Proposal for a COUNCIL DECISION adopting a specific programme 2002-2006 (Euratom) for research and training on nuclear energy

EXPLANATORY MEMORANDUM

At its meeting on 23 and 24 March 2001, continuing its support for the European Research Area project as expressed in Lisbon, Feira and Nice, the European Council called upon the Council and the European Parliament to adopt the research Framework Programme 2002-2006 proposed by the Commission by June 2002.

In doing so, it stressed in particular that, in the context of a set of well defined priorities, full benefit should be derived from the new instruments designed to give this new Framework Programme the means to help bring about the European Research Area, in accordance with its objective.

The Commission submitted its Framework Programme proposal on 21 February 2001 [1]. Since then, Council and Parliament have had the opportunity to begin examining and discussing the proposal. On 2 and 3 March, at their informal meeting in Uppsala, the Research Ministers held a first exchange of views on it, and the Council bodies have started to examine it.

[1] COM (2001) 94.

For its part, the European Parliament has had three opportunities to debate this proposal, the last time on the basis of answers given by the Commission to a detailed questionnaire.

By presenting its proposals concerning the specific programmes through which the Framework Programme is to be implemented at this point in time, the Commission intends to facilitate the debate that has begun within the institutions, thus enabling it to take place in the best possible conditions of information.

With the same aim in mind, the Commission is at the same time presenting a communication on the possible ways of implementing Article 169 of the Treaty to enable participation by the Community in programmes implemented jointly by several Member States, within the general context of the networking of national research programmes.

The Commission will also be submitting proposals shortly concerning the "rules for participation and dissemination" applying to the Framework Programme.

The following main elements of these proposals, in particular, will help to give a better picture of the organisation, content and implementation arrangements proposed for the new Framework Programme:

- the structure in terms of specific programmes;

- the new instruments and the way they will operate;

- the scientific and technological content that is envisaged;

- the activities foreseen in the EURATOM area.

The structure

For the implementation of the Framework Programme, a structure based on five specific programmes is proposed:

- For the EC Framework Programme:

- A specific programme on "Integrating and strengthening the European Research Area" for the two blocks of activities "Integrating research" and "Strengthening the foundations of the European Research Area" of the Framework Programme proposal.

- A specific programme on "Structuring the European Research Area".

- A specific programme for JRC activities.

- For the EURATOM Framework Programme:

- A specific programme for all the indirect actions in the fields of nuclear fission and fusion.

- A specific programme for JRC activities.

This structure derives directly from that of the Framework Programme and is a faithful reflection of the underlying policy objectives. Simple and easy to follow, it will make it possible to ensure the coherent implementation of the different categories of actions proposed, while respecting the overall objective of making a reality of the European Research Area and taking account of the specific features of these actions.

It brings together, on the one hand, all research and research-coordination activities and, on the other, activities aimed at structuring several key aspects of research activity on a European scale.

In each case, coherent implementation can be ensured in particular by means of a single programme committee with a composition varying according to the fields concerned.

In addition, the particular nature of the JRC's activities justifies a separate specific programme both for the EC and for EURATOM.

On the basis of the indications given in Annex II to the Framework Programme proposal, and thanks to them, correspondence is ensured with the various activities foreseen in the Treaty both in terms of content and budget.

The new instruments

The contribution of the new Framework Programme to bringing about the European Research Area is based mainly on the means of intervention envisaged for implementing it, in particular the three new instruments, namely the networks of excellence, integrated projects and participation by the Community in jointly implemented national programmes.

The introduction of these new instruments, which was favourably received by the Council and the European Parliament in their resolutions on the European Research Area, is in response to the need for a change in the ways in which the Community intervenes in the research field, as stressed in various reports on Community research policy, and in particular the recent five-year assessment of the Framework Programme.

Work on the development of these instruments started as soon as the Framework Programme proposal was presented. Many contacts and detailed discussions about the way in which they will operate in practice have taken place between the Commission Services, the national authorities and the relevant programme users within research organisations, universities and businesses.

Two seminars were specifically organised on this topic on 19 and 20 April 2001 [2].

[2] Working papers are available on the following website: www.http://europa.eu.int/comm/research/.

On the basis of the results of this detailed work and discussions, the basic principles and the general conditions governing the operation of these new instruments have been established. They are presented in Annex III to the specific programme proposals and concern in particular:

- the objectives specifically pursued with each of the instruments;

- the type of activities involved;

- the general conditions governing the formation, operation and development of partnerships;

- the general conditions governing support by the Community.

These principles and conditions are designed to ensure that the new instruments will make an effective contribution towards attaining the objectives set, namely the deep integration of research and innovation activities in Europe under conditions of operational autonomy and flexibility, characteristics of the means of intervention foreseen for the new Framework Programme.

Their application will be accompanied by measures designed to derive full benefit from all the research and innovation potential present in Europe, in particular by encouraging SME participation in the activities concerned.

These remarks apply essentially to the networks of excellence and the integrated projects. Community participation in jointly implemented national programmes under Article 169 of the Treaty is of a different nature, necessitating and justifying separate treatment. The objective of the communication which the Commission is presenting on this subject, in parallel with these proposals, is to launch the political debate that needs to take place on this means of implementation within the Framework Programme.

The scientific and technological content

Alongside its organisation as a structuring instrument designed to integrate research efforts, a basic feature of the new Framework Programme underlined by the Stockholm European Council is the concentration of resources on a limited number of well defined priorities.

This is reflected in the specific programme proposals which explain in more detail, expand upon and clarify the indications given in the Framework Programme proposal as regards objectives, fields covered and, within each field, the particular themes taken into consideration.

The precise subjects of research that will be carried out will be determined when the work programmes are drawn up and the programmes of activities for the networks of excellence and integrated projects are formulated.

The objectives, content and implementation arrangements for activities to be carried out under the specific programmes have been the subject of an ex ante evaluation. In this context, a special effort has been made to define, in accordance with the indications given in the Framework Programme proposal, verifiable, measurable objectives where this is possible and useful.

Alongside the activities carried out in the context of the major priority themes, the specific programme on "Integrating and strengthening the European Research Area" will comprise several categories of activities that are new or carried out in new ways.

These are:

- Activities carried out under the heading "Anticipating the EU's scientific and technological needs" in response to the needs of Community policies, research at the frontiers of knowledge and new unforeseen requirements.

They will be conducted on the basis of a procedure for the multiannual programming of activities, carried out partly by means of an annual exercise of evaluation and selection of research themes.

- Activities in support of the networking of national research programmes and the coordination of research and innovation activities and policies. Light and flexible mechanisms will be used to this end.

International cooperation represents an important dimension of the Framework Programme. Activities will be carried out in this field in various forms: in the specific programme on "Integrating and strengthening the European Research Area" on the one hand by opening up the networks of excellence and integrated projects to third country researchers and entities and, on the other hand, through certain specific activities; in the programme "Structuring the European Research Area" by means of support for the international mobility of European researchers and third country researchers.

Under the heading of strengthening the foundations of the European Research Area, activities will be carried out in support of cooperation with and between the organisations concerned with European science and technology cooperation. These organisations will in fact have full access to all the activities under the programmes.

The description of the content of the programme on "structuring the European Research Area" specifies the implementation conditions and the possible themes for structuring activities, including a strengthening of the networking of innovation stakeholders; the various new forms of support for mobility; the integrated initiatives with regard to infrastructures and the themes and arrangements for activities in the field of relations between science and society.

In the implementation of the specific programmes, the regional dimension of European research will be fully taken into account in its different aspects, as well as the recognised role of regions in the process of innovation.

EURATOM activities

By their nature and on account of their different legal basis, the activities carried out in the EURATOM field have a particular character. In addition, in the nuclear field the issue of the European Research Area takes a specific form.

It might seem easier to make a reality of the European Research Area in the field of nuclear fission than in the rest of science and technology, given the limited size of the scientific and industrial community concerned and the existence within it of long-standing collaboration links.

The European Research Area is already to a large extent a reality in the field of controlled nuclear fusion thanks to the existence of an integrated European programme on research into magnetic fusion.

The proposal for a specific programme for indirect nuclear research activities substantially expands upon and clarifies the indications given in the corresponding part of the EURATOM Framework Programme proposal.

In the field of fission, the Framework Programme proposal identifies a thematic area: waste treatment and storage. Activities could be carried out in this area by means of two of the new instruments for the priority thematic areas of the programme on "Integrating and strengthening the European Research Area" of the EC Framework programme, namely the networks of excellence and integrated projects.

The rest of the activities relating to fission concern other aspects of nuclear safety: radiation protection, the study of innovative concepts and training concerning nuclear matters. These activities could be carried out in the form of projects of limited size and the networking of national activities, with the possibility of making use of the new instruments where necessary.

In the field of thermonuclear fusion, the specific programme proposal expands upon and clarifies the guidelines given in the EURATOM Framework Programme proposal following on from the results of the Ministerial Meeting held on 19 January 2001 on the basis in particular of a Commission staff working document [3].

[3] SEC (2001)385.

It specifies the priorities proposed and the activities to be carried out during the period 2002-2006 in accordance with the "reactor" orientation of Community activities in this field which it is thought desirable to maintain: participation in the Next Step and use of the JET facilities.

Choices will need to be made in order to put this orientation into practice. In order to increase the impact of Community efforts in this area, and in accordance with the spirit of the European Research Area, it is proposed that resources should be concentrated on multilateral activities bringing together European research players on joint projects such as JET today, and ITER in due course if a decision is taken to build this new machine.

Overall coordination at European level, the usefulness of which has been demonstrated, would be maintained, but the Member States would take responsibility for a larger proportion than at present of the activities where the "reactor" orientation and the link with the Next Step are less marked.

The period 2002-2006 should be a period of transition towards a programme dominated by commitments connected with the Next Step. Of the EUR 700 million proposed for the whole of fusion research, EUR 200 million are foreseen as a contribution to the construction of ITER which could commence during the second half of the period of implementation of the Framework Programme, i.e. 2005-2006, and which necessitates a specific decision.

The bulk of the Community fusion research activities for 2002-2006 are therefore intended to ensure the transition between the activities at present carried out in the associations and what should become a fusion physics and technology accompanying programme once the ITER project has reached "cruising speed" after 2006 if a decision is taken to go ahead and start building the machine.

Efficient implementation

Designed to help bring about the European Research Area, the Framework Programme 2002-2006 is based on three fundamental principles: concentration on a selected number of priorities; structuring effect by means of close liaison with the national efforts; simplification and streamlining of implementation conditions.

The need for this sort of improvement in the conditions governing the implementation of the Framework Programme and the specific programmes has been stressed repeatedly: by the Council and the European Parliament, by the Framework Programme five-year assessment panel, and by the Court of Auditors, in particular.

For the most part, the improvement in implementation conditions will be brought about by adopting the new means of intervention and the new instruments designed to help achieve the twin objectives of concentration and of strengthening the links between efforts at the various levels.

The networks of excellence and the integrated projects have been designed with this in mind, based on a more decentralised approach enabling the participants to have a large measure of operational autonomy as well as the requisite degree of flexibility in implementation. The partnerships, more particularly, are designed to be able to evolve so that new participants can join, and the initial participants can withdraw, throughout their duration.

The basic principles applying to the new instruments are described in Annex III to the specific programme proposals. The detailed rules for implementing them will be set out in the "Rules for participation and dissemination" taking account of the objectives of protecting the Communities' financial interests.

Other aspects of the management of the activities under the programmes will also be "externalised", more particularly certain aspects of the management of research activities for SMEs and activities in support of mobility.

An essential debate

When the Commission submits a proposal for a new EU Research Framework Programme there is always a wide-ranging and intense debate.

This debate, which is already under way, should go beyond a discussion of the priorities and areas to which it is often reduced:

- because the Framework Programme 2002-2006 is essentially characterised by the introduction of new means of intervention with considerable potential to have positive effects on the European research fabric, which should be put into effect under the best possible conditions;

because implementing the Framework Programme for this reason requires greater involvement on the part of those responsible for research in Europe, at a high level of decision taking, in the national research organisations, universities and industry, and greater initiative and the assumption of greater responsibility on the part of the participants.

2001/0125 (CNS)

Proposal for a COUNCIL DECISION adopting a specific programme 2002-2006 (Euratom) for research and training on nuclear energy

THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission [4]

[4] OJ

Having regard to the opinion of the European Parliament [5]

[5] OJ

Having regard to the opinion of the Economic and Social Committee [6]

[6] OJ

Whereas:

(1) By Decision No. .../../Euratom [7] the Council adopted the multiannual framework programme 2002-2006 of the European Atomic Energy Community for research and training activities aimed at contributing towards the creation of the European Research Area (hereinafter referred to as "the framework programme") to be implemented by means of research and training programme(s) drawn up in accordance with Article 7 of the Treaty, which define the detailed rules for their implementation, fix their duration and provide for the means deemed necessary.

[7] OJ

(2) The rules for the participation of undertakings, research centres and universities for the implementation of the framework programme, adopted by the Council in Decision No. .../../Euratom [8] (hereinafter referred to as "the rules for participation") should apply to this programme.

[8] OJ

(3) The Commission's administrative expenditure for the implementation of this programme reflects the high number of staff seconded to laboratories in the members States and to the ITER project.

(4) In implementing this programme, emphasis should be given to promoting mobility of researchers, and innovation, in the Community as well as international co-operation activities with third countries and international organisations. Special attention should be paid to the Accession countries.

(5) Research activities carried out within this programme should respect fundamental ethical principles, notably those which appear in the Charter of Fundamental Rights of the European Union.

(6) Following the Commission Communication "Women and Science" [9] and the Resolution of the Council [10] and the European Parliament [11] on this theme, an action plan is being implemented in order to reinforce and increase the place and role of women in science and research.

[9] COM (1999) 76

[10] Resolution of 20 May 1999, OJ C 201, 16.7.1999

[11] Resolution of 3 February 2000, PE 284.656

(7) This programme should be implemented in a flexible, efficient and transparent manner, taking account of relevant interests, in particular of the scientific, industrial, user and policy communities. The research activities carried out under it should be adapted where appropriate to the needs of Community policies and to scientific and technological developments.

(8) The Commission should in due course arrange for an independent assessment to be conducted concerning the activities carried out in the fields covered by this programme.

(9) The Scientific and Technical Committee has been consulted.

HAS ADOPTED THIS DECISION

Article 1

1. In accordance with the framework programme, a specific programme for research and training on nuclear energy (hereinafter referred to as "the specific programme") is hereby adopted for the period from [.....] to 31 December 2006.

2. The objectives and scientific and technological priorities for the specific programme are set out in Annex I.

Article 2

In accordance with Annex II to the framework programme], the amount deemed necessary for the execution of the specific programme is EUR 900 million, including a maximum of 16.5% for the Commission's administrative expenditure. An indicative breakdown of this amount is given in Annex II to this decision.

Article 3

1. The detailed rules for financial participation by the Community in the specific programme shall be those referred to in Article 2, (2) of the framework programme.

2. The specific programme shall be implemented by means of instruments defined in Annex III.

3. The rules for participation shall apply to the specific programme.

Article 4

1. The Commission shall draw up a work programme for the implementation of the specific programme, setting out in greater detail the objectives and scientific and technological priorities set out in Annex I, and the timetable for implementation.

2. The work programme shall take account of relevant research activities carried out by the Member States, Associated States, European and international organisations. It shall be updated where appropriate.

Article 5

1. The Commission shall be responsible for the implementation of the specific programme.

2. For the purposes of implementing the specific programme the Commission shall be assisted by a consultative committee. The members of this committee can vary according to the different subjects on the committee's agenda. For fission-related aspects, the composition of this committee and the detailed operational rules and procedures applicable to it shall be as laid down in Council Decision 84/338/Euratom, ECSC, EEC [12] dealing with management and co-ordination advisory committees. For the fusion-related aspects they shall be as laid down in the Council Decision of 16 December 1980 dealing with the consultative committee for the fusion programme.

[12] OJ L 177, 4.7.1984, p.25.

Article 6

1. The Commission shall regularly report on the overall progress of the implementation of the specific programme, in accordance with Article 4 of the framework programme.

2. The Commission shall arrange for the independent assessment provided for in Article 5 of the framework programme to be conducted concerning the activities carried out in the fields covered by the specific programme.

Article 7

This decision is addressed to the Member States.

Done at Brussels, [...]

For the Council

The President [...]

ANNEX I

Scientific and technological objectives and broad lines of the activities

1. Introduction

As the source of 35% of the electricity produced in the European Union, nuclear energy is an element of the debate on how to combat climate change and reduce the energy dependency of the EU. But significant challenges need to be faced. Controlled thermonuclear fusion is one of the long term options for energy supply, in particular for the centralised supply of base-load electricity. The priority is to make progress towards demonstrating the scientific and technological feasibility of fusion energy and assessing its sustainable qualities. In the short term, ways of dealing with nuclear waste that are acceptable to society need to be found, and more particularly the implementation of technical solutions for the management of long-lived waste. Innovative concepts for the safer exploitation of nuclear fission should also be studied as possible contributions to meeting European energy needs in the decades ahead.

Co-operation at European level, including the exchange of scientists and common research programmes, is already well established in this field. In respect of nuclear waste and other activities, this will be intensified and deepened at programme and project level with the aim of better use of resources (both human resources and experimental facilities) and promoting a common European view on key problems and approaches, in accordance with the needs of the European research area. Links will be established with national programmes and networking will be promoted with third countries, in particular, USA, Canada and Japan. In the case of fusion, the Community and Member States will continue to work within the framework of an integrated programme of activities.

Co-ordination will be assured with the JRC programme on "nuclear safety and safeguards".

2. Priority thematic areas

2.1 Fusion energy research

Objectives

Fusion energy could contribute in the second half of the century to the emission-free large-scale production of base-load electricity. The advances made in fusion energy research justify to further pursue a vigorous effort towards the long-term objective of a fusion power plant. Theoretical work and experimental studies on the existing devices world-wide, in particular on JET, have established the scientific and technical readiness for the construction of a project of the next generation after JET with the objective of demonstrating the scientific and technological feasibility of fusion energy. World wide collaboration on fusion energy research has progressed to the detailed engineering design of such a Next Step device, ITER, with the objectives of extended burn in inductive operation with power amplification Q >10, demonstrating generation of 400 MW of fusion power over about 400 seconds, that could allow burning plasmas to be studied in conditions relevant to energy production.

The successful completion of the ITER Engineering Design Activities makes it possible, in line with the reactor orientation of the Community activities on fusion energy research, to take a decision about the realisation of the Next Step. Subject to a positive outcome of the international negotiations on the juridical and institutional conditions of the establishment of an ITER Legal Entity and negotiations for its joint implementation (construction, operation, exploitation and decommissioning), a specific decision could be sought in the period 2003-2004, so that construction could effectively start during the period 2005-2006. The period 2003-2006 has therefore to be seen as a transition period marked by the need to rationalise European activities due to the strong orientation of the programme towards the Next Step. The budgetary proposition for research in the field of fusion energy over the period 2003-2006 provides that out of a total appropriation of 700 MioEUR, 200 MioEUR are foreseen for the realisation of ITER.

If and when decided, the realisation of the Next Step will mobilise significant human and financial resources. Once a decision is taken to go ahead with the project, adaptations to the current efforts of the European partners of Euratom in the field of fusion and organisational changes will be required, in particular to jointly steer the European contribution to ITER. The amount of 500 MioEUR is proposed to allow the continuation of a meaningful R&D programme, including the transition between the activities currently carried out in the framework of the Associations [13] and JET, and what would become the "accompanying programme" in physics and technology for fusion once construction of the Next Step/ITER device has reached its steady state after 2006.

[13] Established under contracts of associations between the Community and entities in the Members States.

Priorities

i) Associations' programme in physics and technology

The Associations' programme will include:

- R&D in fusion physics and plasma engineering, focusing on the study and evaluation of magnetic confinement formulas, with in particular the continuation of the construction of the Wendelstein 7-X "stellarator" and operation of the existing installations in the Euratom Associations.

- Structured R&D activities in fusion technology in particular research on fusion materials and participation in the R&D activities for the decommissioning of JET, which is foreseen at the end of its operations.

- Investigations of socio-economic aspects, focusing on evaluation of economic costs and social acceptability of fusion energy, in complement to the further studies on safety and environmental aspects; co-ordination, in the context of a keep-in-touch activity, of the Member States' civil research activities on inertial confinement and possible alternative concepts; dissemination of results and the diffusion of information to the public; mobility and training.

In contributing to the Associations' programme, priority will be given to multilateral actions to focalise activities on common projects such as those directly related to operation on JET and to the Next Step / ITER and/or staff training. Depending on a decision on the realisation of ITER and its timing, the current Community support to the Associations activities will be adjusted, and the phasing out of the exploitation of a number of facilities will be considered. Adequate means shall be ensured to maintain a strong European co-ordination of the fusion activities, which has demonstrated its usefulness over the years.

The extent of the accompanying domestic programme in fusion physics and technology which is required in the Associations and European industry to take full benefit from ITER, will depend (a) on the level of the European share in ITER and (b) on where would be sited. This could entail investments aiming at maintaining experimentation on fusion devices at world-class level in Europe beyond the start of operation of ITER and an adequate programme of technological development.

ii) Exploitation of the JET facilities

The JET facilities will continue to be exploited in the framework of the European Fusion Development Agreement (EFDA), in view of completing the exploitation of the performance enhancements currently under way. The use of the JET facilities will have to be suspended at an appropriate time to enable the corresponding resources to be redirected to the Next Step / ITER.

iii) Next Step / ITER

The Proposal for the Euratom framework programme (2002-2006) includes the continuation of Next Step activities with a view to participate in its construction in the second half of the period. However, since decisions on ITER do not depend only upon EU Institutions but also on the EU international partners, the proposed programme of activities must be open regarding the eventual siting and framework of the Next Step / ITER and the precise content of the accompanying domestic programme.

The EU participation in ITER would include contributions to the construction of equipment and installations, which are within the perimeter of the ITER site and necessary for its exploitation, as well as to the costs associated with the staffing and management of, and the support to be given to, the project during construction. The level and nature of this participation will depend on the outcome of the negotiations with the EU international partners, and in turn on the location of the ITER site. If ITER was located in Europe, the EU participation would also include contribution to the costs to be borne by Europe as a Host Party.

2.2 Treatment and disposal of radioactive waste

Objectives

The absence of a broadly agreed approach to waste management and disposal is one of the main impediments to the continued and future use of nuclear energy. In particular, this applies to the disposal of long-lived waste components in geological repositories, which will be required no matter what treatment method is chosen for the spent fuel and high level waste. Research alone cannot ensure societal acceptance; however, it is needed in order to develop and test the repository technologies, investigate suitable sites, promote basic scientific understanding relating to safety and safety assessment methods, and to develop decision processes that are perceived as fair and equitable by the stakeholders involved.

Research is also needed to explore the potential offered by new reactor types and/or fuel cycles to make better use of fissile material and generate less waste, while meeting appropriate cost expectations, and to clarify the prospects for conducting partitioning and transmutation, which have a theoretical potential to reduce the hazard of the waste, on an industrial scale with adequate safety and at reasonable cost.

Research Priorities

i) Research on geological disposal

The aims are to establish a sound technical basis for demonstrating the safety of disposing high level radioactive wastes in geological formations and underpin the development of a common European view on the main issues related to the disposal of waste.

- Improvement of fundamental knowledge, developing and testing technologies: research will focus on key physical, chemical and biological processes; interaction between the different natural and engineered barriers, their long-term stability and means of implementing disposal technologies in underground research laboratories.

- New and improved tools: research will focus on models for performance, safety assessment and methodologies to demonstrate long term safety, including sensitivity and uncertainty analyses, evaluation of alternative measures of performance and processes relating to the public concerns on waste disposal.

ii) Partitioning and transmutation; new reactor concepts

The aims are to determine practical ways of reducing the amount and/or hazard of the waste to be disposed of by partitioning and transmutation and to explore the potential of new reactor concepts.

- Partitioning and transmutation: research will focus on fundamental assessments of the overall concept; demonstration at pilot scale of the most promising partitioning technologies; further development of technologies for transmutation; and evaluation of their industrial practicability.

- New reactor concepts: research will focus primarily on the High Temperature Reactor (HTR), in particular with regard to power conversion system for direct cycle, material properties in a high temperature helium environment, innovative fuel coatings, process heat applications and safety and licensing issues.

3. Other activities in the field of nuclear safety

Objectives

The objectives are to support EU policies in the fields of health, safety and the environment and better integrate European research on nuclear fission and the other uses of ionising radiation.

Research priorities

i) Radiation protection

The aims are to underpin Community standards on radiation protection and how they are applied, to respond flexibly and rapidly to emerging needs and to enhance European capability through better integration of the research effort. Research will focus on:

- quantification of risks at low and protracted doses typical of those encountered in the environment and the workplace, through epidemiological studies of suitable exposed populations complemented by cellular and molecular biology research. Collaboration with Russia and other CIS countries will be essential for gaining access to data on exposed populations of interest.

- better integration of European research, in particular in the areas of health and environmental protection, radioecology, emergency and environmental management, medical uses of radiation and exposure to natural sources of radiation.

ii) Innovative ways of producing nuclear energy

The aim is to investigate possible innovative concepts for nuclear energy. Research will focus on:

- further development of innovative concepts for nuclear energy that have been identified as offering longer term benefits such as in terms of safety, waste management, costs and sustainability.

iii) Education and training

The aim is to better integrate European education and training in the nuclear sciences to combat the decline in both student numbers and teaching establishments, thus providing the necessary competence and expertise for the continued safe use of nuclear energy and other uses of radiation in industry and medicine. Support will focus on:

- development of a more common approach for education in the nuclear sciences and engineering in Europe and its implementation, including the better integration of national resources and capabilities.

This will be complemented by support for individual fellowships, special training courses, training networks and grants for young research workers from the former Soviet Union.

ANNEX II

INDICATIVE BREAKDOWN OF THE AMOUNT

>TABLE POSITION>

ANNEX III - MEANS FOR IMPLEMENTING THE PROGRAMME

In order to implement the specific programme, and in accordance with the Decisions of the European Parliament and of the Council concerning the multiannual Framework Programme 2002-2006 of the European Atomic Energy Community for research and training activities aimed at contributing towards the creation of the European Research Area (2002/.../Euratom) and with the rules for the participation of undertakings, research centres and universities for the implementation of the framework programme (2002/.../Euratom), the Commission will use various instruments.

The Commission will evaluate the proposals in accordance with the evaluation criteria set out in the above mentioned Decisions in order to verify their relevance with regard to the objectives of the programme, their scientific and technological excellence, their Community added value and the participants' management capacity.

A. New instruments

A.1 Networks of excellence

In general, the network will be organised around a core group of participants to which others may be added. In order to create a virtual centre of excellence, they will integrate a considerable part or even the totality of their research activities in the area concerned. These activities will often be multidisciplinary, and oriented towards long-term objectives and not precise predefined results in terms of products, processes or services.

In addition to these integrated research activities, the network's joint programme of activities will also comprise integration activities as well as activities related to spreading of excellence outside the network.

In pursuing its objectives, the network will therefore carry out:

- Research activities integrated by its participants

- Integration activities which will comprise in particular:

- adaptation of the participants' research activities in order to strengthen their complementarity;

- development and utilisation of electronic information and communication means, and development of virtual and interactive working methods;

- short-, medium- and long-term exchanges of personnel, the opening of positions to researchers from other members of the network, or their training;

- development and use of joint research infrastructures, and adaptation of the existing facilities with a view to a shared use;

- joint management and exploitation of the knowledge generated, and actions to promote innovation.

- Activities of spreading of excellence which will comprise, as appropriate:

- training of researchers;

- communication concerning the achievements of the network and the dissemination of knowledge;

- services in support of technological innovation, aimed in particular at the take-up of new technologies;

- analyses of science/society issues related to the research carried out by the network.

In carrying out some of its activities (such as training of researchers), the network will endeavour to ensure publicity by publishing calls for applications.

The size of the network may vary according to the areas and subjects involved. As an indication, the number of participants should not be less than half a dozen. On average, in financial terms, the Community contribution to a network of excellence may represent several million euros per year.

The network proposals should comprise the following elements:

- a general outline of the joint programme of activities, and its content for the first year, broken down into research activities, integration activities, and activities for spreading excellence;

- the role of the participants, identifying the activities and resources that they will integrate;

- the operation of the network (co-ordination and management of activities);

- the plan for the dissemination of knowledge and the perspectives as regards exploitation of the results.

The partnership may evolve when necessary, within the limit of the initial Community contribution, by replacing participants or adding new ones. In most cases, this will be done through publication of a call for applications.

The programme of activities would be updated yearly and would entail a reorientation of certain activities or launching of new ones not initially foreseen, which could involve new participants. The Commission may launch calls for proposals with a view to the allocation of additional contribution in order to cover, for example, an extension of the integrated activities of the existing network or the integration of new participants.

The Community's financial contribution will be a fixed amount linked to the implementation of a set of work, initially calculated on the basis of the resources dedicated to carrying out the joint programme of activity and paid on an annual basis. As a complement to the resources of the participants, it should be sufficient to act as an incentive for integration, but without creating a financial dependence that might jeopardise the lasting association of the network.

A.2 Integrated projects

The objective of this instrument is to strengthen European competitiveness or contribute to resolve major societal problems by mobilising a critical mass of research and technological development resources and skills existing in Europe.

Accordingly, each integrated project will have the aim of obtaining identifiable scientific and technological results applicable to products, processes or services. The activities carried out in the context of an integrated project will have by definition clearly defined objectives even in the case of risky research.

In general, the participants in the projects will be organised around a core group made up of the main participants. All the activities carried out in the context of an integrated project will be defined in the general framework of an "execution plan" comprising activities relating to:

- research, technological development and/or demonstration;

- management, dissemination and transfer of knowledge with a view to promoting innovation;

- analysis and assessment of the technologies concerned, as well as the factors relating to their exploitation.

In pursuit of its objectives, it may also comprise activities relating to:

- training researchers, students, engineers and industrial executives;

- support for the take-up of new technologies;

- information and communication, and dialogue with the public concerning the science/society aspects of the research carried out within the project.

The size of an integrated project may vary according to the themes and subjects, depending critical mass necessary in order to obtain the expected results under the best possible conditions.

The combined activities of an integrated project may represent a financial size ranging from several million euros to several tens of millions of euros.

In most cases an integrated project will comprise a set of specific actions, relating to certain aspects of the research needed to achieve the objectives pursued, of variable sizes and structures according to the tasks to be achieved, executed in a closely co-ordinated manner. In some cases, however, an integrated project may take the form of a single large project with a single component.

Integrated project proposals should contain the following elements:

- the scientific and technological objectives of the project;

- the main lines and timetable of the execution plan, highlighting the articulation of the various components;

- the stages of implementation and the results expected in each one of them;

- the role of the participants within the consortium and the specific skills of each of them;

- the organisation and management of the project;

- the plan for the dissemination of knowledge and the exploitation of results;

- the global budget estimate and the budget for the different activities, including a financial plan identifying the various contributions and their origin.

The partnership may evolve when necessary, within the limit of the initial Community contribution, by replacing participants or adding new ones. In most cases, this will be done through publication of a call for applications.

The execution plan will be updated yearly. This updating may entail the reorientation of certain activities and the launching of new ones. In the latter case, and where an additional Community contribution is needed, the Commission will identify these activities and the participants who will carry them out, by means of a call for proposals.

The Community contribution will be part of a financing plan which may involve recourse to other financing schemes, in particular Eureka or the instruments of the EIB or the EIF. It may amount to up to 50% of the total project budget, broken down into budgets per activity. It will be paid annually on the basis of the proposed execution plan.

B Other instruments

In order to implement the programme, the Commission can have recourse to:

- specific targeted projects in order to carry out research or demonstration activities

- integrated initiatives relating to infrastructure, combining activities that are essential to strengthening and developing research infrastructures for the provision of services on a European scale

- mobility and training actions

- specific co-ordination and support actions in order to achieve the objectives identified in all the areas of the programme.

- accompanying actions by way of additional measures to achieve the objectives of the programme or prepare future activities in the context of the Community's research and technological development policy.

C - Specific implementation rules in the area of research into thermonuclear fusion

In the implementation of activities in the research area on controlled thermonuclear fusion, the following rules will be applied.

I. Procedures

The projects undertaken in the context of shared-cost of research and technological development actions will be carried out on the basis of procedures set out in:

- the contracts of association with the Member States and the Associated States or organisations in those States,

- the European Fusion Development Agreement (EFDA),

- any other multilateral agreement concluded between the Community and associated organisations (such as the agreement on the promotion of mobility) or legal entities which may be set up after the competent consultative committee has given its opinion,

- other contracts of limited duration, in particular with organisations in the Member States or the associated states without an association,

- international agreements covering projects carried out in the framework of co-operation with third countries, such as ITER, and by legal entities which may be set up in the framework of such agreements.

II. Financial contribution

The Framework programme financial contribution to the current expenditure of the Associations and to contracts of limited duration will be progressively and substantially reduced from its current annual rate, over the duration of the framework programme.

The modalities of participation of the Community in the activities related to the joint implementation of projects carried out within the framework of international co-operations such as ITER are defined in the relevant international co-operations and by the legal entities which can be established in the frame of these agreements. Appropriate legal entities, or any other appropriate forms, may be created by Euratom and the associated organisations in order to manage this Community participation.

FINANCIAL STATEMENT

Policy area(s): Research

Activity(ies): Research and training actions under the Euratom Treaty.

Title of action

Proposal for a Council Decision adopting a specific programme for research and training actions on "Nuclear Energy".

1. 1. BUDGET LINE(S) + HEADING(S)

Subsection B6 6 Indirect Actions: these lines will be specified at the beginning of the 2003 budget procedure, taking into account the ABB nomenclature, which is being drawn up.

2. OVERALL FIGURES

2.1. Total allocation for action (Part B): EUR900 million for commitments

2.2. Period of application:

2002-2006

2.3. Overall multiannual estimate of expenditure:

a) Schedule of commitment appropriations/payment appropriations (financial intervention) (see point 6.1.1)

EUR million (to 3rd decimal place)

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b) Technical and administrative assistance and support expenditure (see point 6.1.2)

This budget category does not apply in this field.

c) Overall financial impact of human resources and other administrative expenditure (see points 7.2 and 7.3)

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2.4. Compatibility with the financial programming and the financial perspective

|X| Proposal compatible with existing financial programming

| | This proposal will entail reprogramming of the relevant heading in the financial perspective.

| | This may entail application of the provisions of the Interinstitutional Agreement.

2.5 Financial impact on revenue

| | No financial implications (involves technical aspects regarding implementation of a measure)

|X| Financial impact - the effect on revenue is as follows:

Certain Associated States will contribute to the funding of the Specific Programme.

The association agreements are linked to a Framework Programme. Their renewal will be renegotiated following adoption of the new Framework Programme and it is therefore impossible to forecast the amount of revenue in question.

In accordance with the association agreements for the current Framework Programme and in the context of their renewal, revenue not used by the end of the current Framework Programme (31/12/2002), will be transferred to the new Framework Programme.

In accordance with Article 27 of the Financial Regulation, certain revenue may be refused.

3. BUDGET CHARACTERISTICS

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4. LEGAL BASIS

Article 7 of the Euratom Treaty.

Proposal for a Council Decision relating to the multiannual framework programme 2002-2006 of the European Atomic Energy Community for research and training activities aimed at contributing to the creation of the European Research Area.

5. DESCRIPTION AND GROUNDS

5.1. Need for Community intervention

5.1.1 Objectives pursued

As recognised at the highest political level by the European Council in Lisbon, Feira, Nice and again recently in Stockholm, research is a central component of the knowledge-based economy and society developing worldwide. The objective set for the EU in Lisbon was "to become the most competitive and dynamic knowledge-based economy in the world, capable of sustainable economic growth, more and better jobs and greater social cohesion" over the next decade. More than ever, research is proving to be one of the main driving forces for economic and social progress, a key factor in business competitiveness, employment and the quality of life. In addition, science and technology are key elements in the policy-making process at both EU and national level.

However, Europe still has structural weaknesses where research is concerned. These can be summed up in four main points:

I. Insufficient and dispersed investment in research and technological development and more generally in knowledge (RTD, education and software), with the result that we are lagging behind our competitors. In 1999, the EU invested EUR 76 billion less than the US in research and development. It is now lagging behind its competitors in terms of research spending as a proportion of GDP (in 1999, the figure was 1.9% for the EU compared with 2.6% for the US and 2.9% for Japan). [15] In 1999, the US invested some 9% in knowledge, ahead of the EU (7.6%) and Japan (6.9%). And the gap is continuing to widen.

[15] 1998 figure.

II. Insufficient human resources in research. Researchers represent 5.3/1000 of the workforce in the EU (1998), 7.4/1000 in the US (1993) and 8.9/1000 in Japan (1998) where there are twice as many researchers in industry. Direct public spending on higher education corresponds to 0.9% of GDP in the EU, 1.4% in the US and 0.5% in Japan (1997).

III. A limited capacity to translate scientific breakthroughs into innovative and competitive products and services, despite high-quality scientific production. The figures for the number of patents granted by the European, American and Japanese patents offices per million inhabitants are 32 in the EU, 49 in the US and 88 in Japan. In 1998, the trade balance for high-tech products was a EUR28 billion deficit for the EU (a trend confirmed throughout the decade), compared with a EUR8 billion deficits for the US and a EUR 39 billion surplus for Japan. Venture-capital investment in the advanced sectors corresponds to 80% in the US and, while it is on the increase, only 26 % in the EU and 23% in Japan.

IV. A fragmentation of research policies in Europe. The EU has not yet adopted a fully-fledged research policy. The 15 national policies co-exist side by side and alongside the Community framework programme without adequate coordination between them to achieve efficient organisation and exploitation. This lack of coordination also affects the establishment and efficient exploitation of research infrastructures.

To alleviate this situation, the Commission has proposed and Council and Parliament have endorsed the creation of a "European Research Area". Bringing it about will necessarily be the product of a joint effort by the EU, the Member States and research stakeholders. The EU research framework programmes (2002-2006) and the specific programmes will make a contribution to this in particular through the significant leverage effect that they can have for integrating, coordinating and structuring research in the EU and strengthening the foundations of the European Research Area.

A structural change in the EU's science and technology fabric to remedy the above mentioned weaknesses will need resources commensurate with the objective. The Commission has proposed funding for the framework programme totalling EUR 17.5 billion, corresponding to the previous level of funding plus inflation and growth (but still representing only 5 to 6% of public spending on RTD). The Commission takes the view that this sort of amount could have a significant effect on the research system as such, improve at least some of the overall research indicators, and have a significant effect in the priority areas of the framework programme which will generate growth in the EU. In overall terms, this level of funding will make it possible to maintain the Community's RTD effort expressed as percentage of GDP at its present level during the period 2003-2006.

The plan is to implement the framework programmes by five specific programmes, three of which come under the European Community Treaty and two under the European Atomic Energy (Euratom) Treaty. Each specific programme is identified according to the nature of the instruments deployed, reflecting the objectives and organisation of the framework programme:

- A programme on "Integrating and strengthening the European Research Area" comprising the indirect actions proposed under the heading "Integrating research" and under the heading "Strengthening the foundations of the European Research Area", thus bring together research and coordination activities.

- A programme on "Structuring the European Research Area", comprising horizontal, support and structuring activities.

- Two "Joint Research Centre (JRC)" programmes comprising the direct actions carried out by the JRC in the non-nuclear and nuclear fields respectively.

- A "Nuclear energy" programme comprising the indirect actions carried out in the field of nuclear energy.

The objectives of the specific programme on "Nuclear energy" are set out below by action areas, together with their justification and the European added value that they can provide.

1. Treatment and disposal of radioactive waste

The objective is to develop and test repository technologies, investigate suitable sites, promote basic scientific understanding relating to safety and safety assessment methods, and to develop decision processes that are perceived as fair and equitable by the stakeholders involved.

Justification and European added value

- The absence of a broadly agreed approach for the management and disposal of high level wastes is a major impediment to the winding up of past installations, as well as the continued and further use of nuclear energy

- An agreed approach would have positive implications for cost, safety and security of energy supplies

Existing radioactive wastes need to be managed.

2. Fusion Energy Research

Fusion energy could contribute to the emission-free large-scale production of base-load electricity. The advances made in fusion energy research justify further pursuit of a vigorous effort towards the long-term objective of a fusion power plant.

Justification and European added value

- Need to progress further towards the understanding of fusion plasmas in conditions relevant to a future reactor.

- The exploitation of the facilities, notably JET, which have been constructed with preferential support, would not be adequately possible on a national scale. Until ITER is in operation, JET is the most powerful tool existing in the world to advance in the study of fusion plasmas.

- The EU by presenting itself as a single partner is in a stronger position for participating in an international project like ITER than Member States individually.

- Need for more fundamental studies and training of young scientists in the area fusion.

Role in ensuring dissemination of the results in the Member States.

3. Other activities in the field of nuclear safety

The objectives are to support EU policies in the fields of health, safety and the environment and better integrate European research on nuclear fission and the other uses of ionising radiation.

Justification and European added value

- Improved knowledge of risks at low doses will enable the more cost effective allocation of resources to radiation protection

- A deeper integration is critical to maintaining capabilities in the general context of a mature and/or declining nuclear industry

- Necessity to face important competitors.

- The number of students and institutions offering nuclear education is declining

5.1.2 Measures taken in connection with ex ante evaluation

When preparing the specific programme proposals the Commission services carried out an ex ante evaluation. Its results reflect in particular:

- the recommendations of the five-year assessment of the framework programmes and specific programmes carried out by independent experts in the course of the year 2000;

- the Commission's mid-term review of the fifth framework programme (1998-2002) presented in COM(2000)612 of 4 October 2000 and detailed in Commission staff paper SEC(2000)1780 of 23 October 2000;

- wide-ranging consultations among the protagonists relating to the two communications on the European Research Area in the course of the year 2000 [16] and the framework programme proposal at the beginning of 2001;

[16] COM (2000) 6, 18 January 2000 COM (2000) 612, 4 October 2000.

- a series of internal and external Commission studies relating to economic, political and foresight areas and the impact of RTD activities.

The results of the ex-ante evaluation carried out are reflected in particular in the choices made with regard to the structure of the programmes, the objectives and priorities and the implementing instruments.

The objectives and priorities were selected in accordance with the rigorous application of the criterion of European added value.

This covers the following aspects applied to the priority themes and activities selected, the justification and European added value of which are described in greater detail in point 5.1. and the expected results in point 5.2.:

- Cost and scale of research beyond the possibilities of a single country, and need to assemble a "critical mass" of financial and human resources;

- Importance of collaboration in economic terms (economies of scale) and as a result of its beneficial effects on the private research effort and industrial competitiveness

- Maintenance or development of the position of the EU in RTD areas strategic for the EU

- Need to combine the complementary expertise present in the different countries, more particularly in the face of interdisciplinary problems and the need to have recourse to comparative studies on a European scale

- Links with the priority interests of the EU as well as with Community legislation and policies

- The necessarily transnational nature of the research as the result of the scale on which the problems arise or for scientific reasons.

With regard to the implementing instruments, two main new instruments will be applied in the context of the Euratom programme. By their nature they can only be implemented at Community level. They have been designed to contribute to the establishment of:

- a critical mass needed and the integration of research;

- closer links between the programmes and Member States' activities and coordination of national programmes;

- cooperation in areas strategic for the EU and solutions to major challenges facing the EU;

- the excellence and attractiveness of S&T in Europe;

- dissemination and exploitation of S&T results throughout the EU.

These instruments are:

a) networks of excellence

The purpose of this instrument is to strengthen European scientific and technological excellence. Each network is intended to advance knowledge in a particular area by assembling a critical mass of expertise. Targeted towards long-term objectives, the activities concerned, often multidisciplinary, are not aimed at precise predefined results in terms of products, processes or services but the progressive and lasting integration of research capacities existing in Europe at both national and regional level. To this end, in order to create a virtual centre of excellence the members of the network will implement a joint programme of activities integrating a substantial proportion or even the entirety of their activities in the area concerned.

b) Integrated projects

The purpose of this instrument is to increase European competitiveness or help to resolve major societal problems by mobilising a critical mass of resources and research and technological development expertise existing in Europe. Accordingly, each integrated project will have the aim of obtaining a certain number of precise results in terms of products, processes or services. The activities carried out in the context of an integrated project will by definition be targeted even in the case of risky research. All the activities carried out in the context of an integrated project will fit into the general framework of an "implementation plan".

5.1.3 Measures taken following ex post evaluation

The recommendations of the five-year assessment of the framework programmes and the specific programmes carried out in 2000 have been taken into account in preparing the specific programme proposals, in particular those concerning:

- the need to make up for Europe's trailing position in the field of RTD compared with its competitors;

- the need for complementarity and coherence between national and Community RTD policies and the essential role of the Commission in achieving this objective;

- the beneficial impact of the framework programme which "fills a gap in Europe by enabling researchers in universities and in industry to carry out applied work together";

- the need to lighten the management procedures of the 1998-2002 programme and the need to "rethink the structures and procedures for managing the framework programme";

- placing EU research activities in the broader context of a genuine European research policy;

- more concentrated programmes;

- continuing with the research needed to achieve the objectives of Community policies;

- the desired move towards an adapted range of instruments that are more flexible, taking account of all the possibilities offered by the Treaty.

In addition, the mid-term review of the fifth framework programme has resulted in particular in adjustments to the annual work programmes for the specific programmes, aimed at concentrating efforts to a greater extent and launching pilot projects for the measures envisaged for the next framework programme (networks, clusters, industrial platforms, larger-scale projects, etc.).

5.2. Actions envisaged and means of budget intervention

The actions envisaged for the specific programme on "Nuclear energy" are set out below, presented by detailed action areas. This presentation makes it possible to highlight the estimated results expected, the contributions to the overall objectives of the framework programme or of the Community or potential performance parameters associated with these. These indications are intended as yardsticks and not definitively adopted goals.

A correspondence between the action areas and the types of instruments used is given further on in the form of a table.

1. Treatment and disposal of radioactive waste

i) Research on geological disposal

(Improvement of fundamental knowledge, developing and testing technologies, New and improved tools)

ii) Partitioning and transmutation; new reactor concepts

(Partitioning and transmutation; new reactor concepts)

Expected results, contributions to overall objectives or potential performance parameters

- Sound technical basis for demonstrating the safety of disposing of high level radioactive waste in geological formations

- Evaluation of the practicability, on an industrial scale, of partitioning and transmutation

- Conception of new reactors or fuel cycles with potential for commercial exploitation

2. Fusion Energy Research

i) Association's programme in physics and technology

(R&D in fusion physics and plasma engineering, Structured R&D activities in fusion technology, Investigations of socio-economic aspects)

ii) Exploitation of the JET facilities

iii) Next Step/ITER

Expected results, contributions to overall objectives or potential performance parameters

- Establishment of a framework for ITER construction and operation,

- Starting up of the Next Step / ITER construction,

- Full exploitation of the JET facilities

- Commissioning of the Stellarator W-7-X.

- a deeper assessment of fusion configurations akin to the Tokamak,

- A deeper understanding of the socio-economic background concerning fusion as an energy source.

- Further developing the physics and technology (in particular materials) basis for fusion energy.

3. Other activities in the field of nuclear safety

i) radiation protection

ii) innovative ways of producing nuclear energy

iii) education and training

Expected results, contributions to overall objectives or potential performance parameters

- Improved quantification of low-dose radiation risks

- Development of innovative ways of producing nuclear energy and assessment of their potentials

- Development of a co-operative European programme on education and training in the field of nuclear energy

- Improvement of Community standards providing enhanced health and environmental protection

The means of intervention and financial participation under the framework programme will be as follows, according to the objectives:

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(1) Accompanying actions can also be implemented throughout the specific programme.

(2) Fusion energy research Projects undertaken in the context of shared-cost research and technological development activities are implemented on the basis of procedures set out in:

- contracts of association with Member States and Associated States or organisations in those States,

- the European Fusion Development Agreement (EFDA),

- any other multilateral agreement between the Community and the associated organisations (such as the agreement on the promotion of mobility) or the legal entities which may be set up after consulting the competent advisory committee,

- other contracts of limited duration, notably with organisations in the Member States or Associated States having no association,

- international agreements covering projects carried out in the context of cooperation with third countries such as ITER and by legal entities which may be set up under those agreements.

The setting-up of consortia for integrated projects having a common objective will be encouraged.

The Community's budgetary intervention is aimed at research centres, universities, businesses and national or international bodies situated in the Member States and the European associated states which fund research activities. The latter may also serve as intermediaries for Community budget intervention. Where this proves necessary to achieve the objectives of the programme, international organisations and bodies in the Member States of the CIS may exceptionally receive Community funding. Such funding must be essential in order to achieve the objectives of the programme.

5.3. Means of implementation

The Commission will ensure the implementation of the actions. In certain duly justified cases, it may call upon external bodies for assistance.

6. FINANCIAL IMPACT

6.1. Total financial impact on Part B - (over the entire programming period)

For the record, the reference allocation for the Framework Programme of the European Community is EUR 16 275 million. The total amount for the Framework Programmes 2002-2006 is EUR 17 500 million.

6.1.1 Financial intervention: Commitments in EURmilllion (to three decimal places)

Breakdown by objective

// Total

1) Waste processing and storage // 150

2) Fusion Energy Research // 700

3) Other activities in the field of nuclear safety // 50

TOTAL // 900

An annual schedule for each of these objectives is not significant at this level. It could only be defined as being strictly proportional to that for the entire specific programme, itself in line with that of the framework programme.

The annual internal breakdown will be established subsequently within the work programmes.

6.1.2 Technical and administrative assistance, support expenditure and IT expenditure (Commitment appropriations)

This budget category does not apply in this field.

6.2. Calculation of costs by measure envisaged in Part B (over the entire programming period)

Here too, a breakdown by objective and type of measure cannot be established at this stage, since the outputs from the indirect research actions are research projects resulting from calls for proposals after evaluation, hence the difficulty of quantifying these actions in advance.

7. IMPACT ON STAFF AND ADMINISTRATIVE EXPENDITURE

The ceiling for administrative expenditure on this programme is 16.5% of the EUR900 million planned for this action as a whole.

This particular situation is due to the fact that this programme has 224 research posts at its disposal, costing - for the whole period - 85% of the requested ceiling.

This high number of posts arises out of the mode of operation of the programme, for which 50% of these posts are seconded, either to laboratories in Member States under association agreements or to the ITER project.

Moreover, there were successive redeployments throughout the fifth Framework Programme in order to reduce the staff on the programme and better to balance the staff and the budget for the period 1999-2002.

The programmes other expenditure is quite low owing mainly to the small number of contracts managed. Note that about a third of this other expenditure also relates to the ITER project.

7.1. Impact on human resources

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There is a specific establishment plan for the indirect research actions comprising a total of 954 A posts, 273 B posts and 427 C posts, giving a total of 1654 posts (EC and EURATOM, including SAB 3/2001).

To this establishment plan should be added 166 operating budget posts with no financial impact on the budget for these programmes, under the heading of participation in the formulation and implementation of research policy.

7.2 Overall financial impact of human resources

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The amounts correspond to total expenditure for the duration of the programme.

7.3 Other administrative expenditure deriving from the action

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The amounts correspond to total expenditure for the action for the four years of implementation of this specific programme, i.e. total annual expenditure of EUR37.000 million.

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8. MONITORING AND EVALUATION

8.1 Monitoring system

The specific programmes are designed to help bring about the European Research Area and they will be implemented in parallel with and in close collaboration with other Community and national activities in pursuit of the same objectives. The very nature of research and the different types of actions at different levels make it difficult to determine causes and effects, and monitoring and evaluating the result and impact are complex.

Based on the experience of the earlier programmes and methodological studies in progress, a series of instruments has already been or is being finalised in order to develop the objectives and monitor and evaluate the results and impact of the framework programme and programmes implementing it, as well as the activities relating to bringing about the ERA. The Commission will take stock of the development of these instruments in good time before the programmes are implemented.

By these means, a structured system for collection of information and statistics will be progressively put in place.

Within this context general indicators specifically adapted to the framework programme will be developed, to make it possible to evaluate in particular the contributions of the programmes in relation to the challenges facing the EU identified in point 5.1 (Investment in RTD and in knowledge, overall and in the priority fields for the EU, human RTD resources, exploitation of RTD results, coherence of national and Community research policies and with regard to research infrastructures).

In addition, more specific indicators will be identified for the different objectives of the programmes; relating in particular to the production, management and networking, exploitation and impact of the knowledge arising from the activities carried out under the programmes. First thoughts in this connection are already indicated in point 5.2 under the heading of results expected, contributions to overall objectives or potential performance parameters.

8.2 Arrangements and schedule for the planned evaluation

- Annual monitoring: The Commission will, by calling upon suitable expertise where appropriate, continuously monitor the implementation of the Framework Programme and the specific programmes in the light of the objectives set. It will assess, in particular, whether the objectives, priorities, instruments, financial resources and management are still appropriate to the changing situation.

The objective is to step up and improve the systematic collection, coherence and quality of the basic information, in order to allow efficient analysis and monitoring as well as a substantial contribution to the five-year assessment. In order to make Community research managers more aware of issues relating to the monitoring of the implementationand the results and the impact of the programmes, it is also planned to draw up a joint self-assessment format. In addition, measures will be taken to ensure greater coherence between the monitoring of the framework programme, the specific programmes and progress with the European Research Area.

Annual report: Progress with implementing the Framework Programme and the specific programmes will be published in the annual report submitted to the European Parliament and the Council pursuant to Article 173 of the Treaty. It will set out in particular the results of the annual monitoring, a description of the activities carried out in the field of research and technological development, realisation of the European Research Area and dissemination of results during the preceding year, and the work programme for the current year.

- Five-year assessment: Before submitting its proposal for the next Framework Programme and the specific programmes, the Commission will have an assessment carried out by independent high-level experts of the implementation of Community activities during the five years preceding that assessment, the achievement of the objectives and the impact of the activities in the light of the objectives applicable to the periods in question. The Commission will communicate the conclusions of this assessment, accompanied by its observations, to the European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions.

9. ANTI-FRAUD MEASURES

By submitting reports which may give rise to the consolidation of revenue in the participants' accounts, the financial coordinator should make all the financial documentation available to the Commission to enable it to carry out its financial audits, indicating the timetable and the consolidation of the participants' accounts.

Where appropriate, the Commission will carry out such financial audits, in particular if it has reasons to doubt the realistic nature of the accounts vis-à-vis the progress of work described in the activity reports.

The Community's financial audits will be carried out either by its own staff or by accounting experts approved according to the law of the participant audited. The Community will chose the latter freely, while avoiding any risks of conflicts of interest, which might be indicated to it by the participant subject to the audit.

In addition, the Commission will make sure in carrying out the research activities, that the financial interests of the European Communities are protected by effective checks and, in case of detected irregularities, measures as well as deterrent and proportionate sanctions.

In order to achieve this aim, rules on checks, measures and sanctions, with references to the Regulations Nos 2988/95, 2185/96, 1073/99 and 1074/99 will be taken up in all legal instruments used in the implementation of the programmes, including the specific contracts and model contracts.

In particular, the following points will have to be provided for in the contracts :

- the introduction of specific contractual clauses to protect the financial interests of the EC in carrying out checks and controls in relation to the awards;

- the participation of administrative checks in the field of fraud-fighting, in accordance with Regulations Nos 2185/96, 1073/99 and 1074/99;

- the application of administrative sanctions for all intentional or negligent irregularities in the implementation of the contracts, in accordance with the framework Regulation No 2988/95, including a black-listing mechanism;

- the fact that possible recovery orders in case of irregularities and fraud be enforceable pursuant to Article 164 of the EAEC Treaty.