of the Euratom Programme, the Commission's administrative expenditure shall reach up to 7 % on average during the duration of the Euratom Programme and no more than 6 % in 2018.

2. The financial envelope of the Euratom Programme may cover expenses pertaining to preparatory, monitoring, control, audit and evaluation activities which are required for the management of that Programme and the achievement of its objectives, in particular studies and meetings of experts, as far as they relate to the general objectives of this Regulation, and expenses linked to information technology networks focusing on information processing and exchange, together with all other technical and administrative assistance expenses incurred by the Commission for the management of the Euratom Programme. The expenses for continuous and repetitive actions such as control, audit and IT networks will be covered within the limits of the Commission's administrative expenditure specified in paragraph 1.

3. Where necessary and duly justified, appropriations may be entered in the budget beyond 2018 to cover technical and administrative assistance expenses, in order to enable the management of actions not yet completed by 31 December 2018.

4. Where the direct actions contribute to initiatives established by entities entrusted by the Commission with implementation tasks in accordance with Article 6(2) and Article 15, such contribution shall not be considered as part of the financial contribution allocated to those initiatives.

5. Budgetary commitments may be divided into annual instalments. Each year the Commission shall commit the annual instalments taking into account the progress of the actions receiving financial support, the estimated needs and the budget available.

Article 5 - Association of third countries

1. The Euratom Programme shall be open to the association of:

(a)acceding countries, candidate countries and potential candidates, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and decisions of association councils or similar agreements;

(b)European Free Trade Association (EFTA) members, or countries or territories covered by the European Neighbourhood Policy that fulfil all of the following criteria:

(i)a good capacity in science, technology and innovation;

(ii)a good track record of participation in Union research and innovation programmes;

(iii)fair and equitable dealing with intellectual property rights;

(c)countries or territories associated to the Seventh Euratom Framework Programme.

2. Specific terms and conditions regarding the participation of associated countries in the Euratom Programme, including the financial contribution, based on the gross domestic product of the associated country, shall be determined by international agreements between the Union and the associated countries.

TITLE II - IMPLEMENTATION

CHAPTER I - Implementation, management and forms of support

Article 6 - Management and forms of Community support

1. The Euratom Programme shall be implemented through indirect actions using one or several of the forms of funding provided for by the Financial Regulation, in particular grants, prizes, procurement and financial instruments. The Community support shall also consist of direct actions in the form of research and innovation activities undertaken by the JRC.

2. Without prejudice to Article 10 of the Treaty, the Commission may entrust part of the implementation of the Euratom Programme to the funding bodies referred to in Article 58(1)(c) of the Financial Regulation.

The Commission may also entrust the implementation of indirect action under the Euratom Programme to bodies created under, or referred to in, the Horizon 2020 Framework Programme.

3. The Commission shall adopt, by means of implementing acts, in accordance with the examination procedure referred to in Article 12(3), the decision on the approval of the funding of indirect actions.

Article 7 - Rules for participation and dissemination of research results

1. Subject to paragraphs 2 and 3 of this Article, the participation of any legal entity in indirect actions undertaken under the Euratom Programme shall be governed by the rules laid down in Regulation (EU) No 1290/2013 of the European Parliament and of the Council.

2. For the purposes of the Euratom Programme, the security rules referred to in the first subparagraph of Article 43(2) of Regulation (EU) No 1290/2013 shall include the defence interests of the Member States within the meaning of Article 24 of the Treaty.

By way of derogation from the first subparagraph of Article 41(3) of Regulation (EU) No 1290/2013, the Commission or the funding body may, with regard to results which are generated by participants having received Community financial contribution, object to transfers of ownership or to grants of both an exclusive and a non-exclusive licence, to third parties established in a third country not associated to the Euratom Programme where it considers that the grant or transfer is not in accordance with the interest of developing the competitiveness of the Union economy or is inconsistent with ethical principles or security considerations. Security considerations shall include the defence interests of the Member States within the meaning of Article 24 of the Treaty.

By way of derogation from the first subparagraph of Article 46(1) of Regulation (EU) No 1290/2013, the Community and its joint undertakings shall, for the purpose of developing, implementing and monitoring Community policies and programmes or obligations assumed through international cooperation with third countries and international organisations, enjoy access rights to the results of a participant having received a Community financial contribution. Such access rights shall include the right to authorise third parties to use the results in public procurement and the right to sub-license and shall be limited to non-commercial and non-competitive use and shall be granted on a royalty-free basis.

3. The participant guarantee fund established pursuant to Regulation (EU) No1290/2013 shall replace and succeed the participant guarantee funds established pursuant to Regulation (Euratom) No 1908/2006 and Regulation (Euratom) No 139/2012.

Any sums from the participant guarantee funds established pursuant to Regulations (Euratom) No 1908/2006 and (Euratom) No 139/2012 shall be transferred, as of 31 December 2013, to the participant guarantee fund established pursuant to Regulation (EU) No1290/2013. The participants in actions under Decision 2012/93/Euratom signing grant agreements after 31 December 2013 shall make their contribution to the participant guarantee fund.

Article 8 - Cross-cutting activities

1. In order to achieve the objectives of the Euratom Programme and to address challenges common to the Euratom Programme and the Horizon 2020 Framework Programme, activities cutting across the indirect actions set out in Annex I and/or those implementing the Specific Programme of the Horizon 2020 Framework Programme, as established by Council Decision 2013/743/EU (21), may benefit from the Union financial contribution.

2. The financial contribution referred to in paragraph 1 of this Article may be combined from the financial contributions for indirect actions set out in Article 4 of this Regulation and in Article 6 of Regulation (EU) No 1291/2013, and implemented through a single funding scheme.

Article 9 - Gender equality

The Euratom Programme shall ensure the effective promotion of gender equality and the gender dimension in research and innovation content.

Article 10 - Ethical principles

1. All the research and innovation activities carried out under the Euratom Programme shall comply with ethical principles and relevant national, Union and international legislation, including the Charter of Fundamental Rights of the European Union and the European Convention on Human Rights and its Supplementary Protocols.

Particular attention shall be paid to the principle of proportionality, the right to privacy, the right to the protection of personal data, the right to the physical and mental integrity of a person, the right to non-discrimination and the need to ensure high levels of human health protection.

2. Research and innovation activities carried out under the Euratom Programme shall have an exclusive focus on civil applications.

Article 11 - Work programmes

1. The Commission shall adopt, by means of implementing acts, in accordance with the examination procedure referred to in Article 12(3), work programmes for the implementation of the indirect actions. Such work programmes shall allow for bottom-up approaches that address the objectives in innovative ways.

The work programmes shall set out the essential elements for implementing the actions in accordance with the Financial Regulation, including their detailed objectives, the associated funding and a timetable, as well as a multi-annual approach and strategic orientations for the following years of implementation.

2. For direct actions, the Commission shall, in accordance with Decision 96/282/Euratom, draw up a multi-annual work programme, setting out in greater detail the objectives and scientific and technological priorities presented in Annex I, and a timetable for implementation.

That multi-annual work programme shall also take account of relevant research activities carried out by the Member States, associated countries and European and international organisations. It shall be updated as and when appropriate.

3. The work programmes referred to in paragraphs 1 and 2 shall take account of the state of science, technology and innovation at national, Union and international level and of relevant policy, market and societal developments. They shall be updated as and where appropriate.

4. The work programmes referred to in paragraphs 1 and 2 shall contain a section which identifies the cross-cutting activities as referred to in Article 8.

Article 12 - Committee procedure

1. The Commission shall be assisted by a Committee. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.

2. The Committee (22) shall meet in two different configurations, dealing respectively with fission related aspects and fusion related aspects of the Euratom Programme.

3. Where reference is made to this paragraph, the examination procedure in accordance with Article 5 of Regulation (EU) No 182/2011 shall apply.

4. Where the opinion of the Committee is to be obtained by written procedure, that procedure shall be terminated without result when, within the time-limit for delivery of the opinion, the chair of the Committee so decides or a simple majority of Committee members so requests.

Article 13

The Commission shall regularly inform the Committee referred to in Article 12 of overall progress in implementing the Euratom Programme, and shall provide it with timely information on all indirect actions proposed or funded under the Euratom Programme.

Article 14 - External advice and societal engagement

1. For the implementation of the Euratom Programme, account shall be taken of advice and inputs provided, where appropriate, by:

(a)the Euratom Scientific and Technical Committee pursuant to Article 134 of the Treaty;

(b)independent advisory groups of high-level experts set up by the Commission;

(c)dialogue structures created under international science and technology agreements;

(d)forward-looking activities;

(e)targeted public consultations (including, where appropriate, regional and national authorities or stakeholders); and

(f)transparent and interactive processes that ensure support to responsible research and innovation.

2. Full account shall also be taken of the research and innovation agendas established by, inter alia, European Technology Platforms, Joint Programming Initiatives and European Innovation Partnerships.

CHAPTER II - Specific fields of action

Article 15 - Small and medium-sized enterprises

Particular attention shall be paid to ensuring the adequate participation of, and innovation impact on, small and medium-sized enterprises (SMEs) and the private sector in general in the Euratom Programme. Quantitative and qualitative assessments of SME participation shall be undertaken as part of the evaluation and monitoring arrangements.

Article 16 - Public-private and public-public partnerships

To attain the objectives set out in Article 3, specific activities of the Euratom Programme may be implemented through:

(a)Joint Undertakings established on the basis of Chapter 5 of the Treaty;

(b)public-public partnerships based on the Programme co-fund actions funding scheme;

(c)contractual public-private partnerships, as referred in Article 25 of Regulation (EU) No 1291/2013.

Article 17 - International cooperation with third countries and international organisations

1. Entities established in third countries and international organisations shall be eligible to participate in indirect actions of the Euratom Programme under the conditions set out in Regulation (EU) No 1290/2013. Exceptions to the general principle in that regard are set out in Article 7 of this Regulation. International cooperation with third countries and international organisations shall be promoted by the Euratom Programme with a view to:

(a)strengthening the Union's excellence and attractiveness in research and innovation as well as its economic and industrial competitiveness;

(b)tackling effectively common societal challenges;

(c)supporting the Union's external and development policy objectives, complementing external and development programmes. Synergies with other Union policies shall be sought.

2. Targeted actions with the objective of promoting cooperation with specific third countries or groups of third countries shall be implemented on the basis of a strategic approach as well as common interest, priorities and mutual benefit, taking into account their scientific and technological capabilities and market opportunities, and the expected impact.

Reciprocal access to third country programmes should be encouraged. In order to maximise impact, coordination and synergies with initiatives of Member States and associated countries shall be promoted. The nature of the cooperation may vary according to the specific partner countries.

Cooperation priorities shall take into account developments in Union policy opportunities for cooperation with third countries, and the fair and equitable treatment of intellectual property rights.

Article 18 - Information, communication, exploitation and dissemination

1. When implementing the Euratom Programme, dissemination and communication activities shall be considered an integral part of the actions supported by the Euratom Programme.

2. Communication activities may include:

(a)initiatives aimed at widening awareness and facilitating access to funding under the Euratom Programme, in particular for those regions or types of participant that have a relatively low participation;

(b)targeted assistance to projects and consortia to provide them with access to the necessary skills to optimise the communication, exploitation and dissemination of results;

(c)initiatives to foster dialogue and debate on scientific, technological and innovation-related issues with the public, and to take advantage of social media and other innovative technologies and methodologies;

(d)communication of the Union's political priorities provided that they are related to the aims of this Regulation; in particular, the Commission shall provide timely and thorough information to Member States.

3. Subject to the Treaty and relevant Union legislation, dissemination activities may include:

(a)actions which bring together results from a range of projects, including those that may be funded from other sources, to provide user-friendly databases and reports that summarise key findings;

(b)dissemination of results to policy makers, including standardisation bodies, to promote the use of policy-relevant results by the appropriate bodies at international, Union, national and regional level.

CHAPTER III - Control

Article 19 - Control and audit

1. The control system set up for the implementation of this Regulation shall be designed so as to provide reasonable assurance of achieving adequate management of the risks relating to the effectiveness and efficiency of the operations as well as the legality and regularity of the underlying transactions, taking into account the multi-annual character of programmes as well as the nature of the payments concerned.

2. The control system shall ensure an appropriate balance between trust and control, taking into account administrative and other costs of controls at all levels, especially for participants, so that the Euratom Programme objectives can be achieved and the most excellent researchers and most innovative enterprises can be attracted to it.

3. As part of the control system, the audit strategy for expenditure in the indirect actions under the Euratom Programme shall be based on the financial audit of a representative sample of expenditure across the whole Programme. Such representative sample shall be complemented by a selection based on an assessment of the risks related to expenditure.

Audits of expenditure in the indirect actions under the Euratom Programme shall be carried out in a coherent manner in accordance with the principles of economy, efficiency and effectiveness in order to minimise the audit burden of the participants.

Article 20 - Protection of the financial interests of the Union

1. The Commission shall take appropriate measures ensuring that, when actions financed under this Regulation are implemented, the financial interests of the Union are protected by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, where irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and dissuasive administrative and financial penalties.

2. The Commission or its representatives and the Court of Auditors shall have the power of audit, on the basis of documents and on-the-spot, over all grant beneficiaries, contractors and subcontractors who have received Union funds under this Regulation.

Without prejudice to paragraph 3, audits by the Commission may be carried out up to two years after the final payment.

3. The European Anti-Fraud Office (OLAF) may carry out investigations, including on-the-spot checks and inspections in accordance with the provisions and procedures laid down in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (23) and Council Regulation (Euratom, EC) No 2185/96 (24), with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union in connection with a grant agreement or grant decision or a contract funded under the Euratom Programme.

4. Without prejudice to paragraphs 1, 2 and 3, cooperation agreements with third countries and with international organisations, contracts, grant agreements and grant decisions resulting from the implementation of this Regulation shall contain provisions expressly empowering the Commission, the Court of Auditors and the OLAF to conduct such audits and investigations, according to their respective competences.

CHAPTER IV - Monitoring and evaluation

Article 21 - Monitoring

1. The Commission shall annually monitor the implementation, including progress and achievements, of the Euratom Programme. The Commission shall provide the Committee, referred to in Article 12, with information in this regard.

2. The Commission shall report and make publicly available the results of the monitoring referred to in paragraph 1.

Article 22 - Evaluation

1. Evaluations shall be carried out in a sufficiently timely manner to feed into the decision-making process.

By 31 May 2017, and taking into account the ex-post evaluation of the Seventh Euratom Framework Programme established by Decision 2006/970/Euratom and of the Euratom Framework Programme (2012-2013) established by Decision 2012/93/Euratom to be completed by the end of 2015, the Commission shall carry out, with the assistance of independent experts selected on the basis of a transparent process, an interim evaluation of the Euratom Programme on the achievements, at the level of results and progress towards impacts, of the objectives and continued relevance of all the measures, the efficiency and use of resources, the scope for further simplification, and European added value. The evaluation shall also take into account the contribution of the measures to the Union priorities of smart, sustainable and inclusive growth, results on the long-term impact of the predecessor measures and the degree of synergy and interaction with other Union funding programmes, including the Structural Funds.

By 31 December 2022, the Commission shall carry out, with the assistance of independent experts selected on the basis of a transparent process, an ex-post evaluation of the Euratom Programme. Such evaluation shall cover the rationale, implementation and achievements, as well as the longer-term impacts and sustainability of the measures, to feed into a decision on a possible renewal, modification or suspension of a subsequent measure.

2. Without prejudice to paragraph 1, direct and indirect actions of the Euratom Programme shall be subject to separate evaluations.

3. The evaluations referred to in paragraphs 1 and 2 shall assess the progress towards the objectives set out in Article 3, taking into account the relevant performance indicators defined in Annex II.

4. Where appropriate and available, Member States shall provide the Commission with data and information necessary for the monitoring and evaluation of the measures concerned.

5. The Commission shall communicate the conclusions of the evaluations referred to in paragraphs 1 and 2, accompanied by its observations, to the European Parliament, the Council and the European Economic and Social Committee.

TITLE III - FINAL AND TRANSITIONAL PROVISIONS

Article 23 - Repeal and transitional provisions

1. The Decision of 16 December 1980 setting up the Consultative Committee for the Fusion Programme, Decision 84/338/Euratom, ECSC, EEC, Decision 2006/970/Euratom, Decision 2006/976/Euratom, Decision 2006/977/Euratom, Regulation (Euratom) No 1908/2006, Decision 2012/93/Euratom, Regulation (Euratom) No 139/2012, Decision 2012/94/Euratom and Decision 2012/95/Euratom are repealed with effect from 1 January 2014.

2. Activities benefiting from the Community financial contributions under programmes established by the Decisions referred to in paragraph 1 and related financial obligations shall continue to be governed by the rules applicable to those programmes until their completion.

3. The financial allocation referred to in Article 4 may also cover the technical and administrative assistance expenses necessary to ensure the transition between the Euratom Programme and the measures adopted under Decision 2012/93/Euratom, Decision 2012/94/Euratom and Decision 2012/95/Euratom.

4. In order to ensure the continuity of Community support to fusion research, expenditure incurred from 1 January 2014 by the beneficiaries of the Programme co-fund action referred to in point (i) of Annex I shall be eligible for Community support.

Article 24 - Entry into force

This Regulation shall enter into force on the third day following that of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.