Proposal for a COUNCIL DECISION adopting a specific programme 2002-2006 for research and training to be carried out by the Joint Research Centre by means of direct actions for the European Atomic Energy Community

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.

2001/0126 (CNS)

Proposal for a COUNCIL DECISION adopting a specific programme 2002-2006 for research and training to be carried out by the Joint Research Centre by means of direct actions for the European Atomic Energy Community

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 C ...

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, 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 [7] (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 and for the dissemination of research results, for the framework programme, adopted by the Council in Decision No..../.../Euratom [8] should apply to this programme.

[8] OJ....

(3) In implementing this programme, emphasis should be given to promoting the mobility and training of researchers, and innovation, in the Community.

(4) For the purpose of implementing the framework programme, it may be appropriate to engage in international co-operation activities, in particular on the basis of Chapter X of the Treaty, with third countries and international organisations. Special attention should be paid to Accession Countries.

(5) Research activities carried out within this programme should respect the 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 needs of JRC's users and Community policies, as well as respecting the objective of protecting the communities financial interests. The research activities carried out under it should be adapted where appropriate to these needs and to scientific and technological developments.

(8) The JRC should implement the research and training activities carried out by means of direct action, in particular the tasks entrusted to the Commission by the Treaty. The Commission should undertake the tasks incumbent upon it in the area of nuclear fission, making use of the technical expertise of the JRC.

(9) The JRC should actively pursue activities in innovation and technology transfer.

(10) In the implementation of this programme, the Board of Governors of the JRC should be consulted by the Commission in accordance with the relevant provisions of Commission Decision 96/282/Euratom of 10 April 1996 on the reorganisation of the JRC [12].

[12] OJ L 107, 30.4.1996, p. 12.

(11) 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.

(12) The Scientific and Technical Committee has been consulted on the scientific and technological content of this specific programme.

(13) The Board of Governors of the JRC has been consulted on the scientific and technological content of this specific programme,

HAS ADOPTED THIS DECISION:

Article 1

1. In accordance with Decision [...] on the framework programme 2002-2006 (hereinafter referred to as "the framework programme"), a specific programme related to direct action of research and training activities to be carried out by the Joint Research Centre (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 [Decision [.../...] / the framework programme], the amount deemed necessary for the execution of the specific programme is EUR 330 million. An indicative breakdown of this amount is given in Annex II to this Decision.

Article 3

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

2. The specific programme shall be implemented in accordance with the specific rules set out in Annex III.

Article 4

1. The Commission shall draw up a work programme for the implementation of the specific programme, which shall be made available to all interested parties, setting out in greater detail the objectives and priorities, the timetable for implementation and the implementation arrangements.

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. For the purposes of implementing the specific programme, the Board of Governors of the JRC shall be consulted by the Commission in accordance with Commission Decision 96/282/Euratom. .

2. The Commission shall regularly inform the Board of Governors of the implementation of this specific programme.

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

The Commission may request the JRC to execute, on the basis of the criterion of mutual benefit, projects with legal entities established in third countries when this contributes effectively to the execution of direct actions.

Article 8

This decision is addressed to the Member States.

Done at Brussels, [...]

For the Council

The President [...]

ANNEX I

SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES AND BROAD OUTLINES OF THE ACTIVITIES

1. Introduction

The Joint Research Centre carries out its mission to provide customer-driven scientific and technical support for the conception, development, implementation and monitoring of European Union policies. It serves the common interest of the Member States while being independent of special interests, private or national.

The JRC's contribution to the framework programme 2002-2006 incorporates recommendations of recent evaluations of the JRC [13] and requirements necessitated by the Reform of the Commission. In particular, it includes

[13] Davignon Report (2000), 5-year assessment of JRC (2000), 1999 JRC Scientific Audit, Prioritisation Audit 2001.

- As strengthened user-orientation.

- Networking activities to create a broad knowledge base and, in the spirit of the European Research Area (ERA), more closely associate Member State laboratories, industry and regulators in the S&T support provided to the EU policies.

- The concentration of activities on selected themes, including training of researchers to maintain nuclear expertise in the EU and its associated member states.

Co-ordination will be assured with the indirect actions under the Euratom specific programme.

It responds to clearly expressed needs and requirements, notably from the Commission services, which have been identified, are updated through systematic and regular contacts [14].

[14] Annual user workshops, interservice group of user DGs, bilateral agreement, etc.

In its domains of competence, the JRC's contribution will aim at establishing synergies with the relevant thematic priorities in the other specific programmes, notably through participation in the indirect action, with a view to add value, when appropriate, to the work carried out therein (e.g. through the comparison and validation of tests and methods or the integration of results for policy-making purpose).

2. Programme Content

2.1 Motivation

JRC's activities in the nuclear area aim to support related Community policies and specific Treaty obligations entrusted to the Commission. Nuclear energy supplies about a third of the Community's electricity and vigilance is still required to ensure a continuation of the Community's outstanding safety record, to maintain efforts to avoid proliferation and to efficiently manage the processing and long-term storage of waste. The Enlargement of the Union together with the needs of safeguarding material arising from the disarmament process or the emergence of new technological developments introduce new challenges.

Focusing its activities in areas where Community involvement is appropriate, the JRC operates where its pan-European identity provides an added-value and where its action is justified by the cross-border aspects of nuclear safety and security or by public concern about the issues: safeguards, non-proliferation, radio-active waste management, reactor safety and radiation monitoring will be the key areas.

The principal objective will be to further develop collaboration through networking, leading to broad consensus on a range of these issues at European and world-level. The application of Safeguards by the Euratom Safeguards Office (ESO) and the IAEA requires R&D support and direct assistance. Special attention will be given to co-operation with future EU Member States. Training activities will be an important component for JRC to help equip the EU with a future generation of scientists with necessary nuclear skills and expertise. Main areas of research activity will therefore be as follows:

- Radio-active waste management and safeguarding nuclear materials.

- Safety of present and innovative reactors, radiation monitoring and medical applications from nuclear research.

2.2. Radio-active waste management and safeguarding nuclear materials

Spent fuel and high level waste treatment and storage

To address the issues of spent nuclear fuels and radio-active waste treatment and management, the JRC will further develop its understanding of fundamental physical, chemical and materials science data on actinides and actinide-containing products. The JRC will continue to provide basic nuclear data (such as elements cross sections, behaviour in extreme conditions) of importance for waste management studies as well as for material and medical sciences.

The basic processes governing the behaviour of irradiated fuel under conditions of interim storage or long term geological disposal will be further investigated.

The JRC will continue to test and evaluate processes to improve the efficient separation (partitioning) of radio-toxic elements from spent fuel and the subsequent reprocessing of the resulting products. This will be carried out with European partners under the transmutation and partitioning programme. Besides this experimental and theoretical approach JRC will pursue and extend its participation in networks with a possible co-ordinating role like in the international working group on fuel design for the accelerator driven systems.

Nuclear Safeguards

The safeguards work will provide direct support to the inspectorates (ESO and IAEA) and to operators and will undertake related underpinning research to prepare for future demands including continuous improvements of safeguards activities to adapt to political context, in particular changes in verification regimes, and technological evolution. The activity includes the development and assessment of instrumentation in the areas of destructive and non-destructive assays; provision of certified reference materials, containment and surveillance, training of inspectors and the upgrading and operation of on-site laboratories. JRC will continue to be the focus point of the European Safeguards Research and Development Association (ESARDA) network.

The strengthening of the safeguard regime is increasingly reliant on information technologies to improve efficiency and to carry out new measures. JRC will pursue its efforts in developing environmental monitoring, satellite monitoring, and innovative data and information management systems as well as improved communications and remote surveillance techniques that enable certain safeguards activities to be performed remotely from headquarters. Synergy with the work performed by JRC in the area of anti-fraud will be further developed.

The JRC will continue to support the transfer of the technological "acquis communautaire" in the safeguards area to the Applicant Countries.

The JRC is closely involved in the international efforts to detect clandestine activities and to combat the illicit trafficking of nuclear materials. Nuclear forensic science will be further developed.

From nuclear safeguards to non-proliferation of weapons of mass destruction

The JRC will support the non-proliferation by adapting specialised know-how and techniques used for nuclear safeguards that may also potentially support verification regimes of nuclear and other weapons for mass destruction.

2.3 Safety of present and innovative reactors, radiation monitoring and medical applications from nuclear research

Safety of present and innovative reactors

The high safety level of plants within the EU must be maintained, in particular for reactors to be operated for a further 10-50 years. The JRC will continue supporting safety authorities and nuclear plant operators by networking on ageing, damage detection, in-service inspection, structural integrity assessment and production of fundamental neutron data. Accident analysis and management, validation of codes, systems' analysis, and risk-informed methods development are traditional JRC competencies, which are important both for EU harmonisation and in view of enlargement. Support to the PHEBUS programme will continue. Retrieval of experimental data and their archiving for easy availability will be supported.

Development of a common safety culture in Central & Eastern European Countries is a further area for JRC support; this includes operational safety measures and plant upgrading, structural integrity, accident prevention and management.

On the safety of nuclear fuel, JRC will concentrate on mechanical and chemical interactions at the fuel/cladding interface and on fuel behaviour at high burn-up. The TRANSURANUS fuel performance codes will continue to be extended with new data and training of users, including scientists from Eastern European countries.

Together with industry and R&D institutions, the JRC will contribute to the analysis and evaluation of several safety features of new energy production systems, currently under investigation in several countries.

Radiation monitoring

Research into understanding how to protect the citizen and the environment against the effects of ionising radiation requires reliable dosimetry as a basis. The JRC's long-standing expertise in radio-protection and its reference laboratory for radionuclide metrology will be used to develop further skills and various nuclear measurements.

The radionuclide metrology activity includes new networks, which will provide support to nuclear safety together with food, chemical and environmental safety (with the detection of radioactivity traces and speciation). Efforts will focus on reference radionuclide metrology and on monitoring of low radiation levels.

Medical applications from nuclear research

A number of nuclear technologies of importance for medical applications have resulted from JRC's nuclear facilities and expertise. These emerge from research on new isotope production, development of clinical reference materials and support to diagnostic and therapeutic tools. The JRC will improve the co-ordination of such activities throughout Europe through networking with universities, nuclear research facilities, research centres, European medical associations and the pharmaceutical industry.

ANNEX II

INDICATIVE BREAKDOWN OF THE AMOUNT

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[15] Of which approximately 6% may be allocated to exploratory research and up to 2% for exploitation of own JRC results and technology transfer.

[16] This total includes the JRC's budget contribution necessary for its participation in indirect actions.

ANNEX III

SPECIFIC RULES FOR IMPLEMENTING THE PROGRAMME

1. The Commission, after consulting the Board of Governors of the JRC, shall implement the direct action on the basis of the scientific objectives and contents described in Annex I. The activities relating to this action shall be performed in the relevant institutes of the Joint Research Centre (JRC).

2. In the implementation of its activities, the JRC will, whenever appropriate and feasible, participate in or organise networks of public and private laboratories in the Member States or European research consortia in the support of the European policy making process. Particular attention shall be paid to co-operation with industry, especially with small and medium-sized enterprises. Research bodies established in third countries may also co-operate on projects, in accordance with the relevant provisions of Article 6 and, where applicable, of agreements for scientific and technological co-operation between the Community and the third countries concerned. Particular attention will be paid to co-operation with research laboratories and institutes in the Candidate countries and countries of Central and Eastern Europe and the former Soviet Union.

It will also use appropriate mechanisms to continuously identify the requirements and needs of its customers and users and to involve them in the related activities.

3. The knowledge gained through implementation of the projects will be disseminated by the JRC itself (taking into account possible limitations due to confidentiality issues).

4. The accompanying measures shall include:

- the organisation of the visits of JRC staff to national laboratories, industrial laboratories and universities,

- the promotion of mobility of young scientists, particularly from the Candidate countries,

- specialised training with the emphasis on the nuclear expertise and the nuclear safety culture in the European Union,

- the organisation of visits to JRC institutes of visiting scientists and seconded national experts, particularly from the Candidate countries,

- systematic exchange of information, through, inter alia, the organisation of scientific seminars, workshops and colloquiums and scientific publications,

- the independent scientific and strategic evaluation of the performance of the projects and programmes.

FINANCIAL STATEMENT

Policy area(s): RESEARCH

Activity(ies): Direct Action

Title of action:

Proposal for a Council Decision adopting a specific programme for research and training to be carried out by the Joint Research Centre by means of direct actions for the European Atomic Energy Community (2002 to 2006)

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

B6-111: Persons associated with the institution

B6-121: Resources

B6-3: Joint Research Centre - Direct Operating Appropriations - EAEC framework

programme (2002 TO 2006)

2. OVERALL FIGURES

2.1 Total allocation for action (Part B): 330 EUR million for commitment

2.2 Period of application:

2002 to 2006

2.3 Overall multiannual estimate on 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)

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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 the 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 [17]:

[17] For further information see a separate guidance paper

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

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

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3. BUDGET CHARACTERISTICS

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4. LEGAL BASIS

Articles 7 and 8 of the Treaty establishing the European Atomic Energy Community (Euratom).

Council Decision .../../Euratom adopting the 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 (OJ L ...).

5. DESCRIPTION AND GROUNDS

5.1 Need for Community intervention [18]

[18] For further information see a separate guidance paper

5.1.1 Objectives pursued

The JRC's mission is to provide scientific and technical support for the formulation, implementation and monitoring of EU policies. As a service of the European Commission, the JRC functions as a reference centre of science and technology for the Union. Close to the policy-making process, it serves the common interest of the Member States while remaining independent of commercial or national interests.

Nuclear energy continues to supply about a third of Europe's electricity, and vigilance is still required to ensure a continuation of Europe's outstanding safety record, to maintain efforts to avoid proliferation and to efficiently manage the processing and long-term storage of waste. New challenges include a reactor population whose average age is increasing, an enlargement of the Union to include countries with a different safety culture, and the coming into safeguards of material arising from the disarmament process.

The principal objective will be to further develop collaboration through networking leading to broad consensus on a range of these issues at European and world-level. The application of Safeguards by the Euratom Safeguards Office (ESO) and the IAEA requires R&D support and direct assistance. Special attention will be given to co-operation with future EU Member States. Training activities will be an important component for JRC to help equip the EU with a future generation of scientists with necessary nuclear skills and expertise.

5.1.2 Measures taken in connection with evaluation

The JRC programme is regularly reviewed through scientific audits and the 5-year-assessments. Annual programme presentations to the other services of the Commission are organised. A high level user group composed by representative of customer Commission's DGs has been set up with a view to establishing and reviewing priorities in close connection with policy needs.

The Scientific Audit of the JRC Institutes, launched in 1999, was designed to provide early advice and feedback to the JRC management on the scientific standing of the institutes, and an assessment of their scientific strengths and weaknesses, both in terms of staff and other resources, for the implementation of the new programme. The chief objective was to ensure that the execution of the framework programme 1998-2002 could be performed with the requisite scientific quality. The Scientific Audit's overall conclusions confirmed the soundness of JRC's scientific strategies and the validity of its new mission:

"The Audit Team considers the development of the JRC nuclear a true success story and sees in its excellent networking practices a clear and leading example of subsidiarity and leadership to be expected of a European research institution."

The 5-Year-Assessment (5YA) exercise, input required by legislation before the tabling by the Commission of proposal for the framework programme 2002-2006, was carried out in 2000. Given that scientific issues had already been addressed in the Scientific Audit, the main focus of the 5YA was the management aspects of the JRC activities, the impact of the JRC support to the EU policies, and the delivered results in relation to the adopted programmes. The resulting recommendations were dominated by the overriding statement that the new mission of the JRC must be maintained and its implementation assured in all aspects and consequences:

"The important work of the JRC in the nuclear domain on safeguarding, plant safety and on the safe and acceptable management of waste must not be allowed to decline in view of the European Union's 30% nuclear energy production."

In January 2000, Research Commissioner Philippe Busquin established a High Level Panel chaired by Viscount Etienne Davignon, with the task to review and to make recommendations on the workings of the JRC. The Davignon Report was issued in July 2000. The High Level Panel endorses the mission assigned to the JRC by the 5th RTD Framework Programme and finds that it has a clear long-term role. It proposes opening it up to the other Community institutions and contains a number of organisational suggestions. It recommends that the JRC should not dissipate its efforts, but should do more to focus its activities, promote intense networking with other European centres of excellence and attaches particular importance to nuclear activities.

Finally, in July 2000 the Commission's Peer Group, appointed earlier in the year to make a political overview of the Institution's activities and bring them in line with the human resources it had available, published a report in which a series of actions were identified.

In response to the various evaluations, the JRC has undertaken a strategy for concentrating its activities into some core competence areas and has identified possible reduction of activities across its structure with the launch of an Activity Prioritisation Audit, the results of which have been published internally on April 2, 2001. An interservice consultation is being prepared in view of a Communication to the Commission that should disseminate the results of this evaluation to the rest of the Commission services.

5.2 Actions envisaged

The JRC programme forms part of the framework programme, which meets the objectives set out in Articles 7 and 8 of the Euratom Treaty.

The JRC's participation in the field of action covered by this proposal is commensurate with its capabilities and attributes and complies with the principle of subsidiarity.

The target population is Europe's scientific and industrial community and that concerned with the various sectoral policies of the Commission in which the JRC is required to provide its support.

This research and training programme is structured around two major areas:

(a) Radio-active waste management and safeguarding nuclear materials

Spent fuel and high level waste treatment and storage

To address the issues of spent nuclear fuels and radio-active waste, the JRC will further develop the characterisation of actinides and actinide-containing products, and will continue to provide basic nuclear data.

The basic processes governing the behaviour of irradiated fuel under conditions of direct long-term disposal will be investigated with priority.

The JRC will continue to test and evaluate processes of efficient separation and burning (partitioning and transmutation) of radio-toxic elements from spent fuel.

Euratom and IAEA Safeguards

The safeguards of nuclear materials include services to the Safeguards Inspectorates (ESO and IAEA) and related underpinning research.

The JRC will continue to support the transfer of technology for Euratom Safeguards applications in the Applicant Countries.

Nuclear forensic science will be further developed to detect clandestine activities and to combat the illicit trafficking of nuclear materials.

Support to non-proliferation of weapons of mass destruction will benefit from the JRC experience, in the nuclear and other fields, to support the fundamental objectives of the Union's security policy.

(b) Safety of present and innovative reactors, radiation monitoring and medical applications from nuclear research

Safety of present and innovative reactors

The high safety level of existing nuclear plants within the EU must be maintained. The JRC will continue, through well-established networks, to work on fuel safety, ageing, damage detection, in-service inspection, structural integrity and assessment, accident analysis and management (support to PHEBUS), validation of codes, systems' analysis and risk-informed methods. Development of a common safety culture in Central & Eastern European Countries is a further area for JRC support.

Together with industry and R&D institutions, the JRC will contribute to the analysis and evaluation of safety and security features of new energy production systems, currently under investigation in several countries.

Radiation monitoring

The JRC's long-standing expertise in radio-protection and its advanced laboratory for radioactivity measurements will be used to develop traces detection and analysis methods, dosimetric skills and various nuclear reference measurements.

Medical applications from nuclear research

A number of nuclear technologies of importance for medical applications have resulted from JRC's nuclear facilities and expertise. These emerge from research on new isotope production, development of clinical reference materials and support to new cancer therapies. The JRC will improve the co-ordination of such activities throughout Europe through networking with universities, research centres, European medical associations and the pharmaceutical industry.

5.3 Methods of implementation

Direct Action of the JRC institutes:

- Institute for Advanced Materials (IAM)

- Institute for Transuranium Elements (ITU)

- Institute for Reference Materials and Measurements (IRMM)

- Institute for Systems, Informatics and Safety (ISIS)

6. FINANCIAL IMPACT

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

(The method of calculating the total amounts set out in the table below must be explained by the breakdown in Table 6.2. )

6.1.1 Financial intervention

Commitments in EUR million (to the 3rd decimal place)

>TABLE POSITION>

6.2 Calculation of costs by measure envisaged in Part B (over the entire programming period) [19]

[19] For further information see a separate guidance paper

(Where there is more than one action, give sufficient detail of the specific measures to be taken for each one to allow the volume and costs of the outputs to be estimated. ).

Commitments in EUR million (to the 3rd decimal place)

>TABLE POSITION>

If necessary explain the method of calculation

7. IMPACT ON STAFF AND ADMINISTRATIVE EXPENDITURE

7.1 Impact on human resources

>TABLE POSITION>

In 2002, the JRC will have a single staff table of 1,902 posts distributed as follows: 733 A-posts, 595 B-posts, 537 C-posts and 37 D-posts [20]. The staff is managed as a single group: staff can be put allocated to both nuclear and non-nuclear activities. The ratio of nuclear to total staff is variable during the period of execution of the framework programme. This ratio is of the order of 1/3. A relatively large number of short-term scientific posts are also financed as non-statutory staff (about 200). Their status can be grantholders, scientific visitors, national experts on secondment...

[20] This compares with the current (2001) staff table of 2080 posts. As in the past this envelope of statutory posts constitutes a separate staff table and represents the maximum statutory staff, which may be engaged. However the number of staff employed in practice depends on the availability of financial resources (institutional credits, competitive income and other possible sources of revenue).

7.2 Overall financial impact of human resources

>TABLE POSITION>

The amounts are total expenditure for twelve months.

The different resources: staff, material, specific credits are distributed to remain within the given envelope. The staff credits have been allocated after taking the minimum needs for infrastructure into account and deciding on a minimum level of specific credits for the execution of projects and for networking. The staff budget is reduced compared to that of the fifth framework programme 1998-2002 and a significant staff reduction (150 posts) is necessary. This reduction will depend on the evolution of salaries during the period 2003-2006 and of the evolution of the required competencies: ratio between A/B/C/D staff.

7.3 Other administrative expenditure deriving from the action

>TABLE POSITION>

The amounts are total expenditure for twelve months.

(1) Specify the type of committee and the group to which it belongs.

I. Annual total (7.2 + 7.3)

II. Duration of action

III. Total cost of action (I x II) // EUR

Years

EUR

(In the estimate of human and administrative resources required for the action, DGs/Services must take into account the decisions taken by the Commission in its orientation debate and when adopting the preliminary draft budget (PDB). This means that DGs must show that human resources can be covered by the indicative pre-allocation made when the PDB was adopted.

Exceptional cases, where the action concerned could not be foreseen when the PDB was being prepared, will have to be referred to the Commission for a decision on whether and how (by means of an amendment of the indicative pre-allocation, an ad hoc redeployment exercise, a supplementary/amending budget or a letter of amendment to the draft budget) implementation of the proposed action can be accepted.)

8. FOLLOW-UP AND EVALUATION

Each year, with the help of appropriately qualified independent experts, the Commission will examine the implementation of specific programme 2002-2006. It will, in particular, assess whether the objectives, priorities and financial resources are still appropriate to the changing situation. Where appropriate, it will submit proposals to adapt or supplement the specific programme 2002-2006.

The Commission produces an annual report on the activities of the Joint Research Centre. These reports are sent to the European Parliament, the Council and the Economic and Social Committee.

9. ANTI-FRAUD MEASURES

When the implementation of the programme calls for the use of external contractors or implies granting financial contributions to third parties, the Commission will carry out, where appropriate, financial audits, in particular if it has reasons to doubt the realistic nature of work performed or 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 audited party. The Community will chose the latter freely, while avoiding any risks of conflicts of interest which might be indicated to it by the party 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 No 2988/95,02185/96, 1073/99 and 1074/99 will be taken up in all contracts used in the implementation of the programme.

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 work performed;

- the participation of administrative checks in the field of fraud-fighting, in accordance with Regulations No 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 according to Article 164 of the EAEC Treaty.

In addition and as routine measures, an internal audit and control programme in respect of scientific and budgetary aspects, will be carried out by the JRC staff responsible; internal audit carried out by the JRC Internal audit Unit; and local inspections by this Unit and the Court of Auditors.