Proposal for a Council Decision concerning the fifth framework programme of the European Atomic Energy Community (Euratom) for research and training activities (1998 to 2002) (97/C 173/12) (Text with EEA relevance) COM(97) 142 final - 97/0120(CNS)

(Submitted by the Commission on 30 April 1997)

THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Parliament,

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

Whereas a multi-annual framework programme covering all research activities, including demonstration activities, and training activities in the field of nuclear energy, to be implemented by means of research and training programmes, can be adopted pursuant to Article 7 of the Treaty;

Whereas it has been held appropriate to adopt, for the period 1998 to 2002, a new framework programme in order to ensure the continuity of research and training activities in the field of nuclear energy;

Whereas, in accordance with Article 4 (2) of Council Decision 94/268/Euratom of 26 April 1994 concerning a framework programme of Community activities in the field of research and training for the European Atomic Energy Community (1994 to 1998) (1), amended by Decision 96/253/Euratom (2), the Commission is required to have an external assessment conducted into the management of and progress with Community activities carried out during the five years preceding that assessment, prior to presenting its proposal for the fifth framework programme; whereas that assessment, the conclusions thereof and the Commission's comments have been communicated to the European Parliament, the Council and the Economic and Social Committee;

Whereas on 10 July 1996 the Commission adopted a communication (3) setting out the preliminary guidelines for the fifth framework programme, stressing the need for the latter to meet economic and social needs as a matter of priority; whereas that communication was followed by a first working paper of 20 November 1996 (4), which provided more details about the proposed objectives and the implementation mechanisms, and then a second working paper of 12 February 1997 (5), which set out the possible content of the fifth framework programme;

Whereas European Atomic Energy Community research in the field of nuclear energy must reflect the current context of the need to develop safe and acceptable energy systems that respect standards and the environment and are competitive in terms of production costs;

Whereas the fifth framework programme should therefore focus on areas covering activities for the research and development of generic technologies, action which brings together this type of activity in a coherent whole, targeted strategically on one and the same mobilizing topic (hereinafter referred to as 'key action`), and support for research infrastructures;

Whereas, furthermore, the fifth framework programme should include, in addition to the thematic aspects, horizontal aspects covering co-operation with third States and international organizations, the dissemination and exploitation of the results of research and training activities and the training and mobility of researchers;

Whereas this approach presupposes the maintenance and enhancing of the potential for scientific and technological excellence existing within the Community, while taking into account the efforts of its main international partners; whereas that potential concerns both the physical and non-tangible infrastructures and human resources;

Whereas co-operation with all third States and international organizations must be stepped up, in particular in pursuit of the objective of the peaceful use of nuclear energy; whereas it is necessary that the Community continue to play an important international role in the field of nuclear fission safety, in particular with regard to the Central and East European countries and the States that have emerged from the former Soviet Union; whereas it is also important to continue, where appropriate, international cooperation activities with regard to third States in the field of controlled thermonuclear fusion;

Whereas within the meaning of Article 4 (1) of the Treaty Community research and training activities in the nuclear field must aim to complement action in the Member States; whereas Community action must therefore make it possible to bring added-value to the efforts undertaken in the Member States;

Whereas the criteria established to choose the areas covered by the fifth framework programme and the related scientific and technical objectives take into account the abovementioned principles; whereas those criteria should also be applied to the implementation of the fifth framework programme in order to ensure consistency;

Whereas the Joint Research Centre will contribute towards the implementation of the framework programme in areas in which it provides impartial and independent expertise and the scientific and technical support needed for the implementation of the various Community policies; whereas, in addition, it will participate, in the context of consortia, in carrying out research and training activities;

Whereas the annual report to be submitted to the Council pursuant to Article 7 of the Treaty should also be submitted by the Commission to the European Parliament; whereas, in accordance with the recommendations to be implemented in respect of transparency and sound and efficient management, arrangements should also be adopted for the systematic examination of the progress of the fifth framework programme and its evaluation;

Whereas a financial reference amount, within the meaning of point 2 of the declaration of the European Parliament, the Council and the Commission of 6 March 1995 (6), is included in the present Decision for the whole duration of the framework programme, without prejudice to the responsibilities of the budgetary authority defined in the Treaty.

Whereas in order to ensure consistency between the research activities undertaken pursuant to the Euratom Treaty and those carried out pursuant to the Treaty establishing the European Community, the Decision concerning the framework programme of the European Community for research, technological development and demonstration activities should be adopted at the same time as and for the same period as this framework programme;

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

HAS DECIDED AS FOLLOWS:

Article 1

1. A multiannual framework programme for all research activities, including demonstration activities, and training activities in the field of nuclear energy, hereinafter referred to as the 'fifth framework programme`, is hereby adopted for the period 1998 to 2002.

2. The fifth framework programme shall cover controlled thermonuclear fusion and energy systems related to nuclear fission.

Those two areas shall include, in addition to the thematic aspects, horizontal aspects concerning cooperation with third countries and international organizations, the dissemination and exploitation of the results of research and training activities, and the stimulation of the training and mobility of Community researchers.

3. The criteria used for selecting the areas referred to in paragraph 2 and the related objectives are set out at Annex I. They shall apply for the implementation of the fifth framework programme.

4. The general outlines of the areas, the scientific and technological objectives and the related priorities are set out at Annex II.

Article 2

The financial reference amount for the implementation of this framework programme for the period 1998 to 2002 is ECU [. . .] million (7).

The annual appropriations will be authorized by the budgetary authority within the limits of the financial perspective.

Article 3

1. The fifth framework programme shall be implemented through two research and training programmes, one of which shall be specific to the Joint Research Centre.

Each research and training programme shall specify the detailed rules for its implementation, fix its duration and provide for the necessary funds.

2. Implementation of the fifth framework programme may give rise, where necessary, to supplementary programmes. It may also give rise to the conclusion of agreements with third countries or international organizations within the meaning of Article 101 of the Treaty.

Article 4

The detailed rules for financial participation by the European Atomic Energy Community in the fifth framework programme shall be those laid down in accordance with the special provisions concerning research and technological development appropriations in the Financial Regulation applicable to the general budget of the European Communities, as supplemented by Annex III to this Decision.

Article 5

1. The Commission shall examine each year, with the help of appropriately qualified independent experts, the implementation of the fifth framework programme and its research and teaching programmes in the light of the criteria set out in particular at Annex I. It shall assess, in particular, whether the objectives, priorities and financial resources are still appropriate to the changing situation. Where appropriate, it shall submit proposals to adapt or supplement the framework programme and/or the research and training programmes.

2. Before submitting its proposal for a sixth framework programme, the Commission shall have an external assessment conducted by independent high-level experts into the implementation of the activities in the areas referred to in Article 1 (2), carried out during the five years preceding that assessment, in the light of the criteria set out in particular at Annex I. The Commission shall communicate the conclusions thereof, together with its comments, to the European Parliament, the Council and the Economic and Social Committee.

3. The independent experts referred to in paragraphs 1 and 2 shall be chosen by the Commission, which shall take into account, in a balanced fashion, the various research players.

4. The Commission shall submit a report to the European Parliament and the Council at the beginning of each year. The report shall cover in particular the research and training activities carried out during the preceding year and the work programme for the year in progress.

(1) OJ No L 115, 6. 5. 1994, p. 31.

(2) OJ No L 86, 4. 4. 1996, p. 72.

(3) COM(96) 332 final.

(4) COM(96) 595 final.

(5) COM(97) 47 final.

(6) OJ No C 102, 4. 4. 1996, p. 4.

(7) Of which ECU [. . .] for the JRC.

ANNEX I

CRITERIA FOR SELECTING THE AREAS AND OBJECTIVES

The implementation of Euratom's research policy in the field of nuclear energy is based on the twin principles of scientific and technological excellence and the relevance of research and training activities to the objectives of the Treaty establishing the European Atomic Energy Community.

In pursuit of a cost-benefit approach dictated by concern for optimum allocation of European public funding, the choice of themes for the fifth framework programme and the related objectives will be made on the basis of a set of common criteria, divided into three categories.

Criteria related to social objectives

- improving the employment situation,

- promoting the quality of life and health,

- preserving the environment,

in order to attain major social objectives of Euratom reflecting the expectations and concerns of its citizens.

Criteria related to economic development and scientific and technological prospects

- areas which are expanding and create good growth prospects,

- areas in which Community undertakings can and must become more competitive,

- areas in which prospects of significant technological progress are opening up.

Criteria related to the 'value-added` and the subsidiarity principle

- need to establish a 'critical mass` in human and financial terms, and the combination of the complementary expertise available in the various Member States,

- significant contribution to the implementation of one or more Euratom policies,

- addressing problems arising at Community level, or questions relating to aspects of standardization or connected with the development of the European area,

so as to select only objectives which cannot be achieved through private research alone and are more effectively pursued at the Community level by means of research activities conducted at that level.

These criteria will be used, and where necessary supplemented, for the implementation of the fifth framework programme, in order to define the research and training programmes and select the research activities, including demonstration activities, and training activities.

ANNEX II

BROAD LINES OF THE AREAS - SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES

Nuclear energy provides, without emission of CO2, more than 35 % of the electricity generated in the European Community. It makes an important contribution to the policy of diversifying energy supply.

Efforts to develop the safety and security of nuclear energy systems strengthen in the short and medium terms, the Community's industrial competitiveness. The European technological advance can be exploited, in particular with a view to the emerging export markets.

In the longer term, technologies with promising prospects will require a large-scale research effort at Community and world level.

I. AREAS AND ORGANIZATION OF THE FIFTH FRAMEWORK PROGRAMME

1. The fifth framework programme will cover controlled thermonuclear fusion and energy systems related to nuclear fission.

2. With regard to the thematic aspects, the framework programme will centre on:

- a 'key action` defined in terms of explicitly formulated economic and social objectives of the Community; the aim of this key action is to implement, in a European framework, general approaches based on the exploitation of a broad range of disciplines, technologies and know-how,

- activities for the research and development of generic technologies,

- activities in support of research infrastructures.

3. The horizontal aspects comprise:

- cooperation with third countries and international organizations;

- dissemination and optimization of the results of research and training activities,

- the training and mobility of researchers.

4. The activities of the Joint Research Centre

The Joint Research Centre is the scientific and technical body which the Commission needs to perform the tasks that it is empowered to conduct. The scientific and technological objectives of its activities are located more especially in areas requiring impartial and independent expertise at European level and in areas related to the objectives of the Community's main policies.

These activities correspond to the scientific and technological objectives of the fifth framework programme described below, but must also respond to the requirements of and changes in the various Community policies where these result in specific research and development requirements, in particular where the Joint Research Centre's neutrality is essential.

II. SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES

(a) Key action: controlled thermonuclear fusion (1)

The long-term objective of this action, embracing all the research activities undertaken in the Member States and Switzerland aimed at harnessing fusion, is the joint creation of prototype reactors for power stations to meet the needs of society: operational safety, environmental compatibility, economic viability.

The proposed strategy to achieve this long-term objectives includes the development of an experimental reactor (the Next Step) and then of a demonstration reactor (DEMO).

Progress to date suggests the construction of the Next Step during the next decade is both technically feasible and strategically necessary. This should preferably take place within the framework of the ITER (international thermonuclear experimental reactor) international cooperation project.

During the period from 1998 to 2002, implementation of the strategy will entail:

- the fusion physics and technology activities needed for the associations and European industry to develop the capacity to construct the Next Step and prepare to operate it; Europe will continue to participate in the detailed design activities for the ITER with a view to its possible construction,

- activities in the field of physics to improve the basic concepts of fusion devices,

- technological activities for the longer term which are essential to make progress with harnessing fusion.

The full-scale operation of the Joint European Torus (JET), the main instrument from which data can be extrapolated for the experimental reactor, will be completed. Once this Joint Undertaking ends, JET facilities could be used to obtain knowledge for use in the operation of the Next Step.

This key action will also encompass a fresh assessment of safety and environmental aspects; further studies on the socio-economic aspects; coordination, in the context of a keep-in-touch activity, of the Member States' civil research activities on inertial confinement; dissemination of results and the diffusion of information to the public.

(b) Activities for the research and development of generic technologies (2)

Work will focus on the following priority research:

- the operational safety of existing facilities, including issues relating to the extension of the lifespan of reactors, the technological aspects of severe accidents, and strategies and methods for the management of accident and post-accident situations,

- the security and safety of the fuel cycle; a joint, scientifically-founded approach to the management, disposal and minimization of radioactive waste,

- radiation protection, with the emphasis on understanding and awareness of the hazards related to ionizing radiation, more especially the effects of low-dose radiation, the management of nuclear emergencies and the restoration of contaminated environments,

- studies on new nuclear facilities, advanced and more efficient fuels, future systems and concepts to increase the safety of the complete nuclear cycle and the competitiveness of industry, in particular in relation to outside markets; these studies will cover safety analysis, impact on man and the environment, and the most promising approaches from a technological and economic viewpoint in a sustainable development perspective,

- the development of technologies and methods for nuclear materials safeguards to meet the new challenges: changes in the fuel cycle, the sharp rise in the stock of fissile materials due to nuclear disarmament, the extra obligations arising out of new international agreements, the illicit traffic in fissile materials,

- the encouragement of co-operation with the Central and East European countries and the countries of the former Soviet Union: development of specific 'international co-operation` research activities which will help improve the safety of nuclear reactors, waste management in these countries, radiation protection, and the control of fissile materials; development of co-ordination and international co-operation activities carried out under the framework programme. It will be possible to mobilize Community financing to facilitate such participation in accordance with rules to be adopted in the Decision on the specific programme.

(c) Support for research infrastructures

This aims at optimum utilization at Community level, of nuclear energy research test facilities, in particular those which are important as regards the safety and competitiveness of this form of energy.

(1) This activity supplements the key action 'Competitive and sustainable growth (V): advanced energy systems and services` described in the proposal for the fifth European Community framework programme for research and technological development.

(2) This research supplements, in the field of nuclear energy, the activities for the research and development of generic technologies in the thematic programme 'Promoting competitive and sustainable growth` of the proposal for the fifth EC framework programme.

ANNEX III

RULES FOR FINANCIAL PARTICIPATION BY EURATOM

The European Atomic Energy Community will contribute financially to the research activities, including demonstration activities, and training activities, hereinafter referred to as 'indirect RTDT actions`, carried out under the programmes implementing the framework programme. In addition, it will carry out directly research activities, including demonstration activities, and training activities, hereinafter referred to as 'direct RTDT actions`.

The key action, the activities for the research and development of generic technologies, support for research infrastructures and the activities carried out in the context of themes of a horizontal nature, as described in Annex II, will be implemented through indirect RTDT actions and direct RTDT actions.

1. Indirect RTDT actions

The indirect RTDT actions will comprise five categories: shared-cost actions, training fellowships, support for networks, concerted actions and accompanying measures. Shared-cost actions will be the main mechanism for implementing the programmes.

The rate of financial participation by Euratom in these actions will be as follows:

(a) Shared-cost actions

Research and technological development projects, demonstration projects, integrated projects

Research and technological development projects are projects designed to obtain new knowledge likely to be useful either to develop or significantly improve existing products, processes and services or to meet the needs of society. They will be financed, in principle, at a level of 50 % of the eligible costs. In the special case of legal entities which do not keep analytical accounts, the additional costs generated as a result of the research will be financed at the rate of 100 %.

Demonstration projects are projects which are designed to prove the technical viability of technologies and which cannot be commercialized directly. They will be financed in principle at a level of 35 % of the eligible costs.

Integrated projects are projects with both a research and technological development component and a demonstration component. They will be financed at a level corresponding to the weighted average of the levels applicable to the two components.

Support for access to research infrastructures

Support will be granted to existing research infrastructures so that they can receive teams of Euratom researchers and enable them to optimize their research work.

Community funding granted towards the optimum utilization of infrastructures is set at up to 100 % of the additional eligible costs connected with receiving teams of Euratom researchers and making the facility available.

(b) Training fellowships

In the context of the training and mobility of researchers, the Marie Curie fellowships scheme will comprise several categories: fellowships for young researchers with proven experience, industrial host fellowships for young researchers and development host fellowships.

Under the fellowship scheme for young researchers with proven experience, fellows will receive an allowance designed solely to cover their subsistence expenses and proper social welfare expenses. They will also receive a contribution designed to take into account the costs involved in mobility.

In the context of co-operation with third countries, the fellowship scheme will enable young researchers from third countries to be given an opportunity to spend time in Community laboratories.

Community support will cover up to 100 % of eligible costs of the fellowship and a contribution to the eligible costs of the host institution when it is located in the Community.

(c) Support for networks

The thematic networks will bring together manufacturers, users, universities and research centres, and organizations concerned with the diffusion or transfer of innovation around a given scientific and technological objective so as to facilitate the incorporation and transfer of knowledge and co-operation between research players and users, and ensure that market needs are taken into account more effectively, and stimulate scientific and technological excellence. Community funding will cover up to 100 % of the additional eligible costs of coordinating and implementing the thematic networks.

Research training networks will be created in advanced or emerging fields of research on topics freely chosen by the researchers. Their main aim will be to train young researchers at pre-doctoral and post-doctoral level. Community funding will cover up to 100 % of the additional eligible costs connected with setting up and maintaining the network.

(d) Concerted actions

Concerted actions will be designed to coordinate national RTD projects already in receipt of funding, in order to exchange experience acquired, to expand the research efforts of the various players so as to reach a critical mass, to disseminate results and to inform users. Community funding will cover up to 100 % of the additional eligible costs connected with concertation.

(e) Accompanying measures

Accompanying measures will contribute towards the implementation of the specific programmes or the preparation of future activities with a view to enabling them to achieve or define their strategic objectives. They will also seek to prepare or support the other indirect actions. Measures devoted to the commercialization of products, processes or services, marketing activities, and the promotion of sales, are excluded. Community funding may be up to 100 % of the eligible costs of the measures.

In the Decisions adopting the specific programmes implementing the fifth framework programme there can be no derogations from the financial participation rates set above, with the exception of duly justified special cases, for the activity concerned, including those referred to in paragraph 3. The Decisions may spell out in more detail the indirect RTDT actions described above, supplement them or subject them to additional conditions or limitations.

The other rules for the financial participation of undertakings, research centres and universities in indirect RTDT actions are specified in the Council Decision on participation rules adopted pursuant to Article 7 of the Treaty.

2. Direct RTDT actions

The direct RTDT actions to be implemented by the Joint Research Centre (JRC) will comprise research activities of an institutional character and scientific and technical support activities of an institutional character. The research activities of an institutional character are those for which the JRC has special or even unique facilities in the European Atomic Energy Community and which contribute to the implementation of Euratom RTDT policy. The scientific and technical support activities of an institutional character are activities necessary for the formulation and implementation of Community policies and tasks incumbent on the Commission pursuant to the Treaty which require the JRC's impartiality. The Community funding will normally be 100 % of the costs of the direct RTDT action.

3. Other actions

The rules for participation by the Community in the JET Joint Undertaking, ITER activities, Contracts of Association and in certain tasks which can only be performed by industry will be specified in the corresponding research and training programme.