Proposal for a COUNCIL REGULATION on the Research and Training Programme of the European Atomic Energy Community (2014-2018) complementing the Horizon 2020 – The Framework Programme for Research and Innovation
Date: 2011-11-30
Institutions: European Commission
Subjects: EU financing, EU research policy, Framework Programme for Research and Development, nuclear research, nuclear safety, nuclear technology, public-private partnership, scientific cooperation, small and medium-sized enterprises, technical cooperation

EUROPEAN COMMISSION 

Brussels, 30.11.2011 
COM(2011) 812 final 

2011/0400 (NLE) 

Proposal for a 

COUNCIL REGULATION 

on the Research and Training Programme of the European Atomic Energy Community 
(2014-2018) complementing the Horizon 2020 – The Framework Programme for 
Research and Innovation 

{SEC(2011) 1427} 
{SEC(2011) 1428} 

 
 
  
 
EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

The  proposed  Euratom  Research  and  Training  Programme  (2014-2018),  hereinafter  the 
‘Euratom Programme’, concerns research activities in nuclear energy (fusion and fission) and 
radiation  protection.  The  proposal  is  an  integral  part  of  Horizon  2020,  the  Framework 
Programme  for  Research  and  Innovation.  It  determines  the  overall  budget  for  direct  and 
indirect  actions,  sets  the  objectives  of  R&D  activities  and  specifies  the  instruments  for 
supporting them.  

The  proposal  takes  the  form  of  a  single  Regulation  covering  all  relevant  aspects  for  the 
implementation  of  research  activities  in  the  above  fields,  setting  the  scientific  and 
technological  objectives  and  laying  down  appropriate  rules  for  the  participation  of  research 
organisations,  universities  and  industry.  It  will  cover  the  fusion  energy  research  and 
development programme, the fission and radiation protection research activities, and the JRC 
direct actions in nuclear security and safety. 

The  proposal  will  therefore  ensure  that  Union-funded  research  and  training  activities  in 
nuclear science and technology are continued over the years 2014-18, thereby maintaining the 
effective and efficient programmes that currently catalyse and coordinate activities in Member 
States, in order to maximise Union added value.  

By  supporting  the  above  priorities,  the  Euratom  Programme  (2014-2018)  will  contribute  to 
the  three  strategic  objectives  outlined  in  the  Horizon  2020  Framework  Programme  for 
Research  and  Innovation,  namely:  excellent  science,  industrial  leadership  and  societal 
challenges. . Accordingly, appropriate links and interfaces between the Euratom Programme 
and the Horizon 2020 Framework Programme will be maintained. 

The proposed Euratom Programme is clearly linked to the objectives of the Europe 2020 and 
Energy  2020  strategies.  The  programme  will  contribute  to  the  ‘Innovation  Union’  flagship 
initiative  by  supporting  pre-commercial  and  policy-relevant  research  and  facilitating 
technology transfer between academia and industry. By putting emphasis on training in all its 
activities, boosting competitiveness in the existing nuclear industry and creating a new sector 
of  high-tech  industry  for  fusion  energy  in  particular,  the  Euratom  Programme  will  lead  to 
growth and new jobs in a wide range of disciplines.  

The  Euratom  Treaty  limits  the  duration  of  research  programmes  in  the  nuclear  field  to  5 
years.1 The proposed legislation will therefore expire at the end of 2018.  

ITER is addressed in a separate Decision, as the funding for this project will be outside the 
Multiannual  Financial  Framework,  in  line  with  the  Communication  ‘A  Budget  for  Europe 
2020’ (COM(2011)500 of 29.6.2011).  

The  Euratom  Programme  (2014-2018)  is  implemented  through  a  single  Regulation,  laying 
down all the necessary provisions for the implementation of nuclear research activities. This 
new approach is in contrast with the previous programming periods, where the content of the 
present  Regulation  used  to  be  covered  by  four  different  legislative  acts  (three  Decisions 

1 

Euratom Treaty, Article 7 

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respectively on the Framework Programme, the Specific Programme for indirect actions and 
the Specific Programme for the JRC direct actions, as well as a Regulation laying down the 
Rules  for  the  Participation  of  undertakings,  research  centres  and  universities  and  for  the 
dissemination of research results). 

The  Regulation  equally  addresses  the  objective  of  simplification  by  referring  to  the  same 
participant guarantee fund as in the Horizon 2020 Framework Programme.  

Furthermore,  the  Euratom  Programme  (2014-2018)  puts  forward  a  major  simplification  of 
funding  rules  as  well  as  a  revised  control  strategy,  thereby  supporting  the  overall 
simplification objective. 

2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENTS 

The preparation of the Euratom Programme proposal took full account of the responses to an 
extensive  public  consultation  based  on  the  Green  Paper  'From  Challenges  to  Opportunities: 
Towards  a  Common  Strategic  Framework  for  Union  research  and  innovation  funding'2. 
Additional consultations were organised with the objective of discussing the energy challenge 
in  the  future  research  programme  with  representatives  of  governments  and  a  wide  range  of 
stakeholders from industry, academia and civil society, covering both nuclear and non-nuclear 
issues.  The  Commission  has  also  taken  into  account  the  results  of  the  discussions  that  took 
place  in  the  Council,  the  European  Parliament  and  the  European  Economic  and  Social 
Committee on the proposal for the Euratom Framework Programme for 2012-2013. 

The  proposal  also  relies  on  an  in-depth  impact  assessment,  drawing  on  stakeholder 
consultations and internal and external evaluations. The assessment found that the challenges 
of  nuclear  safety  and  diminishing  nuclear  skills  in  Europe  can  be  tackled  effectively  by 
exploiting synergies between the research efforts of Member States and the private sector, and 
between scientific disciplines and technological sectors. Action at Union-level can strengthen 
the  research  and  innovation  framework  in  the  nuclear  field  and  coordinate  Member  States’ 
research efforts thereby avoiding duplication, retaining critical mass in key areas and ensuring 
that public funding is used to best effect. An Union-level programme can also undertake the 
high  risk  and  long-term  R&D  programme  in  fusion  energy,  thereby  sharing  the  risk  and 
generating a breadth of scope and economies of scale that could not otherwise be achieved. 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

The legal basis for  this Framework Programme is provided for by  Article 7  of the Euratom 
Treaty.  

4. 

BUDGETARY IMPLICATION 

The budget of the proposal is presented in current prices. The 'legislative financial statement' 
attached  to  this  proposal  sets  out  the  budgetary  ,  human  and  administrative  resource 
implications. 

2 

COM(2011)48 

EN 

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2011/0400 (NLE) 

Proposal for a 

COUNCIL REGULATION 

on the Research and Training Programme of the European Atomic Energy Community 
(2014-2018) complementing the Horizon 2020 – The Framework Programme for 
Research and Innovation 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Atomic  Energy  Community, 
(hereinafter the ‘Euratom Treaty’), and in particular the first paragraph of Article 7 thereof, 

Having regard to the proposal from the European Commission, 

Having regard to the opinion of the European Parliament3, 

Having regard to the opinion of the European Economic and Social Committee4,  

Whereas: 

(1) 

(2) 

(3) 

One  of  the  aims  of  the  European  Atomic  Energy  Community  (hereinafter  the 
‘Community’) is to contribute to the raising of the standard of living in the Member 
States by, inter alia, promoting and facilitating nuclear research in the Member States 
and complementing it by carrying out a Community research and training programme. 

Nuclear research can contribute to social and economic prosperity and environmental 
sustainability  by  improving  nuclear  safety,  security  and radiation  protection.  Equally 
important  is  the  contribution  of  nuclear  research  to  the  long-term  decarbonisation  of 
the energy system in a safe, efficient and secure way.  

By  supporting  nuclear  research  the  Research  and  Training  Programme  of  the 
Community  (hereinafter  the  ‘Euratom  Programme’)  will  contribute  to  achieving 
objectives of the ‘Horizon 2020’ Framework Programme for Research and Innovation 
established  by  Regulation  (EU  XX/XXXX  of  [….]5  (hereinafter  ‘Horizon  2020 
Framework  Programme’)  and  facilitate  implementation  of  the  Europe  2020  strategy 
and the creation and operation of the European Research Area.  

(4) 

Notwithstanding  the  potential  impact  of  nuclear  energy  on  energy  supply  and 
economic  development,  severe  nuclear  accidents  may  have  the  potential  to  endanger 
human  health.  Therefore,  nuclear  safety  and,  where  appropriate,  security  aspects 

3 
4 
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OJ C , , p. . 
OJ C , , p. . 
OJ L […] 

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(5) 

(6) 

(7) 

(8) 

(9) 

should be given the greatest possible attention in the Euratom Research and Training 
Programme. 

As all Member States have nuclear installations or make use of radioactive materials 
particularly  for  medical  purposes,  the  Council  has  recognised  in  its  conclusions  of  2 
December  20086  the  continuing  need  for  skills  in  the  nuclear  field,  in  particular 
through  appropriate  education  and  training  linked  with  research  and  coordinated  at 
Community level. 

By  signing  the  Agreement  on  the  Establishment  of  the  ITER  International  Fusion 
Energy  Organisation  for  the  Joint  Implementation  of  the  ITER  Project7,  the 
Community  has  undertaken  to  participate  in  ITER  construction  and  its  future 
exploitation.  The  Community  contribution  is  managed  through  the  ‘European  Joint 
Undertaking  for  ITER  and  the  Development  of  Fusion  Energy’  (hereinafter  ‘Fusion 
for  Energy’),  established  by  Council  Decision  of  27  March  20078. The  activities  of 
Fusion for Energy, including ITER, are to be regulated by a separate legislative act.  

For fusion to become a credible option for commercial energy production, it is, firstly, 
necessary  to  successfully  and  timely  complete  the  construction  of  ITER  and  start  its 
operation.  Secondly  it  is  necessary  to  establish  an  ambitious,  yet  realistic  roadmap 
towards  the  production  of  electricity  by  2050.  Reaching  those  goals  requires  the 
European fusion programme to be redirected. A stronger focus should be placed on the 
activities  in  support  to  ITER.  Such  rationalisation  should  be  achieved  without 
jeopardising the European leadership of the fusion scientific community. 

The  Joint  Research  Centre  (JRC)  should  continue  to  provide  independent  customer-
driven  scientific  and  technological  support  for  the  formulation,  development, 
implementation  and  monitoring  of  Community  policies,  in  particular  in  the  field  of 
nuclear safety and security research and training. 

The  Joint  Research  Centre  should  continue  to  generate  additional  resources  through 
competitive  activities,  including  participation  to  the  indirect  actions  of  the  Euratom 
Programme,  third  party  work  and,  to  a  lesser  extent,  the  exploitation  of  intellectual 
property 

(10)  While  it  is  for  each  Member  State  to  choose  whether  or  not  to  make  use  of  nuclear 
power, the role of the Union is to develop, in the interest of all its Member States, a 
framework to support joint cutting-edge research, knowledge creation and knowledge 
preservation on nuclear fission technologies, with special emphasis on safety, security, 
radiation  protection  and  non-proliferation.  That  requires  independent  scientific 
evidence, to which the JRC can make a key contribution. That has been recognised in 
the Commission Communication ‘Europe 2020 Flagship Initiative Innovation Union’9, 
in  which  the  Commission  stated  its  intention  to  strengthen  scientific  evidence  for 
policy  making  through  the  JRC.  The  JRC  proposes  to  respond  to  that  challenge  by 
focusing its nuclear safety and security research on the Union's policy priorities. 

6 
7 
8 
9 

Council Conclusions of 2 December 2008 on the need for skills in the nuclear field (15406/08). 
OJ L358, 16.12.2006, p.62 
OJ L 90, 30.03.2007 
COM(2010) 546 final, 6.10.2010.  

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(11)  With  the  aim  of  deepening  the  relationship  between  science  and  society  and 
reinforcing  public  confidence  in  science,  the  Euratom  Programme  should  favour  an 
informed engagement of citizens and civil society on research and innovation matters 
by promoting science education, by making scientific knowledge more accessible, by 
developing  responsible  research  and  innovation  agendas  that  meet  citizens'  and  civil 
society's  concerns  and  expectations  and  by  facilitating  their  participation  in  the 
Euratom programme activities.  

(12)  The  implementation  of  the  Euratom  Programme  should  respond  to  the  evolving 
opportunities  and  needs  from  science  and  technology,  industry,  policies  and  society. 
As such, the agendas should be set in close liaison with stakeholders from all sectors 
concerned, and sufficient flexibility should be allowed for new developments. External 
advice  should  be  sought  on  a  continuous  basis  during  the  Euratom  Programme,  also 
making use of relevant structures such as European Technology Platforms. 

(13)  The  Euratom  Programme  should  contribute  to  the  attractiveness  of  the  research 
profession in the Union. Adequate attention should be paid to the European Charter for 
Researchers and Code of Conduct for the Recruitment of Researchers10, together with 
other relevant reference frameworks defined in the context of the European Research 
Area, while respecting their voluntary nature.  

(14)  The  activities  developed  under  the  Euratom  Programme  should  aim  at  promoting 
equality  between  men  and  women  in  research  and  innovation,  by  addressing  in 
particular the underlying causes of gender imbalance, by exploiting the full potential 
of both female and male researchers, and by integrating the gender dimension into the 
content  of  projects  in  order  to  improve  the  quality  of  research  and  stimulate 
innovation. Activities should also aim at the implementation of the principles relating 
to the equality between women and men as laid down in Articles 2 and 3 of the Treaty 
on  European  Union  and  Article  8  of  the  Treaty  on  the  Functioning  of  the  European 
Union (TFEU). 

(15)  Research  and  innovation  activities  supported  by  the  Euratom  Programme  should 
respect fundamental ethical principles. The opinions of the European Group on Ethics 
in  Science  and  New  Technologies  should  be  taken  into  account.  Research  activities 
should also take into account Article 13 of the TFEU and reduce the use of animals in 
research  and  testing,  with  a  view  to  ultimately  replacing  animal  use.  All  activities 
should be carried out ensuring a high level of human health protection. 

(16)  A greater impact should also be achieved by combining the Euratom Programme and 
private sector funds within public-private partnerships in key areas where research and 
innovation  could  contribute  to  Union’s  wider  competitiveness  goals.  Particular 
attention should be given to the involvement of small and medium-sized enterprises. 

(17)  The  Euratom  Programme  should  promote  cooperation,  in  particular  in  the  field  of 

safety, with third countries based on common interest and mutual benefit. 

(18) 

In  order  to  maintain  a  level  playing  field  for  all  undertakings  active  in  the  internal 
market,  funding  provided  by  the  Euratom  Programme  should  be  designed  in 

10 

C(2005) 576 final, 11.3.2005 

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accordance with state aid rules so as to ensure the effectiveness of public spending and 
prevent  market  distortions  such  as  crowding-out  of  private  funding,  creating 
ineffective market structures or preserving inefficient firms. 

(19)  The  need  for  a  new  approach  to  control  and  risk  management  in  Union  research 
funding was recognised by the European Council of 4 February 2011, asking for a new 
balance  between  trust  and  control  and  between  risk-taking  and  risk  avoidance.  The 
European  Parliament,  in  its  Resolution  of  11  November  2010  on  simplifying  the 
implementation of the Research Framework Programmes11, called for a pragmatic shift 
towards administrative and financial simplification and stated that the management of 
Union  research  funding  should  be  more  trust-based  and  risk-tolerant  towards 
participants. 

(20)  The  financial  interests  of  the  Union  should  be  protected  through  proportionate 
measures  throughout  the  expenditure  cycle,  including  the  prevention,  detection  and 
investigation of irregularities, the recovery of funds lost, wrongly paid or incorrectly 
used and, where appropriate, penalties. A revised control strategy, shifting focus from 
minimisation  of  error  rates  towards  risk-based  control  and  fraud  detection,  should 
reduce the control burden for participants. 

(21) 

It is important to ensure sound financial management of the Euratom Programme and 
its implementation in the most effective and user-friendly manner possible, while also 
ensuring  legal  certainty  and  accessibility  of  the  programme  to  all  participants.  It  is 
necessary to ensure compliance with Council Regulation (EU) No XXXX/2012 [New 
Financial  Regulation]12  and  with  the  requirements  of  simplification  and  better 
regulation.  

(22)  To  ensure  the  most  efficient  implementation  possible,  and  easy  access  for  all 
participants through simplified procedures, and to achieve a coherent, comprehensive 
and  transparent  framework  for  participants,  the  participation  in  the  Euratom 
Programme  and  the  dissemination  of  research  results  should  be  subject  to  the  rules 
applicable  to  the  ‘Horizon  2020’  Framework  Programme,  as  set  out  in  Regulation 
(EU) No XX/XXXX [Rules for participation] with certain adaptations.  

(23) 

It  is  important  to  continue  to  facilitate  the  exploitation  of  intellectual  property 
developed by participants while protecting the legitimate interests of other participants 
and the Community in accordance with Chapter 2 of the Euratom Treaty. 

(24)  The  Participant  guarantee  funds,  managed  by  the  Commission  and  established 
pursuant to Council Regulation (Euratom) No 1908/2006 of 19 December 2006 laying 
down the rules for the participation of undertakings, research centres and universities 
in action under the Seventh Framework Programme of the  European Atomic  Energy 
Community  and  for  the  dissemination  of  research  results  (2007  to  2011)13  and 
Regulation  (Euratom)  No  XX/XX  of  [...]  laying  down  the  rules  for  participation  of 
undertakings,  research  centres  and  universities  in  indirect  actions  under  the 
Framework  Programme  of  the  European  Atomic  Energy  Community  and  for  the 

11 
12 
13 

INI/2010/2079  
OJ […] 
OJ L 400, 30.12.2006, p. 1. 

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dissemination  of  research  results  (2012-2013)14  have  proved  to  be  an  important 
safeguard mechanism which mitigates the risks associated to the amounts due and not 
reimbursed  by  defaulting  participants.  The  Participant  guarantee  fund  established 
pursuant to Regulation (EU) No XX/2012 [Rules for participation and dissemination] 
should  also  cover  actions  under  Regulation  (Euratom)  No  1908/2006,  Regulation 
(Euratom)  No  XX/XX  [Euratom  Rules  for  participation  (2012-2013)]  and  this 
Regulation. 

(25)  Article  7  of  the  Euratom  Treaty  entrusts  the  Commission  with  the  responsibility  of 
carrying out the Euratom Programme. For the purposes of implementing the Euratom 
Programme,  except  its  direct  actions,  the  Commission  should  be  assisted  by  a 
consultative  committee  of  Member  States  to  ensure  appropriate  coordination  with 
national policies in the areas covered by this research and training programme. 

(26)  Achievement  of  the  Euratom  Programme’s  objectives  in  relevant  areas  requires 
support  for  cross-cutting  activities,  both  within  the  Euratom  Programme  and  jointly 
with the activities of the ‘Horizon 2020’ Framework Programme.  

(27)  Effective  performance  management,  including  evaluation  and  monitoring,  requires 
development of specific performance indicators which can be measured over time; are 
both realistic and reflect the logic of the intervention; and relevant to the appropriate 
hierarchy of objectives and activities. Appropriate coordination mechanisms should be 
put in place between the implementation and monitoring of the Euratom Programme, 
and  the  monitoring  of  progress,  achievements  and  functioning  of  the  European 
Research Area. 

(28)  The Board of Governors of the Joint Research Centre, set up by Commission Decision 
96/282/Euratom of 10 April 1996 on the reorganisation of the Joint Research Centre15, 
has been consulted on the scientific and technological content of on the direct actions 
of the JRC. 

(29)  For  reasons  of  legal  certainty,  Council  Decision  2006/970/Euratom  of  18  December 
2006 concerning the Seventh Framework Programme of the European Atomic Energy 
Community  (Euratom)  for  nuclear  research  and  training  activities  (2007  to  2011)16, 
Regulation  (Euratom)  No  1908/2006,  Council  Decision  2006/976/Euratom  of  19 
December  2006  concerning  the  Specific  Programme  implementing  the  Seventh 
Framework  Programme  of  the  European  Atomic  Energy  Community  (Euratom)  for 
to  2011)17,  Council  Decision 
nuclear  research  and 
2006/977/Euratom  of  19  December  2006  concerning  the  Specific  Programme  to  be 
carried out by means of direct actions by the Joint Research Centre implementing the 
Seventh  Framework  Programme  of  the  European  Atomic  Energy  Community 
(Euratom)  for  nuclear  research  and  training  activities  (2007  to  2011)18,  Council 
Decision  XXXX/XXXX  of  [...]  concerning  the  Framework  Programme  of  the 
European  Atomic  Energy  Community  for  nuclear  research  and  training  activities 

training  activities  (2007 

14 
15 
16 
17 
18 

OJ L [...] 
OJ L 107, 30.4.1996, p. 12. 
OJ L 400, 30.12.2006, p. 60. 
OJ L 400, 30.12.2006, p. 404. 
OJ L 400, 30.12.2006, p. 434. 

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[Euratom  Rules 

(Euratom)  No  XXX/XXXX 

(2012-2013)19,  Regulation 
for 
participation  (2012-2013)],  Council  Decision  XXXX/XXXX/Euratom  of  [...] 
concerning  the  Specific  Programme,  to  be  carried  out  by  means  of  indirect  actions, 
implementing 
the  European  Atomic  Energy 
Community  for  nuclear  research  and  training  activities  (2012-2013)20  and  Council 
Decision  XXXX/XXXX/Euratom  of  [...]  concerning  the  Specific  Programme,  to  be 
carried out by means of direct actions by the Joint Research Centre, implementing the 
Framework  Programme  of  the  European  Atomic  Energy  Community  for  nuclear 
research and training activities (2012 to 2013)21 should be repealed. 

the  Framework  Programme  of 

(30)  The Commission has consulted the Euratom Scientific and Technical Committee, 

HAS ADOPTED THIS REGULATION:  

TITLE I  

ESTABLISHMENT 

Article 1 

Establishment  

This  Regulation  establishes  the  Research  and  Training  Programme  for  the  period  from  1 
January 2014 to 31 December 2018, hereinafter the ‘Euratom Programme’, and lays down the 
rules  for  participation  in  that  programme,  including  the  participation  in  programmes  of 
funding  bodies  managing  the  funds  granted  in  accordance  with  this  Regulation  and  in 
activities conducted jointly under  this Regulation and  under the  ‘Horizon  2020’ Framework 
Programme established in Regulation (EU) XX/XXX (hereinafter ‘Horizon 2020’). 

Article 2 

Definitions 

For the purposes of this Regulation the following definitions apply: 

(a) 

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

(b) 

‘direct  actions’  means  research  and  innovation  activities  undertaken  by  the 
Commission through its Joint Research Centre; 

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OJ L [...]. 
OJ L [...]. 
OJ L [...]. 

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(c) 

(d) 

(e) 

1. 

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

‘public-private  partnership’  means  a  partnership  where  private  sector  partners,  the 
Community  and,  where  appropriate,  other  partners,  commit  to  jointly  support  the 
development  and  implementation  of  a  research  and  innovation  programme  or 
activities which are of strategic importance; 

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

Article 3 

Objectives  

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

2. 

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

(a) 

support safe operation of nuclear systems; 

(b) 

(c) 

contribute  to  the  development  of  solutions  for  the  management  of  ultimate 
nuclear waste; 

support  the  development  and  sustainability  of  nuclear  competences  at  Union 
level 

(d) 

foster radiation protection; 

(e)  move  toward  demonstration  of  feasibility  of  fusion  as  a  power  source  by 

exploiting existing and future fusion facilities; 

(f) 

lay  the  foundations  for  future  fusion  power  plants  by  developing  materials, 
technologies and conceptual design; 

(g)  promote innovation and industrial competitiveness; 

(h) 

ensure  availability  and  use  of  research  infrastructures  of  pan-European 
relevance;  

3. 

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

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(a) 

(b) 

improve  nuclear  safety  including:  fuel  and  reactor  safety,  waste  management 
and decommissioning, and emergency preparedness; 

improve  nuclear  security  including:  nuclear  safeguards,  non-proliferation, 
combating illicit trafficking and nuclear forensics; 

(c) 

raising excellence in the nuclear science base for standardisation; 

(d) 

foster knowledge management, education and training; 

(e) 

support the policy of the Union on nuclear safety and security and the related 
evolving Union legislation. 

4. 

5. 

The Euratom  Programme  shall be  implemented in such a way as to ensure that the 
priorities and activities supported are relevant to changing needs and take account of 
the evolving nature of science, technology, innovation, policy making, markets and 
society. 

Within  the  specific  objectives  referred  to  in  paragraphs  2  and  3,  account  may  be 
taken of new and unforeseen needs that arise during the period of implementation of 
the  Euratom  Programme,  including  responses  to  emerging  opportunities,  crises  and 
threats,  to  needs  relating  to  the  development  of  new  Union  policies,  and  to  the 
steering of actions envisaged for support under future programmes.  

Article 4 

Budget 

1. 

The  financial  envelope  for  the  implementation  of  the  Euratom  Programme  shall  be 
EUR 1 788.889 million. That amount shall be distributed as follows: 

(a) 

(b) 

indirect  actions  for  the  fusion  research  and  development  programme,  EUR 
709.713 million; 

indirect  actions  for  nuclear  fission,  safety  and  radiation  protection,  EUR 
354.857 million; 

(c)  direct actions, EUR 724.319 million. 

For the implementation of indirect actions of the Euratom Programme, no more than 
13.5 % shall be for the Commission’s administrative expenditure. 

2. 

The financial envelope of the Euratom Programme may cover expenses pertaining to 
preparatory,  monitoring,  control,  audit  and  evaluation  activities  which  are  required 
for  the  management  of  the  Programme  and  the  achievement  of  its  objectives,  in 
particular  studies  and  meetings  of  experts,  as  far  as  they  are  related  to  the  general 
objectives  of  this  Regulation,  expenses  linked  to  information  technology  networks 
focusing  on  information  processing  and  exchange,  together  with  all  other  technical 
and  administrative  assistance  expenses  incurred  by  the  Commission  for  the 
management of the Euratom Programme. 

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3. 

4. 

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

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

Article 5  

Association of third countries 

1. 

The Euratom Programme shall be open to the association of: 

(a) 

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

(b) 

selected third countries that fulfil all of the following criteria :  

(i) 

have a good capacity in science, technology and innovation; 

(ii)  have  a  good  track  record  of  participation  in  Union  research  and 

innovation programmes; 

(iii)  have close economic and geographical links to the Union;  

(iv)  are  European  Free  Trade  Association  (EFTA)  members  or  countries  or 
territories  listed  in  Annex  to  Regulation  XX/2012  of  the  European 
Parliament and the Council 22. 

2. 

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

TITLE II  

IMPLEMENTATION 

CHAPTER I 

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IMPLEMENTATION, MANAGEMENT AND FORMS OF SUPPORT 

1. 

2. 

1. 

2. 

Article 6  

Management and forms of Community support 

The Euratom Programme shall be implemented through indirect actions using one or 
several  of  the  forms  of  financial  support  provided  for  by  Regulation  (EU)  No 
XXX/2012  [New  Financial  Regulation],  including  grants,  prizes,  procurement, 
financial instruments and financial contributions. The Community support shall also 
consist of direct actions in the form of research and innovation activities undertaken 
by the Joint Research Centre (JRC).  

Without prejudice to Article 10 of the Euratom Treaty, the Commission may entrust 
part of the implementation of the Euratom Programme to the funding bodies referred 
to  in  Article  [55(1)(b)]  of  Regulation  (EU)  No  XXX/2012  [New  Financial 
Regulation]. 

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

Article 7  

Rules for participation and dissemination of research results 

The participation of any legal entity in indirect actions undertaken under the Euratom 
Programme  shall  be  governed  by  the  rules  laid  down  in  Regulation  (EU)  No 
XX/2012 [the Rules for participation and dissemination], subject to paragraphs 2 and 
3 of this Article.  

For  the  purposes  of  the  Euratom  Programme,  ‘the  security  rules’  referred  to  in  the 
first  subparagraph  of  Article  40(2)  of  Regulation  (XX)  [the  Rules  for  participation 
and  dissemination]  shall  include  the  defence  interests  of  the  Member  States  within 
the meaning of Article 24 of the Euratom Treaty. 

By way of derogation from the first subparagraph of Article 41(3) of that Regulation, 
the Commission or the funding body may, with regard to results which are generated 
by participants having received Community financial contribution, object to transfers 
of ownership or to grants of both an exclusive and a non-exclusive licence, to third 
parties established in a third country not associated to the Euratom Programme where 
it  considers  that  the  grant  or  transfer  is  not  in  accordance  with  the  interest  of 
developing the competitiveness of the Union economy or is inconsistent with ethical 
principles  or  security  considerations.  ‘Security  considerations’  shall  include  the 
defence interests of the Member States within the meaning of Article 24 of Euratom 
Treaty.  

By way of derogation from the first subparagraph of Article 46(1) of that Regulation 
the  Community  and  its  joint  undertakings  shall,  for  the  purpose  of  developing, 
implementing  and  monitoring  Community  policies  and  programmes  or  obligations 

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assumed  through  international  cooperation  with  third  countries  and  international 
organisations,  enjoy  access  rights  to  the  results  of  a  participant  having  received  a 
Community  financial  contribution.  Such  access  rights  shall  include  the  right  to 
authorise third parties to use the results in public procurement and the right to sub-
license and shall be limited to non-commercial and non-competitive use and shall be 
granted on a royalty-free basis. 

3. 

The  ‘Participant  guarantee  fund’  established  pursuant  to  Regulation  (EU)  No 
XX/2012  [Rules  for  participation  and  dissemination]  shall  replace  and  succeed  the 
Participant  guarantee  funds  established  pursuant  to  Regulation  (Euratom)  No 
1908/2006  and  Regulation  (Euratom)  No  XX/XX  [Euratom  Rules  for  participation 
2012-2013]. 

Any sums from the Participant guarantee funds established pursuant to Regulations 
(Euratom)  No  1908/2006  and  (Euratom)  No  XX/XX  [Euratom  Rules  for 
participation (2012-2013)] shall be transferred to the Participant guarantee fund as of 
31  December  2013.  The  participants  in  actions  under  Decision  XX/XX  [Euratom 
Programme  2012-2013]  signing  grant  agreements  after  31  December  2013  shall 
make their contribution to the Participant guarantee fund.  

Article 8  

Cross-cutting activities  

1. 

2. 

In  order  to  achieve  the  objectives  of  the  Euratom  Programme  and  to  address 
challenges common to the Euratom Programme and Horizon 2020, activities cutting 
across the indirect actions set out in Annex I and/or those implementing the Specific 
Programme of the Horizon 2020 Framework Programme, as established by Council 
Decision XX/XXXX/EU23, may benefit from the Union financial contribution. 

The financial contribution referred to in paragraph 1 of this Article may be combined 
from  the  financial  contributions  for  indirect  actions  set  out  in  Article  4  of  this 
Regulation and in Article 6 of Regulation (EU) No XX/XXXX [establishing Horizon 
2020], and implemented through a single funding scheme.  

Article 9 

Gender equality  

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

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Article 10 

Ethical principles  

1. 

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

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

2. 

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

Article 11  

Work programmes 

1. 

2. 

3. 

4. 

The  Commission  shall  adopt  work  programmes  for  the  implementation  of  the 
indirect  actions.  The  work  programmes  shall  allow  for  bottom  up  approaches  that 
address the objectives in innovative ways.  

The  work  programmes  shall  set  out  the  essential  elements  for  implementing  the 
actions  in  accordance  with  Regulation  XX/2012  [the  Financial  Regulation], 
including their detailed objectives, the associated funding and the timetable, as well 
as  a  multi-annual  approach  and  strategic  orientations  for  the  following  years  of 
implementation. 

the  Commission  shall, 

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

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

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

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

Article 12  

Governance of the programme  

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1. 

For the purpose of implementing the indirect actions of the Euratom Programme, the 
Commission shall be assisted by the following consultative committees: 

(a) 

(b) 

for  fission-related  aspects,  the  consultative  committee  referred  to  in  points  5 
and 6 of the Annex to Council Decision 84/338/Euratom, ECSC, EEC24; 

for  the  fusion-related  aspects,  by  the  consultative  committee  for  the  fusion 
programme established in accordance  with Council Decision of 16 December 
198025. 

By  way  of  derogation  from  Article  3(3)  of  Decision  84/338/Euratom,  ECSC,  EEC 
and  from  point  9  of  Council  Decision  of  16  December  1980  respectively,  the 
consultative committees shall be chaired by the Commission.  

The  Commission  shall  regularly  inform  the  respective  committee  referred  to  in 
paragraph 1 of overall progress in implementing the Euratom Programme, and shall 
provide it with timely information on all indirect actions proposed or funded under 
the Euratom Programme. 

Article 13  

External advice and societal engagement 

For the implementation of the Euratom Programme, account shall be taken of advice 
and  inputs  provided  by,  where  appropriate:  the  Euratom  Scientific  and  Technical 
Committee  pursuant  to  Article  134  of  the  Euratom  Treaty;  advisory  groups  of 
independent,  high  level  experts  set  up  by  the  Commission;  the  dialogue  structures 
created  under  international  science  and  technology  agreements;  forward-looking 
activities;  targeted  public  consultations;  and  transparent  and  interactive  processes 
that ensure responsible research and innovation is supported 

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

2. 

1. 

2. 

CHAPTER II 

SPECIFIC FIELDS OF ACTION 

Article 14 

Small and medium-sized enterprises  

Particular  attention  shall  be  paid  to  ensuring  the  adequate  participation  of,  and  innovation 
impact  on,  small  and  medium-sized  enterprises  (SME)  in  the  Euratom  Programme. 

24 
25 

OJ L 177, 4.7.1984, p. 25. 
Not published in the Official Journal. 

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Quantitative and qualitative assessments of SME participation shall be undertaken as part of 
the evaluation and monitoring arrangements.  

Article 15  

Public-private and public-public partnerships  

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

(a) 

Joint Undertakings established on the basis of Chapter 5 of the Euratom Treaty; 

(b)  Public-public  partnerships  based  on  the  funding  scheme  ‘Programme  co-fund 

actions'; 

(c)  Contractual public-private partnerships, as referred in Article 19 of Regulation 

(EU) No xxx/201x. 

Article 16  

International cooperation with third countries and international organisations 

1. 

Entities established in third countries and international organisations shall be eligible 
to participate in indirect actions of the Euratom Programme under the conditions set 
out in Regulation (EU) XX/XXX [Rules for Participation]. Exceptions to the general 
principle are set out in Article 7. International cooperation with third  countries and 
international  organisations  shall  be  promoted  by  the  Euratom  Programme  with  a 
view to: 

(a) 

strengthen the Union’s excellence and attractiveness in research and innovation 
as well as its economic and industrial competitiveness; 

(b) 

tackle effectively global societal challenges;  

(c) 

support  the  Union's  external  policy  objectives,  complementing  external 
programmes.  

2. 

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

Reciprocal  access  to  third  country  programmes  should  be  encouraged.  In  order  to 
maximise impact, coordination and synergies with initiatives of Member States and 
associated countries shall be promoted.  

Cooperation  priorities  shall  take  into  account  developments  in  Union  policy  and 
opportunities for cooperation with third countries, as well as possible deficiencies in 
third country intellectual property systems.  

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Article 17  

Communication and dissemination 

1. 

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

2. 

Communication activities may include: 

(a) 

(b) 

(c) 

initiatives  aimed  at  widening  awareness  and  facilitating  access  to  funding 
under  the  Euratom  Programme,  in  particular  for  those  regions  or  types  of 
participant that are underrepresented; 

targeted assistance to projects and consortia to provide them with access to the 
necessary skills to optimise the communication and dissemination of results; 

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

(d) 

communication of the Union's political priorities provided that they are related 
to the aims of this Regulation. 

3. 

Subject  to  the  applicable  provisions  of  the  Euratom  Treaty  and  relevant  Union 
legislation, dissemination activities may include: 

(a) 

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

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

CHAPTER III  

CONTROL  

Article 18 

Control and audit  

1. 

2. 

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

The  control  system  shall  ensure  an  appropriate  balance  between  trust  and  control, 
taking into account administrative and other costs of controls at all levels, so that the 

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3. 

1. 

2. 

3. 

4. 

Euratom  Programme  objectives  can  be  achieved and the most excellent researchers 
and most innovative enterprises can be attracted to it. 

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

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

Article 19 

Protection of the financial interests of the Union 

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

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

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

The  European  Anti-Fraud  Office  (OLAF)  may  carry  out  on-the-spot  checks  and 
inspections on economic operators concerned directly or indirectly by such funding 
in  accordance  with  the  procedures  laid down  in  Council  Regulation  (Euratom,  EC) 
No 2185/96 26 with a view to establishing whether there has been fraud, corruption or 
any other illegal activity affecting the financial interests of the Union in connection 
with a grant agreement or grant decision or a contract concerning Union funding. 

Without  prejudice  to  the  paragraphs  1,  2  and  3,  cooperation  agreements  with  third 
countries  and  international  organisations,  grant  agreements,  grant  decisions  and 
contracts  resulting  from  the  implementation  of  this  Regulation  shall  expressly 
empower  the  Commission,  the  Court  of  Auditors  and  the  OLAF  to  conduct  audits, 
on-the-spot checks and inspections. 

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OJ L 292, 15.11.1996, p. 2. 

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CHAPTER IV 

MONITORING AND EVALUATION 

Article 20  

Monitoring 

1. 

2. 

1. 

2. 

3. 

4. 

The Commission shall annually monitor the implementation, including progress and 
achievements, of the Euratom Programme. 

The Commission shall report and disseminate the results of that monitoring. 

Article 21  

Evaluation 

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

By 31 May 2017, and taking into account the ex-post evaluation of the Euratom 7th 
Framework  Programme  established  by  Decision  2006/970/Euratom  and  of  the 
Euratom Programme (2012-2013) established by Decision 20XX/XX/Euratom to be 
completed by the end of 2015, the Commission shall carry out, with the assistance of 
independent  experts,  an  interim  evaluation  of  the  Euratom  Programme  on  the 
achievements, at the level of results and progress towards impacts, of the objectives 
and continued relevance of all the measures, the efficiency and use of resources, the 
scope  for  further  simplification,  and  European  added  value.  The  evaluation  shall 
additionally take into account the contribution of the measures to the Union priorities 
of smart, sustainable and inclusive growth and results on the long-term impact of the 
predecessor measures. 

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

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

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

Member  States  shall  provide  the  Commission  with  data  and  information  necessary 
for the monitoring and evaluation of the measures concerned. 

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5. 

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

TITLE III 

FINAL AND TRANSITIONAL PROVISIONS 

Article 22  

Repeal and transitional provisions  

1. 

2. 

3. 

Decision  2006/970/Euratom,  Regulation  (Euratom)  No  1908/2006,  Decision 
2006/976/Euratom,  Decision  2006/977/Euratom,  Decision  XXXX/XXXX  [Euratom 
Framework  Programme  (2012-2013)],  Regulation  (Euratom)  No  XXX/XXXX 
[Euratom  Rules  for  participation  (2012-2013)],  Decision  XXXX/XXXX/Euratom 
[Specific  programme  (2012-2013)]  and  Decision  XXXX/XXXX/Euratom  [Specific 
programme  –  direct  actions  (2012-2013)]  are  repealed  with  effect  from  1  January 
2014 

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

The  financial  allocation  referred  to  in  Article  4  may  also  cover  the  technical  and 
administrative  assistance  expenses  necessary  to  ensure  the  transition  between  that 
programme  and  the  measures  adopted  under  Decision  XX/XX/Euratom  [  Euratom 
Framework  Programme  (2012-2013)],  Decision  XXXX/XXXX/Euratom  [Specific 
[Specific 
(2012-2013)] 
programme 
programme – direct actions (2012-2013)]. 

and  Decision  XXXX/XXXX/Euratom 

Article 23  

Entry into force 

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

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

Done at Brussels, 

For the Council 
The President 

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ANNEX I — ACTIVITIES 

1. 

RATIONALE FOR THE EURATOM PROGRAMME —PAVING THE WAY TO 2020 

By  achieving  the  objectives  set  out  in  Article  3,  the  Euratom  Programme  shall  reinforce 
outcomes under the three priorities of the ´Horizon 2020` Framework Programme: excellent 
science,  industrial  leadership,  and  societal  challenges.  The  Euratom  Programme  shall  in 
particular support the transition to a reliable, sustainable and competitive energy system in the 
future, in the face of increasing resource scarcity, growing energy needs and climate change. 

The  Euratom  Programme  shall  strengthen  the  research  and  innovation  framework  in  the 
nuclear  field  and  coordinate  Member  States’  research  efforts,  thereby  avoiding  duplication, 
retaining critical mass in key areas and ensuring that public funding is used in an optimal way. 

The  strategy  to  develop  fusion  as  a  credible  option  for  commercial  carbon-free  energy 
production shall follow a roadmap with milestones towards the goal of electricity production 
by  2050.  To  implement  that  strategy,  a  radical  restructuring  of  fusion-related  work  in  the 
Union, including governance, funding and management, shall be carried out to ensure a shift 
of emphasis from pure research to designing, building and operating future facilities such as 
ITER,  DEMO  and  beyond.  That  shall  require  a  close  cooperation  between  the  entire  Union 
fusion community, the Commission and the national funding agencies. 

In order to maintain the Union expertise necessary for achieving those goals, the programme 
shall further enhance its role in training through the establishment of training facilities of pan-
European interest that shall deliver dedicated programmes. That shall continue to promote the 
European  Research  Area  and  the  further  integration  of  new  Member  States  and  associated 
countries. 

2. 

ACTIVITIES NECESSARY TO ACHIEVE THE PROGRAMME OBJECTIVES 

2.1. 

Indirect actions 

(a) 

Support safe operation of nuclear systems (Societal challenges) 

In  line  with  the  general  objective,  support  to  joint  research  activities  concerning  the  safe 
operation  of  reactor  systems  (including  fuel  cycle  facilities)  in  use  in  the  Union  or,  to  the 
extent  necessary  in  order  to  maintain  broad  nuclear  safety  expertise  in  the  Union,  those 
reactor  types  which  may  be  used  in  the  future,  focusing  exclusively  on  safety  aspects, 
including all aspects of the fuel cycle such as partitioning and transmutation. 

(b) 

Contribute  to  the  development  of  solutions  for  the  management  of  ultimate 
nuclear waste (Excellent science; Societal challenges) 

Joint and/or coordinated research activities on remaining key aspects of geological disposal of 
spent  fuel  and  long-lived  radioactive  waste  with,  as  appropriate,  demonstration  of 
technologies and safety. Those activities shall promote the development of a common Union 
view  on  the  main  issues  related  to  waste  management  from  discharge  of  fuel  to  disposal. 
Research  activities  related  to  management  of  other  radioactive  waste  streams  for  which 
industrially mature processes currently do not exist. 

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(c) 

Support  the  development  and  sustainability  of  nuclear  competences  at  Union 
level (Excellent science) 

Promotion of joint training and mobility activities between research centres and industry, and 
between  different  Member  and  Associated  States,  as  well  as  support  for  maintaining  multi-
disciplinary  nuclear  competences  in  order  to  guarantee  the  availability  of  suitably  qualified 
researchers, engineers and employees in the nuclear sector in the Union in the long term.  

(d) 

Foster radiation protection (Excellent science; Societal challenges) 

Joint  and/or  coordinated  research  activities,  in  particular  on  the  risks  from  low  doses  from 
industrial, medical or environmental exposure and on emergency management in relation to 
accidents involving radiation, to provide a pan-European scientific and technological basis for 
a robust, equitable and socially acceptable system of protection.  

(e) 

Move  toward  demonstration  of  feasibility  of  fusion  as  a  power  source  by 
exploiting  existing  and  future  fusion  facilities  (Industrial  leadership;  Societal 
challenges) 

Support  common  research  activities  undertaken  by  members  of  the  European  Fusion 
Development  Agreement  to  ensure  the  swift  start  of  high  performance  operation  of  ITER 
including the use of relevant facilities (including JET, the Joint European Torus), of integrated 
modelling  using  high  performance  computers,  and  training  activities  to  prepare  the  next 
generation of researchers and engineers.  

(f) 

Lay  the  foundations  for  future  fusion  power  plants  by  developing  materials, 
technologies and conceptual design (Industrial leadership; Societal challenges) 

Support  to  joint  activities  undertaken  by  members  of  the  European  Fusion  Development 
Agreement to develop and qualify materials for a demonstration power plant requiring, inter 
alia, preparatory work for an appropriate material test facility and negotiations for the Union's 
participation in a suitable international framework for that facility. 

Support  to  joint  research  activities  undertaken  by  members  of  the  European  Fusion 
Development  Agreement  that  shall  address  reactor  operation  issues  and  shall  develop  and 
demonstrate all relevant technologies for a fusion demonstration power plant. Those activities 
include  the  preparation  of  a  complete  demonstration  power  plant  conceptual  design(s)  and 
exploration of the potential of stellarators as a power plant technology. 

(g) 

Promote innovation and industry competitiveness (Industrial leadership)  

Implementing  or  supporting  knowledge  management  and  technology  transfer  from  the 
research  co-funded  by  this  programme  to  industry  exploiting  all  innovative  aspects  of  the 
research.  

Promoting innovation through, inter alia, open access to scientific publications, a database for 
knowledge  management  and  dissemination  and  promoting  technology  topics  in  educational 
programmes.  

In the long term, the Euratom Programme shall support the preparation and development of a 
competitive  nuclear  fusion  industrial  sector,  in  particular  through  the  implementation  of  a 

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technology road map to a fusion power plant with active industrial involvement in the design 
and development projects. 

(h) 

Ensure  availability  and  use  of  research  infrastructures  of  pan-European 
relevance (Excellent science) 

Activities  supporting  the  construction,  refurbishment,  use  and  continued  availability  of  key 
research infrastructures under the Euratom Programme, as well as appropriate access to those 
infrastructures and cooperation between them. 

(i) 

European Fusion Development Agreement 

A  grant  (Programme  co-fund  action)  shall  be  awarded to  the  legal  entity  that  shall  be 
established  or  designated  by  members  of  the  European  Fusion  Development  Agreement in 
order to  implement  and  coordinate  their  activities.  That  grant may  include  resources  in  kind 
from  the  Community,  such  as  scientific  and  technical  exploitation  of  the  JET  facility  in 
accordance with Article 10 of the Euratom Treaty, or the secondment of Commission staff. 

2.2. 

JRC direct actions 

The  nuclear  activities  of  the  JRC  shall  aim  to  support  the  implementation  of  Council 
Directives 2009/71/Euratom27 and 2011/70/Euratom28, as well as Council Conclusions giving 
priority  to  the  highest  standards  for  nuclear  safety  and  security  in  the  Union  and 
internationally. The JRC shall notably mobilise the necessary capacity and expertise in order 
to contribute to assess and improve the safety of nuclear installations and the peaceful use of 
nuclear  energy  and  other  non  fission  applications,  to  provide  a  scientific  basis  to  relevant 
Union  legisation  and,  where  necessary,  to  react  within  the  limits  of  its  mission  and 
competence to nuclear incidents and accidents. To that effect, the JRC shall carry out research 
and  assessments,  provide  references  and  standards  and  deliver  dedicated  training  and 
education. Synergies with the Sustainable Nuclear Energy Technology Platform (SNETP) and 
other cross-cutting initiatives will be sought as appropriate. 

(a) 

Improve  nuclear  safety  including:  fuel  and  reactor  safety,  waste  management 
and decommissioning, and emergency preparedness 

The  JRC  shall  contribute  to  the  development  of  tools  and  methods  to  achieve  high  safety 
standards  for  nuclear  power  reactors  and  fuel  cycles  relevant  to  Europe.  Those  tools  and 
methods shall include:  

(1) 

severe  accident  analyses  modelling  and  methodologies  for  assessment  of  nuclear 
installations  operational  safety  margins;  support 
the  establishment  of  a 
commonEuropean  approach  to  the  evaluation  of  advanced  fuel  cycles  and  designs; 
and  investigation  and  dissemination  of  the  lessons  learnt  from  the  operational 
experience.  The  JRC  shall  further  reinforce  its  'European  Clearinghouse  on  NPP 
Operational  Experience  Feedback'  to  respond  to  the  emerging  post-Fukushima 
nuclear safety challenges. 

to 

27 
28 

OJ L 172, 2.7.2009, p.18. 
OJ L 199, 19.7.2011, p.1. 

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(2) 

(3) 

minimisation of the scientific uncertainties in the prediction of long-term behaviour 
of nuclear waste and of the dispersion of radionuclides in the environment; and key 
aspects of research on decommissioning of nuclear installations. 

strengthening Union capacity to respond to nuclear accidents and incidents by further 
development  of alert systems and models for radiological dispersion in the air, and 
by mobilising resources and expertise for analysing and modelling nuclear accidents 
and providing relevant technical support.  

(b) 

Improve  nuclear  security  including:  nuclear  safeguards,  non-proliferation, 
combating illicit trafficking, and nuclear forensics 

The area of non proliferation shall receive the greatest possible attention. The JRC will: 

(1) 

(2) 

(3) 

develop  enhanced  methodologies  and  detection/verification  methods  and 
technologies  to  support  the  Community  safeguards  and  strengthen  international 
safeguards.  

develop and apply enhanced methods and technology to prevent, detect and respond 
to nuclear and radioactive incidents, including qualification of detection technology 
and development of nuclear forensics methods and techniques for fight against illicit 
trafficking in synergies with the global CBRN (Chemical, Biological, Radiological, 
Nuclear) framework.  

support  the  implementation  of  the  Treaty  on  the  Non-Proliferation  of  Nuclear 
Weapons and Union-related strategies through analysis studies and follow-up of the 
technical  evolution  of  export  control  regimes  to  support  relevant  Commission  and 
Union services.  

(c) 

Raising Excellence in the nuclear science base for standardisation 

The  JRC  shall  further  develop  the  scientific  basis  for  nuclear  safety  and  security.  Emphasis 
shall be given to research on fundamental properties and behaviour of actinides, structural and 
nuclear materials. In support to Union standardisation, the JRC shall provide state-of-the-art 
nuclear  standards,  reference  data  and  measurements,  including  the  development  and 
implementation of relevant databases and assessment tools. The JRC shall support the further 
development of medical applications, namely new cancer therapies based on alpha irradiation. 

(d) 

Foster knowledge management, education and training 

The JRC shall stay abreast of new developments in research and instrumentation, safety and 
environmental  regulations.  To  that  effect,  a  rolling  investment  plan  for  the  scientific 
infrastructures shall be implemented.  

In order to maintain the Union at the forefront of nuclear safety and security, the JRC shall 
develop knowledge management tools, monitor Union trends in human resources through its 
Nuclear  Human  Resources  Observatory  and  deliver  dedicated  training  and  education 
programmes, covering also decommissioning aspects. 

(e) 

Support the policy of the Union on nuclear safety and security and the related 
evolving Union legislation 

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JRC  shall  foster  its  competence  in  order  to  provide  the  independent  scientific  and  technical 
evidence necessary to support the evolving Union legislation on nuclear safety and security. 

As  the  Euratom  Implementing  Agent  for  the  Generation  IV  International  Forum  (GIF),  the 
JRC shall continue to coordinate the Community contribution to GIF. The JRC shall pursue 
and  further  develop  international  research  cooperation  with  key  partner  countries  and 
international  organizations  (IAEA,  OECD/NEA)  in  order  to  promote  Union's  nuclear  safety 
and security policies. 

3. 

CROSS-CUTTING ACTIVITIES WITHIN THE EURATOM PROGRAMME 

In  order  to  achieve  its  general  objectives,  the  Euratom  Programme  shall  support 
complementary  activities 
joint 
programming) that ensure synergy of research efforts in solving common challenges (such as 
materials,  coolant  technology,  reference  nuclear  data,  modelling  and  simulation,  remote 
handling, waste management, radiation protection). 

indirect,  coordination  and  stimulating 

(direct  and 

4. 

CROSS-CUTTING  ACTIVITIES  AND  INTERFACES  WITH  THE 
FRAMEWORK PROGRAMME FOR RESEARCH AND INNOVATION  

'HORIZON  2020' 

In order to achieve the objectives of the Euratom Programme, appropriate links and interfaces, 
such  as  joint  calls,  shall  be  ensured  with  the  Specific  Programme  of  the  'Horizon  2020' 
Framework Programme.  

The  Euratom  Programme  may  contribute  to  the  Debt  facility  and  Equity  facility  developed 
under the 'Horizon 2020' Framework Programme that shall be widened to cover the objectives 
referred to in Article 3.  

5. 

PRIORITY SETTING 

In  order  to  ensure  that  the  indirect  actions  of  the  Euratom  Programme  mutually  reinforce 
research  efforts  of  the  Member  States  and  the  private  sector,  the  priorities  of  the  work 
programmes  shall  be  established  on  the  basis  of  inputs  from  national  public  authorities  and 
nuclear research stakeholders grouped in bodies or frameworks such as technology platforms 
and technical forums for nuclear systems and safety (SNETP), management of ultimate waste 
the  European  Fusion 
(IGDTP)  and  radiation  protection/low-dose  risk  (MELODI), 
Development Agreement, or any relevant organisation or forum of nuclear stakeholders.  

The  priorities  for  direct  actions  shall  be  established  through  consultation  of  the  policy 
Directorates-General of the European Commission and of the JRC Board of Governors. 

6. 

INTERNATIONAL  COOPERATION  WITH  THIRD  COUNTRIES  AND  INTERNATIONAL 
ORGANISATIONS 

International  cooperation  in  nuclear  research  and  innovation,  based  on  shared  goals  and 
mutual  trust,  shall  continue,  with  the  aim  of  providing  clear  and  significant  benefits  for  the 
Union. As a contribution to the achievement of the specific objectives set out in Article 3, the 
Community  shall  seek  to  reinforce  the  Union's  scientific  and  technical  expertise  through 

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international cooperation agreements and to promote the access of the Union nuclear industry 
to new emerging markets.  

International cooperation activities shall be promoted through multilateral frameworks (such 
as IAEA, OECD, ITER, GIF), and by the existing or new bilateral cooperation with countries 
having strong R&D and industrial bases and research installations under operation, design or 
construction.  

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 ANNEX II — PERFORMANCE INDICATORS  

This Annex presents for each specific objectives of the Euratom Programme a limited number 
of performance indicators for assessing results and impacts.  

1. 

Indicators for indirect actions 

(a)  Support safe operation of nuclear systems 

– 

Percentage of funded projects (joint research and/or coordinated actions) likely 
to lead to a demonstrable improvement in nuclear safety practice in Europe. 

(b)  Contribute  to  the  development  of  solutions  for  the  management  of  ultimate 

nuclear waste 

– 

Number  of  geological  repositories  for  spent  nuclear  fuel  and/or  high-level 
waste that are planned in Europe and for which the Community supported the 
preparation of a safety case and the possible pre-construction phase. 

(c)  Support  the  development  and  sustainability  of  nuclear  competences  at  Union 

level 

– 

– 

Training through research - number of PhD students and Post-Doc researchers 
supported through the Euratom fission projects 

Number of fellows and trainees in the Euratom fusion programme. 

(d)  Foster radiation protection 

– 

Percentage  of  funded  projects  likely  to  have  a  demonstrable  impact  on 
regulatory practice regarding radiation protection. 

(e)  Move  toward  demonstration  of  feasibility  of  fusion  as  a  power  source  by 

exploiting existing and future fusion facilities 

– 

Number of publications in high impact journals.  

(f)  Lay  the  foundations  for  future  fusion  power  plants  by  developing  materials, 

technologies and conceptual design 

– 

Percentage of the Fusion Roadmap's milestones established for a period 2014-
2018 reached by the Euratom Programme 

(g)  Promote innovation and industrial competitiveness 

– 

– 

Number of spin-offs from the fusion research under Euratom Programme  

Patents applications generated by European fusion laboratories  

(h)  Ensure  availability  and  use  of  research  infrastructures  of  pan-European 

relevance  

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– 

Number  of  research  infrastructures  supported  at  Community  level  and  of 
researchers using research infrastructures through mobility and access support. 

2. 

Indicators for direct actions 

(a) 

Impact indicator for JRC policy support  

– 

Number of occurrences of tangible specific impacts on Union policies resulting 
from technical and scientific policy support provided by the JRC. 

(b) 

JRC scientific productivity indicator  

– 

Number of peer reviewed publications 

The indicators referred to in points (a) and (b) may be represented according to the following 
Community objectives of direct actions:  

• 

• 

• 

• 

• 

Improve  nuclear  safety  including:  fuel  and  reactor  safety,  waste 
management and decommission; and emergency preparedness; 

Improve  nuclear 
proliferation, combating illicit trafficking and nuclear forensics; 

including:  nuclear 

security 

safeguards,  non-

Raising excellence in the nuclear science base for standardisation; 

Foster knowledge management, education and training; 

Support  the  policy  of  the  Union  on  nuclear  safety  and  security  and  the 
related evolving Union legislation. 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative  

1.2.  Policy area(s) concerned in the ABM/ABB structure 

1.3.  Nature of the proposal/initiative  

1.4.  Objective(s)  

1.5.  Grounds for the proposal/initiative  

1.6.  Duration and financial impact  

1.7.  Management method(s) envisaged  

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

2.2.  Management and control system  

2.3.  Measures to prevent fraud and irregularities  

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1.  Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected  

3.2.  Estimated impact on expenditure  

3.2.1. Summary of estimated impact on expenditure  

3.2.2. Estimated impact on operational appropriations  

3.2.3. Estimated impact on appropriations of an administrative nature 

3.2.4. Compatibility with the current multiannual financial framework 

3.2.5. Third-party participation in financing  

3.3.  Estimated impact on revenue

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

Council  Regulation  on  the  Research  and  Training  Programme  of  the  European  Atomic 
Energy  Community  (2014-2018)  complementing  the  'Horizon  2020'  –  the  Framework 
Programme for Research and Innovation 

1.2. 

Policy area(s) concerned in the ABM/ABB structure29  

- 08 Research and Innovation 

- 10 Joint Research Centre 

1.3. 

Nature of the proposal/initiative  

(cid:58) The proposal/initiative relates to a new action  

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action30  

(cid:133) The proposal/initiative relates to the extension of an existing action  

(cid:133) The proposal/initiative relates to an action redirected towards a new action  

1.4. 

Objectives 

1.4.1.  The Commission's multiannual strategic objective(s) targeted by the proposal/initiative  

The  Euratom  Programme  shall  strengthen  the  research  and  innovation  framework  in  the 
nuclear field and coordinate Member States’ research efforts, thereby avoiding duplication, 
retaining critical mass in key areas and ensuring public funding is used in an optimal way. 
The  technical  objectives  of  the  Euratom  Programme  shall  be  to  improve  nuclear  safety, 
security and radiation protection, and to contribute to the long-term decarbonisation of the 
energy system in a safe, efficient and secure way. These objectives are linked to that of the 
Europe  2020  and  Energy  2020  strategies.  The  programme  will  contribute  to  the 
‘Innovation  Union’  flagship  by  supporting  policy-relevant,  pre-commercial  and  cross-
cutting  nuclear  research  and  facilitating  knowledge  and  technology  transfer  process 
between academia, industry and public authorities. By putting emphasis on training in all 
its activities, boosting competitiveness in the current nuclear industry and creating a new 
sector of high-tech industry for fusion energy  in  particular,  the  Euratom  Programme  will 
lead to growth and new jobs in a wide range of disciplines. For the Energy 2020 Strategy, 
the Euratom Programme will address issues in nuclear safety and security and maintain the 
long term Union technological competitiveness.  

29 
30 

ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 

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1.4.2. 

Specific objective(s) and ABM/ABB activity(ies) concerned for indirect actions 

Specific objective No.1 - Support safe operation of nuclear systems;  

Specific objective No.2 - Contribute to the development of solutions for the management 
of ultimate nuclear waste; 

Specific  objective  No.3  –  Support  the  development  and  sustainability  of  nuclear 
competences at Union level;  

Specific objective No. 4 – Foster radiation protection 

Specific objective No. 5 – Move toward demonstration of feasibility of fusion as a power 
source by exploiting existing and future fusion facilities; 

Specific  objective  No.  6  -  Lay  the  foundations  for  future  fusion  power  plants  by 
developing materials, technologies and conceptual design; 

Specific objective No. 7 - Promote innovation and industrial competitiveness; 

Specific  objective  No.  8  –  Ensure  availability and  use  of  research  infrastructures  of  pan-
European relevance; 

ABM/ABB activity(ies) concerned: 08 Research and Innovation. 

1.4.3. 

Specific objective(s) and ABM/ABB activity(ies) concerned for JRC Direct Actions  

Specific objective No.1 – Improve nuclear safety including, fuel and reactor safety, waste 
management and decommissioning, and emergency preparedness 

Specific  objective  No.2  –  Improve  nuclear  security  including:  nuclear  safeguards,  non-
proliferation, combating illicit trafficking and nuclear forensics 

Specific objective No.3 – Raising excellence in the science base for standardisation 

Specific objective No. 4 – Foster knowledge management, education and training 

Specific objective No. 5 – Support the policy of the Union on nuclear safety and security 
and the related evolving Union legislation. 

ABM/ABB activity(ies) concerned: 10 Joint Research Centre.  

1.4.4.  Expected result(s) and impact 

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted. 

1) The Euratom Programme's impacts can be expected in its Community added value for 
improving  the  safe  exploitation  of  existing  and  future  nuclear  power  plants,  in  taking 
further significant steps towards safe implementation of geological disposal of high-level 
and  long-lived  nuclear  waste,  and  ensuring  more  robust  regulation  of  industrial  and 
medical practices involving the use of ionising radiation.  

2) The Euratom Programme will lead to the strengthened nuclear security through research 
on  nuclear  safeguards  and  implementation  of  enhanced  verification  and  detection 
technologies, as concerns both nuclear materials and nuclear fuel cycle. 

3)  The  Euratom  Programme  will  contribute  to  the  development  of  nuclear  skills  and 
expertise in the Union through research, training and mobility actions, and better access to 
and use of research facilities.  

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4) Through supporting fusion research the Euratom Programme will ensure a rapid start-up 
of operation of ITER, develop and qualify materials for a demonstration power plant, and 
will  develop  and  demonstrate  relevant  technologies  for  a  fusion  demonstration  power 
plant.  Activities  of  the  programme  will  include  preparation  of  complete  demonstration 
power plant conceptual design(s) and exploration of the potential of stellarators as a power 
plant technology. 

1.4.5. 

Indicators of results and impact  

Specify the indicators for monitoring implementation of the proposal/initiative. 

The  following  section  specifies  for  the  specific  objectives  of  the  Euratom  Programme  a 
number of key indicators for assessing results and impacts.  

Indicators for indirect actions 

1) Support safe operation of nuclear systems 

Indicator: Percentage of funded projects (joint research and/or coordinated actions) likely 
to lead to a demonstrable improvement in nuclear safety practice in Europe. 

Current: 90% (2011); Target: 100% (2018) 

2) Contribute to the development of solutions for the management of ultimate nuclear 
waste; 

Indicator: Number of geological repositories for spent nuclear fuel and/or high-level waste 
that are planned in Europe and for which the Union supported the preparation of a safety 
case and the possible pre-construction phase.  

Current: 0 (2011); Target: 3 (2018), 

3) Support the development and sustainability of nuclear competences at Union level; 

Indicator:  Training  through  research  -  number  of  PhD  students  and  Post-Doc  researchers 
involved in Euratom fission projects 

Current: ca. 200 (total for 2007-2011); Target: 300 (total for 2014-2018)  

Indicator: Number of fellows and trainees in the Euratom fusion programme 

Current: on average 27 per year (2011); Target: 40 per year (2018) 

4) Foster radiation protection 

Indicator:  Percentage  of  funded  projects  likely  to  have  a  demonstrable  impact  on 
regulatory practice regarding radiation protection. 

Current: 90% (2011); Target: 100% (2018)  

5) Move toward demonstration of feasibility of fusion as a power source by exploiting 
existing and future fusion facilities 

Indicator: Number of publications in high impact journals  

Current: ca. 800 (2010); Target: Maintain current levels (2018).  

Description of the indicator: Source of data – Scopus database. Please note that with the 
Euratom fusion programme's emphasis shifting from research to technology development 
this  indicator  may  be  lower  in  the  future.  Indicator  concerns  articles  where  at  least  one 
contributing author is  from the European fusion laboratory participating in the  Euratom 

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Programme.  It  is  calculated  on  the  basis  of  5  international  peer  reviewed  journals: 
Nuclear Fusion, Plasma Physics and Controlled Fusion, Fusion Engineering and Design, 
Fusion Science and Technology, Journal of Fusion Energy.  

6)  Lay  the  foundations  for  future  fusion  power  plants  by  developing  materials, 
technologies and conceptual design; 

Indicator:  Percentage  of  the  Fusion  Roadmap's  milestones  established  for  a  period  2014-
2018 reached by the Euratom Programme; 

Current: new indicator, 0%  

Target: 90%, including Report on Fusion Power Plant Conceptual design activities (2018);  

Description  of  the  indicator:  new  indicator  which  will  be  based  on  the  roadmap  for  the 
fusion programme to be developed before 2014.  

7) Promote innovation and industrial competitiveness  

Indicator: Number of spin-offs from the fusion research under Euratom Programme  

Current: 33% of contracts resulted in spinoffs (2011); Target: 50% (2018) 

Description of the indicator: new products or services developed by companies involved in 
the fusion research.  

Indicator: Patents applications generated by European fusion laboratories  

Current:  2-3  new  patents  per  year  (2011);  Target:  on  average  4-5  new  patents  per  year 
(2018); 

8) Ensure availability and use of research infrastructures of pan-European relevance; 

Indicator:  Number  of  research  infrastructures  supported  at  Community  level  and  of 
researchers using research infrastructures through mobility and access support  

Current: ca. 800 (2008), Target: 1200 (2018); 

Description of the indicator: mobility scheme under fusion programme supports short term 
visits of European scientists to the fusion facilities such as JET. 

Indicators for direct actions 

1) Impact indicator for JRC policy support  

Number  of  occurrences  of  tangible  specific  impacts  on  Union  policies  resulting  from 
technical and scientific policy support provided by the JRC. 

Current: 39 (2010), Target: 45 (2018) 

2) JRC scientific productivity indicator  

Number of peer reviewed publications 

Current: 190 (2010), Target: 210 (2018) 

The indicators referred to in points (1) and (2) above may be represented according to the 
following Community objectives of direct actions:  

-  Improve  nuclear  safety  including:  fuel  and  reactor  safety,  waste  management  and 
decommission; and emergency preparedness; 

-  Improve  nuclear  security  including:  nuclear  safeguards,  non-proliferation,  combating 
illicit trafficking and nuclear forensics; 

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- Raising excellence in the nuclear science base for standardisation; 

- Foster knowledge management, education and training; 

- Support the policy of the Union on nuclear safety and security and the related evolving 
Union legislation. 

1.5. 

Grounds for the proposal/initiative  

1.5.1.  Requirement(s) to be met in the short or long term  

The  March  2011  earthquake  in  Japan  and  following  events  at  the  Fukushima  Daiichi 
nuclear power plant are a stern reminder that nuclear fission, although a reliable source of 
low  carbon  base-load  electricity,  requires  continuing  efforts  in  the  area  of  safety  and 
emergency  preparedness.  The  main  challenges  as  regards  current  nuclear  technology  in 
order  for  it  to  further  contribute  to  competitiveness,  security  of  supply  and  the 
decarbonisation of European energy systems are to ensure continuing high levels of safety, 
to develop solutions for management of ultimate waste and maintain nuclear skills. Equally 
important  is  the  need  to  ensure  a  robust  system  of  radiation  protection  at  Union  level, 
taking into consideration the benefits of the uses of radiation in medicine and industry. In 
view of the increasing concerns about the risk of non-proliferation and the threat of nuclear 
terrorism it is also necessary to develop appropriate safeguards in order to assure nuclear 
security in Europe and worldwide.  

1.5.2.  Added value of Union involvement 

innovation 

in  research  and 

is  comparatively 

There is a clear case for Community intervention to tackle the challenge of nuclear safety 
and diminishing nuclear skills in Europe. Markets will also not take on the high risk and 
long-term R&D programme in fusion energy. There is compelling evidence that Member 
States  acting  alone  will  not  be  able  to  make  the  required  public  intervention.  Their 
investment 
low,  and  suffers  from 
fragmentation.  It  is  unlikely  that  Member  States  on  their  own  will  be  able  to  tackle  the 
problems of lack of transnational coordination. The Euratom is well positioned to provide 
added value through exploiting synergies between research efforts of Member States and 
the private sector, and between scientific disciplines and technological sectors. Community 
intervention can strengthen the research and innovation framework in nuclear technologies 
and  coordinate  Member  States'  research  efforts  thereby  avoiding  duplication,  retaining 
critical  mass  in  key  areas  and  ensuring  public  financing  is  used  in  an  optimal  way.  The 
Euratom programme also take on the high risk and long-term R&D programme in fusion 
energy, thereby sharing the risk and generating a breadth of scope and economies of scale 
that  could  not  otherwise  be  achieved.  The  direct  actions  of  the  Joint  Research  Centre 
(‘JRC’) provide added value because of their unique European dimension. These benefits 
range  from  responding  to  Commission’s  need  to  have  in-house  access  to  scientific 
evidence  independent  of  national  and  private  interests  to  direct  benefits  to  the  Union 
citizens through contributions to policies which lead to improved economic, environmental 
and social conditions.  

1.5.3.  Lessons learned from similar experiences in the past 

The  Euratom  programme  builds  on  the  experience  accumulated  from  past  Euratom 
Framework  Programmes.  Over  a  period  spanning  several  decades,  Euratom  programmes 
have: 

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35 

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– 

– 

succeeded in involving Europe’s best researchers and institutes in nuclear field;  

made a major contribution to Europe’s knowledge base in nuclear field and had an 
important  impact  on  networking  and  cooperation,  with  a  significant  restructuring 
effect on European nuclear research. 

Together with the successes, there are important lessons to be learned from the past: 

– 

– 

– 

Research,  innovation  and  education  should  be  addressed  in  a  more  coordinated 
manner; 

Research results better disseminated and valorised into new products, processes and 
services; 

The intervention logic should be more focused, concrete, detailed and transparent; 

–  Monitoring and evaluation need to be strengthened. 

The recommendations for direct actions in recent evaluation reports note that the JRC can 

– 

– 

– 

promote stronger integration in the production of knowledge in the Union;  

introduce impact analyses and cost-benefit studies of specific work as part of the new 
JRC programme;  

enhance cooperation with industry in order to strengthen effects for the benefit of the 
competitiveness of the European economy. 

1.5.4.  Coherence and possible synergy with other relevant instruments 

The  Euratom  Programme  (2014-2018)  shall  contribute  to  the  objectives  outlined  in  the 
'Horizon  2020'  Framework  Programme  for  Research  and  Innovation  (2014-2020). 
Accordingly,  appropriate  links  and  interfaces  between  the  Euratom  Programme  and  the 
'Horizon  2020'  Framework  Programme  will  be  established  by  means  of  the  cross-cutting 
actions 

1.6. 

Duration and financial impact  

(cid:58) Proposal/initiative of limited duration  

–  (cid:58)  Proposal/initiative in effect from 01/01/2014 to 31/12/2018  

–  (cid:58)  Financial impact from 2014 to 2026 

(cid:133) Proposal/initiative of unlimited duration 

–  Implementation with a start-up period from YYYY to YYYY, 

–  followed by full-scale operation. 

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36 

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1.7.  Management mode(s) envisaged31  

(cid:58) Centralised direct management by the Commission  

(cid:58) Centralised indirect management with the delegation of implementation tasks to: 

–  (cid:58)  executive agencies  

–  (cid:58)  bodies set up by the Communities32  

–  (cid:58) national public-sector bodies/bodies with public-service mission  

–  (cid:133)  persons entrusted with the implementation of specific actions pursuant to Title V of 
the  Treaty  on  European  Union  and  identified  in  the  relevant  basic  act  within  the 
meaning of Article 49 of the Financial Regulation  

(cid:58) Shared management with the Member States (whenever appropriate) 

(cid:133) Decentralised management with third countries  

(cid:133) Joint management with international organisations (to be specified) 

If more than one management mode is indicated, please provide details in the ‘Comments’ section. 

Comments  

The Commission intends to use a variety of management modes to implement this activity 
building  on  the  management  modes  used  under  the  current  financial  perspectives. 
Management  will  be  through  the  services  of  the  Commission  and  through  the  existing 
Executive  Agencies  of  the  Commission  renewing  and  extending  their  mandates  in  a 
balanced manner.  

Externalisation  of  further  activities  of  the  Euratom  Programme,  in  particular  through 
recourse  to  existing  agencies,  is  foreseen  as  long  as  it  is  compatible  with  keeping  core 
policy  competences  within  Commission  services.  The  externalisation  means  retained  to 
implement  these  activities  will  be  selected  on  the  basis  of  their  proven  effectiveness  and 
efficiency.  At  the  same  time,  the  staff  assigned  to  the  Executive  Agencies  of  the 
Commission will have to increase in proportion to the part of the budget corresponding to 
the externalised activities and taking into account the commitment on staffing made by the 
Commission (A Budget for Europe 2020 COM (2011) 500).  

31 

32 

Details of management modes and references to the Financial Regulation may be found on the BudgWeb site: 
http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html 
As referred to in Article 185 of the Financial Regulation. 

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2. 

MANAGEMENT MEASURES  

Simplification 

The  Euratom  Programme  must  attract  the  most  excellent  researchers  and  the  most 
innovative European enterprises. This can only be reached by a programme with the least 
possible  administrative  burden  for  participants  and  by  appropriate  funding  conditions. 
Simplification  of  the  Euratom  Programme  is  part  of  the  broader  simplification  process 
proposed  for  'Horizon  2020'.  Like  for  'Horizon  2020',  simplification  in  the  Euratom 
Programme will therefore target three overarching goals: to reduce the administrative costs 
of  the  participants;  to  accelerate  all  processes  of  proposal  and  grant  management  and  to 
decrease the financial error rate.  

Simplification in the Euratom Programme will be achieved along several dimensions.  

1)  Structural  simplification:  'Horizon  2020'  rules  will  be  used  also  for  the  Euratom 
Programme. 

2) Major simplification of funding rules will make the preparation of proposals and the 
management of projects easier. At the same time, they will reduce the number of financial 
errors. The following approach is proposed: 

Main funding model for grants: 

– 

– 

– 

– 

– 

– 

Simplified  reimbursement  of  real  direct  costs,  with  a  broader  acceptance  of 
beneficiaries’ usual accounting, including the eligibility of certain taxes and charges; 

The  possibility  of  using  unit  personnel  costs  (average  personnel  costs)  for 
beneficiaries  for  which  this  is  their  usual  accounting  method,  and  for  SME  owners 
without a salary; 

Simplification  of  time-recording  by  providing  a  clear  and  simple  set  of  minimum 
conditions,  in  particular  abolition  of  time-recording  obligations  for  staff  working 
exclusively on Union project; 

One single reimbursement rate for all participants instead of 3 different rates by type 
of participant; 

One single flat rate covering indirect costs, instead of 4 methods to calculate indirect 
costs, as a general rule; 

Output-based funding with lump sums for whole projects in specific areas. 

3)  A  revised  control  strategy,  as  described  in  section  2.2.2,  achieving  a  new  balance 
between trust and control will further reduce the administrative burden for participants.  

Beyond  the  simpler  rules  and  controls,  all  procedures  and  processes  for  project 
implementation will be rationalised. This includes the detailed provisions on the content 
and shape of proposals, the processes for turning proposals into projects, the requirements 
for  reporting  and  monitoring,  as  well  as  the  related  guidance  documents  and  support 
services. A major contribution to reduced administrative costs for participation will come 

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38 

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from  a  single  user-friendly  IT  platform,  based  on  the  Union’s  Seventh  Framework 
Programme for R&D (2007-2013) (‘FP7’) Participant Portal. 

2.1.  Monitoring and reporting rules  

A new system will be developed for the evaluation and monitoring of the indirect actions 
of  the  Euratom  Programme.  It  will  be  based  on  a  comprehensive,  well-timed  and 
harmonised strategy, with a strong focus on throughput, output, results and impacts. It will 
be  supported  by  an  appropriate  data  archive,  experts,  a  dedicated  research  activity,  and 
increased cooperation with Member States and Associated States, and it will be valorised 
through appropriate dissemination and reporting. For direct actions, the JRC will continue 
to improve its monitoring by further adjusting its indicators measuring output and impact. 

2.2.  Management and control system  

A  2  %  error  limit  was  adopted  as  chief  indicator  in  the  area  of  legality  and  regularity 
concerning  the  area  of  research.  However,  this  has  caused  a  number  of  unexpected  or 
undesirable side-effects. There has been a strong feeling, amongst the beneficiaries as well 
as  amongst  the  legislative  authority,  that  the  control  burden  has  become  too  great.  This 
runs  the  risk  of  lowering  the  attractiveness  of  the  Union  research  programmes  including 
the Euratom Programme, and so negatively affecting Union research and innovation. 

The  European  Council  of  February  4th  2011  concluded  that  ‘it  is  crucial  that  EU 
instruments aimed at fostering R&D&I be simplified in order to facilitate their take-up by 
the best  scientists  and the most innovative companies, in particular by agreeing between 
the relevant institutions a new balance between trust and control and between risk taking 
and risk avoidance’ (see EUCO 2/1/11 REV1, Brussels 8 March 2011). 

The European Parliament, in its Resolution of 11 November 2010 (P7_TA(2010)0401) on 
simplifying  the  implementation  of  the  Research  Framework  Programmes  explicitly 
supports  a  higher  risk  of  errors  for  research  funding  and  "expresses  its  concern  that  the 
current system and the practice of FP7 management are excessively control-oriented, thus 
leading to waste of resources, lower participation and less attractive research landscapes; 
notes with concern that the current management system of ‘zero risk tolerance’ seems to 
avoid, rather than to manage, risks".  

The sharp increase in the number of audits and the subsequent extrapolation of results has 
also provoked a wave of complaints from the world of research (e.g. the Trust Researchers 
initiative33, with over 13,800 signatures so far). 

There  is  therefore  an  acceptance  among  stakeholders  and  Institutions  that  the  current 
approach  needs  to  be  reviewed.  There  are  other  objectives  and  interests,  especially  the 
success  of  the  Research  policy,  international  competitiveness  and  scientific  excellence, 
which  should  also  be  considered.  At  the  same  time,  there  is  a  clear  need  to  manage  the 
budget  in  an  efficient  and  effective  manner,  and  to  prevent  fraud  and  waste.  These  are 
common challenges for the 'Horizon 2020' and the Euratom Programme. 

It remains the ultimate objective of the Commission to achieve a residual error rate of less 
than  2%  of  total  expenditure  over  the  lifetime  of  the  programme,  and  to  that  end,  it  has 

33 

http://www.trust-researchers.eu/ 

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39 

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introduced  a  number  of  simplification  measures.  However,  other  objectives  such  as  the 
attractiveness and the success of the Union research policy, international competitiveness, 
scientific  excellent  and  in  particular  the  costs  of  controls  (see  point  2.2.2)  need  to  be 
considered. 

Taking these elements in balance, it is proposed that the Directorates General charged with 
the  implementation  of  the  research  and  innovation  budget  will  establish  a  cost-effective 
internal  control  system  that  will  give  reasonable  assurance  that  the  risk  of  error  over  the 
course of the multiannual  expenditure period  is, on an annual basis, within a range of 2-
5%; with the ultimate aim to achieve a residual level of error as close as possible to 2% at 
the  closure  of  the  multiannual  programmes,  once  the  financial  impact  of  all  audits, 
correction and recovery measures have been taken into account.  

2.2.1. 

Internal control framework  

The internal control framework for grants is built on: 

– 

– 

– 

– 

– 

– 

The implementation of the Commission's Internal Control Standards; 

Procedures for selecting the best projects and translating them into legal instruments; 

Project and contract management throughout the lifetime of every project; 

Ex-ante checks on 100% of claims, including receipt of audit certificates and ex-ante 
certification of cost methodologies;  

Ex post audits on a sample of claims; and  

Scientific evaluation of project results.  

For  direct  actions,  financial  circuits  include  ex-ante  checks  for  procurement  and  ex-post 
controls.  Risks  are  assessed  annually  and  progress  in  the  execution  of  work  and  the 
consumption  of  resources  is  monitored  regularly,  based  on  defined  objectives  and 
indicators. 

2.2.2.  Costs and benefits of the controls  

The cost of the internal control system for the Commission's Directorates General charged 
with  the  implementation  of  the  research  and  innovation  budget  (including  Euratom)  is 
estimated at €267m per year (based on the 2009 Tolerable Risk of Error exercise). It has 
also  led  to  a  considerable  burden  on  beneficiaries  and  Commission  services.  There  has 
been  a  strong  feeling,  amongst  the  beneficiaries  as  well  as  amongst  the  legislative 
authority, that the control burden has become too great. This runs the risk of lowering the 
attractiveness  of  the  Union  Research  programme,  and  so  negatively  affecting  Union 
research and innovation. 

43 % of the total costs of control of the Commission services (not including the costs of the 
beneficiary) are borne at the stage of project management, 18 % on selection of proposals, 
and  16  %  on  negotiation  of  contracts  (16  %).  Ex  post  audits  and  their  resulting 
implementation amounted to 23 % (€61m) of the total. 

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40 

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However,  this  considerable  control  effort  has  not  managed  to  fully  achieve  its  objective. 
The  estimated  "residual"  error  rate  for  FP6,  after  taking  account  of  all  recoveries  and 
corrections that have been or will be implemented, remains over 2 %. The current rate of 
error from audits of FP7 carried out by the Directorate General Research and Innovation is 
around  5  %,  and  although  this  will  be  reduced  due  to  the  effects  of  the  audits,  and  is 
somewhat  biased  because  it  is  concentrated  on  beneficiaries  not  previously  audited,  it  is 
unlikely whether the 2 % residual error will be attained. The rate of error identified by the 
European Court of Auditors is in a similar range.  

2.2.3.  Expected level of risk of non-compliance  

The  starting  point  is  the  status  quo,  based  on  audits  carried  out  in  FP7  so  far.  This 
preliminary representative error rate is close to 5 % (for the Directorate General Research 
and  Innovation).  The  majority  of  errors  detected  arise  because  the  present  system  of 
research funding is based on the reimbursement of the actual costs of the research project 
declared by the participant. This leads to considerable complexity regarding the assessment 
of eligible costs. 

An analysis of error rates has been carried out for the FP7 audits so far performed in the 
Directorate General Research and Innovation shows that:  

- Around 27% by number, and 35% by amount, relate to errors in the charging of personnel 
costs.  Regular  problems  identified  are  charging  average  or  budgeted  costs  (rather  than 
actual costs), failure to keep adequate records of time spent on the programme, charging of 
ineligible items. 

- Around 40% by number, and 37% by value, relate to other direct costs (not personnel). 
Regular  errors  identified  are  the  inclusion  of  VAT,  lack  of  a  clear  link  to  the  project, 
failure  to  provide  invoices  or  proof  of  payment  and  incorrect  calculation  of  depreciation 
charging  the  full  cost  of  equipment  rather  than  the  depreciated  amount,  subcontracting 
without prior authorization, or without respecting the rules of value for money, etc. 

- Around 33% by number, and 28% by amount, relate to errors in indirect costs. The same 
risks  apply  as  for  personnel  costs,  with  the  additional  risk  of  an  inaccurate  or  unfair 
allocation of overheads to projects. 

In a number of cases the indirect costs are a flat rate percentage of direct costs, and so the 
error in indirect costs is proportional to the error in direct costs. 

'Horizon 2020' and the Euratom Programme introduces a significant number of important 
simplification  measures  (see  point  2  above)  that  will  lower  the  error  rate  in  all  the 
categories  of  error.  However,  the  consultation  of  stakeholders  and  the  institutions  on 
further  simplification,  and  the  Horizon  2020  impact  assessment,  clearly  indicate  that  the 
continuation of a funding model based on the reimbursement of actual costs is the favoured 
option.  A  systematic  resort  to  output  based  funding,  flat  rates  or  lump  sums  appears 
premature  at  this  stage  as  such  a  system  has  not  been  tested  in  previous  programmes  . 
Retaining  a  system  based  on  the  reimbursement  of  actual  costs  does  however  mean  that 
errors will continue to occur. 

An analysis of errors identified during audits of FP7 suggests that around 25-35% of them 
would  be  avoided  by  the  simplification  measures  proposed.  The  error  rate  can  then  be 
expected to fall by 1.5%, i.e. from close to 5% to around 3.5%, a figure that is referred to 

EN 

41 

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in  the  Commission  Communication  striking  the  right  balance  between  the  administrative 
costs of control and the risk of error. 

The  Commission  considers  therefore  that,  for  research  spending  under  the  Euratom 
Programme, a risk of error, on an annual basis, within a range between 2-5% is a realistic 
objective taking into account the costs of controls, the simplification measures proposed to 
reduce  the  complexity  of  rules  and  the  related  inherent  risk  associated  to  the 
reimbursement of costs of the research project. The ultimate aim for the residual level of 
error  at  the  closure  of  the  programmes  after the  financial  impact  of  all  audits,  correction 
and recovery measures will have been taken into account is to achieve a level as close as 
possible to 2%  

The  ex-post  audit  strategy  for  expenditure  under  Horizon  2020  and  the  Euratom 
Programme takes account of this target. It will be based on the financial audit of a single 
representative  sample  of  expenditure  across  the  whole  programme,  complemented  by  a 
sample compiled on the basis of risk considerations.  

The  overall  number  of  ex-post  audits  will  be  limited  to  that  strictly  necessary  to  the 
achievement of this  target  and  the strategy. As a guide, the Commission considers  that a 
maximum of 7% of participants in Horizon 2020 and in the Euratom Programme would be 
subject  to  audit  over  the  whole  programming  period.  Past  experience  shows  that  the 
expenditure  subject  to  audit  would  be  considerably  higher,  a  minimum  of  40%  coverage 
can be expected.  

The  ex-post  audit  strategy  regarding  legality  and  regularity  will  be  complemented  by 
reinforced scientific evaluation and the anti-fraud strategy (see point 2.3 below). 

This scenario is based on the assumption that the measures of simplification are not subject 
to substantial modifications in the decision making process. 

Note: this section only concerns the process of grant management, for administrative and 
operational expenditure implemented through public procurement processes the 2% ceiling 
will apply as tolerable risk of error.  

2.3.  Measures to prevent fraud and irregularities  

The Directorates General charged with the implementation of the research and innovation 
budget are determined to fight against fraud at all stages of the grant management process. 
They have developed, and are implementing, anti-fraud strategies, including an enhanced 
use  of  intelligence,  especially  using  advanced  IT  tools,  and  training  and  information  for 
staff. Sanctions have been developed to provide deterrents to fraud, as well as appropriate 
penalties if they are identified. These efforts will continue. The proposals for Horizon 2020 
and  the  Euratom  Programme  have  been  subject  to  fraud  proofing  and  an  assessment  of 
their  impact.  Overall  the  measures  proposed  should  have  a  positive  impact  on  the  fight 
against fraud, especially the greater emphasis on risk based audit and reinforced scientific 
evaluation and control. 

It  should  be  underlined  that  detected  fraud  has  been  very  low  in  proportion  to  total 
expenditure, nevertheless the Directorates General charged with the implementation of the 
research budget remain committed to combat it. 

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

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

The European Anti-fraud Office (OLAF) may carry out on-the-spot checks and inspections 
on economic operators concerned directly or indirectly by such funding in accordance with 
the  procedures  laid  down  in  Regulation  (Euratom,  EC)  No 2185/96  with  a  view  to 
establishing whether there has been fraud, corruption or any other illegal activity affecting 
the financial interests of the Union in connection with a grant agreement or grant decision 
or a contract concerning Union funding.  

Without  prejudice  to  the  paragraphs  above,  cooperation  agreements  with  third  countries 
and  international  organisations  and  grant  agreements  and  grant  decisions  and  contracts 
resulting  from  the  implementation  of  this  Regulation  shall  expressly  empower  the 
Commission, the Court of Auditors and OLAF to conduct such audits, on-the-spot checks 
and inspections.  

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3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1. 

Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected  

•  Existing expenditure budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of  
expenditure

Contribution  

Number  
[Description………………………...……….]

DA/NDA
(34) 

from 
EFTA35 
countries 

from 
candidate 
countries36 

from 
third 
countries 

within the 
meaning of 
Article 
18(1)(aa) 
of the 
Financial 
Regulation 

DA 

NO 

YES/NO 
* 

YES 

YES 

Heading of 
multiannual 
financial 
framework 

1 

34 
35 
36 

DA= Differentiated appropriations / DNA= Non-Differentiated Appropriations 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 

EN 

44 

   EN 

 
 
 
 
 
 
 
 
 
                                                 
•  New budget lines requested  

Heading of 
multiannual 
financial 
framework 

Budget line 

Type of 
expenditure

Contribution  

Number  
Heading 

Diff./non-
diff. 

from EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

within the 
meaning of 
Article 18(1)(aa) 
of the Financial 
Regulation  

1 

08 01 Administrative 
expenditure Research 
08 01 05 01 
Expenditure related to 
Research Staff 
08 01 05 02 External 
staff for Research 
08 01 05 03 Other 
management 
expenditure for 
Research 

10  01  Expenditure  of 
Direct  Research  policy 
area 
10 01 05 Support 
expenditure for 
operations of Direct 
research policy area 
10 01 05 01 
Expenditure related to 
research staff 
10  01  05  02  External 
staff for research 
10 01 05 03 Other 
management 
expenditure for 
research 
10 01 05 04 - Research 
infrastructures 

08 03 02 01 Euratom 
Fusion Energy 
08 03 02 02 Euratom 
Nuclear Fission and 
Radiation Protection 
08 04 01 
Appropriations 
accruing from 
contributions from 
third parties to research 
and technological 
development 

10 03 Directly financed 
Research operational 
appropriations– 
Euratom 
10  03  01  Nuclear 
Joint 
action  of 

the 

Non-Diff. 

NO 

YES/NO* 

YES 

NO 

EN 

45 

   EN 

 
 
 
 
 
 
Research Centre (JRC) 

10 03 02 
Appropriations 
accruing from 
contributions from 
third parties 

* Discussions with Turkey related to Association Agreements in the field of Nuclear Research are ongoing 

The JRC requests a new budget line for infrastructure investments. Most of the JRC facilities 
date from the 60's and 70's and are not state of the art anymore. As a consequence, new facilities 
and  the  upgrading  of  the  existing  infrastructure  are  necessary  to  carry  out  the  JRC  multi-annual 
work-programme  in  compliance  with  EU  safety  and  security  standards  as  well  as  with  the 
EU/20/20/20  environmental  objectives.  The  JRC  has  established  its  "Infrastructure  Development 
plan 2014 – 2020"; identifying the investment needs till 2020 for all JRC sites that are reflected in 
the new budget line proposed. 

The  JRC  is  a  Commission  DG  spread  over  five  different  countries  with  7  scientific  Institutes 
located  in  five  EU  Member  States:  Ispra  (Italy),  Geel  (Belgium),  Petten  (the  Netherlands), 
Karlsruhe  (Germany)  and  Seville  (Spain).  The  research  facilities  of  the  JRC  include  nuclear 
installations and a wide range of unique highly specialised laboratories that need to comply with the 
nuclear,  environmental  and  safety  regulations  of  each  host  country.  The  required  specialised 
technical  services  to  maintain  and  operate  these  facilities  are  provided  by  JRC  staff  (including 
safety and security, fire brigade, etc.) and have no equivalent in other Commission services. 

Budget line 10.01.05.01 is used to finance officials occupying a post in the JRC staff table, whilst 
line  10.01.05.02  covers  external  personnel  under  temporary  contract  (Contract  Agents,  Detached 
National  Experts,  Grantholders,  Trainees,  etc.)  to  allow  the  JRC  to  remain  at  the  forefront  of 
research and cope with the specific needs related to its mission as direct scientific support service to 
the Commission. 

These  staff  credits  are  mainly  devoted  to  finance  scientists  and  technicians  working  in  scientific 
actions  implementing  the  JRC  work  programme.  The  mere  "administrative"  component  of  these 
lines is relatively low (below 20%), as confirmed by DG HR during its annual "screening" exercise. 

Budget line 10.01.05.03 refers to the support of the nuclear and non nuclear scientific and technical 
infrastructure.  A  major  part  of  the  credits  under  this  line  is  devoted  to  (1)  ensure  the  normal 
operation of the JRC institutes (i.e. maintenance, technical equipment, water/gas/electricity supply, 
safety/security, radioprotection, IT, telecommunication, data processing, etc.), and (2) non-recurrent 
operations (renovation works, modernisation of the existing facilities, compliance to new standards, 
etc.). 

EN 

46 

   EN 

 
 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure – Indirect Research in current prices -EUR million (to 3 decimal places) 

Heading of multiannual financial 
framework:  

Indirect Research  

1 

Smart and Inclusive Growth 

Year 

Year 

Year 

Year 

Year 

Year 

TOTAL 

(cid:121) Operational appropriations  

2014 

2015 

2016 

2017 

2018 

> 2018 

Number of budget line: 08 03 02 total 

Number of budget line: 08 03 02 01 

Number of budget line: 08 03 02 02 

Commitments 

Payments 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1) 

(2) 

(1) 

(2) 

159.641 
100.131 
108.073 
80.065 
51.568 
20.066 

171.785 
125.934 
116.201 
94.967 
55.584 
30.967 

184.350 
152.733 
124.612 
104.867 
59.739 
47.867 

197.350 
162.535 
133.312 
107.771 
64.038 
54.764 

210.794 
196.821 
142.309 
128.659 
68.485 
68.162 

185.766 

108.178 

77.589 

Appropriations of an administrative nature financed from the envelope of the Euratom 
Programme37  
08 01 05 01 Expenditure related to Research Staff 
08 01 05 02 External staff for Research 
08 01 05 03 Other management expenditure Research 

17.780 
2.240 
7.007 

18.136 
2.285 
7.147 

18.498 
2.330 
7.290 

18.868 
2.377 
7.436 

19.246 
2.425 
7.585 

Number of budget line: 08 01 05 

(3) 

27.027 

27.568 

28.119 

28.681 

29.255 

923.920 
923.920 
624.507 
624.507 
299.414 
299.415 

92.529 
11.657 
36.465 

140.650 

1064.570 

TOTAL appropriations 
for DG Research & Innovation 

Commitments 

=1+1a +3 

186.668 

199.353 

212.469 

226.031 

240.049 

Payments 

=2+2a+3 

127.158 

153.502 

180.852 

191.216 

226.076 

185.766 

1064.570 

(cid:121) TOTAL operational appropriations  

Commitments 

(4) 

159.641 

171.785 

184.350 

197.350 

210.794 

923.920 

37 

EN 

Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect research, direct 
research. 

47 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(cid:121)  TOTAL  appropriations  of  an  administrative  nature  financed  from  the 
envelope of the Euratom Programme  

Payments 

(5) 

(6) 

100.131 

125.934 

152.733 

162.350 

196.821 

185.766 

923.920 

27.027 

27.568 

28.119 

28.681 

29.255 

0 

140.650 

TOTAL appropriations  
under HEADING 1 
of the multiannual financial framework 

Commitments 

=4+ 6 

186.668 

199.353 

212.469 

226.031 

240.049 

1064.570 

Payments 

=5+ 6 

127.158 

153.502 

180.852 

191.216 

226.076 

185.766 

1064.570 

If more than one heading is affected by the proposal / initiative: 

NA

EN 

48 

EN 

 
  
 
Heading of multiannual financial framework: 

5 

Administrative expenditure 

in current prices - EUR million (to 3 decimal places) 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

TOTAL 

DG: Research / Direct Research 

(cid:121) Human resources  
(cid:121) Other administrative expenditure  

TOTAL DG <…….> 

Appropriations  

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

0 

0 

0 

0 

2014 

2015 

2016 

2017 

2018 

> 2018 

TOTAL 

in current prices - EUR million (to 3 decimal places) 

TOTAL appropriations  
under HEADINGS 1 to 5 
of the multiannual financial 
framework  

Commitments 

186.668 

199.353 

212.469 

226.031 

240.049 

1064.570 

Payments 

127.158 

153.502 

180.852 

191.216 

226.076 

185.766 

1064.570 

3.2.1. Summary of estimated impact on expenditure – Direct Research 

in current prices - EUR million (to 3 decimal places) 

EN 

49 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial framework: 

1 

Smart and Inclusive Growth 

Year 

Year 

Year 

Year 

Year 

Year  

2014 

2015 

2016 

2017 

2018 

≥ 2019 

TOTAL 

DG JRC 

Direct Research 

(cid:121) Operational appropriations  

Number of budget line: 10.03 

Number of budget line: 10.03.01 

Commitments 

Payments 

Commitments 

Payments 

Appropriations 
of 
 from the envelope of the Euratom Programme38  
10 01 05 

an 

administrative 

nature 

10 01 05 01 
10 01 05 02  
10 01 05 03 
10 01 05 04 

TOTAL appropriations 
for DG JRC / Direct Research  

(1a) 

(2a) 

(1a) 

(2a) 
financed 

10.457 
4.706 
10.457 
4.706 

10.666 
8.982 
10.666 
8.982 

10.879 
10.208 
10879 
10.208 

11.097 
10.935 
11.097 
10.935 

11.319 
11.153 
11.319 
11.153 

0 
8.434 
0 
8.434 

126.796 
61.598 
11.205 
38.706 
15.286 

130.284 
63.754 
11.457 
39.481 
15.592

133.874 
65.986 
11.715 
40.270 
15.903

137.571 
68.295 
11.979 
41.076 
16.222 

141.377 
70.686 
12.248 
41.897 
16.546

54.417 
54.417 
54.417 
54.417 

669.901 
330.319 
58.604 
201.430 
79.549 

724.319 

Commitments 

=1+1a +3 

137.253 

140.950  144.753  148.668 

152.695 

Payments 

=2+2a+3 

131.501 

139.266  144.082  148.506 

152.530 

8.434 

724.319 

(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature  financed 
from the envelope for the Euratom Programme  

(4) 

(5) 

(6) 

10.457 

10.666 

4.706 

8.982 

10.879 

10.208 

11.097 

10.935 

11.319 

11.153 

0 

8.434 

54.417 

54.417 

126.796 

130.284 

133.874 

137.571 

141.377 

0 

669.901 

38 

EN 

Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect research, direct 
research. 

50 

EN 

 
  
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
TOTAL appropriations  
under HEADING 1 
of the multiannual financial framework 

Commitments 

Payments 

=4+ 6 

=5+ 6 

If more than one heading is affected by the proposal / initiative: 

NA 

137.253 

140.950 

144.753 

148.668 

152.695 

0 

724.319 

131.501 

139.266 

144.082 

148.506 

152.530 

8.434 

724.319 

Heading of multiannual financial framework: 

5 

Administrative expenditure 

in current prices - EUR million (to 3 decimal places) 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

TOTAL 

DG: Research / Direct Research 

(cid:121) Human resources  
(cid:121) Other administrative expenditure  

TOTAL DG <…….> 

Appropriations  

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

in current prices - EUR million (to 3 decimal places) 

Year 
2014 

Year 
2015 

Year 
2016 

Year 2017  Year 2018 

> 2018 

TOTAL 

TOTAL appropriations  
under HEADINGS 1 to 5 

Commitments 

Payments 

137.253 

140.950 

144.753 

148.668 

152.695 

0 

724.319 

131.501 

139.266 

144.082 

148.506 

152.530 

8.434 

724.319 

EN 

51 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
of the multiannual financial framework  

Summary of estimated impact on expenditure Indirect Research + Direct Research 

in current prices - EUR million (to 3 decimal places) 

Heading of multiannual financial framework: 

1  

Smart and Inclusive Growth  

Summary  

Indirect Research / Direct Research 

(cid:121) Operational appropriations  

Number of budget line: 08 03 02 

Number of budget line: 10.03 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1a) 

(2a) 

Appropriations of an administrative nature financed  
 from the envelope of Euratom Programme39  
08 01 05 
10 01 05 

Year 

Year 

Year 

Year 

Year 

Year 

TOTAL 

2014 

2015 

2016 

2017 

2018 

> 2018 

159.641 
100.131 
10.457 
4.706 
27.027 

171.785 
125.934 
10.666 
8.982 
27.568 

184.350 
152.733 
10.879 
10.208 
28.119 

197.350 
162.535 
11.097 
10.935 
28.681 

210.794 
196.821 
11.319 
11.153 
29.255 

137.252 

140.950 

144.753 

148.669 

152.696 

185.766 
0 
8.434 
0 

0 
0 

Number of budget line: 08 01 05 / 10 01 05 

(3) 

153.822 

157.852 

161.992 

166.253 

170.632 

TOTAL appropriations 
for DG Research & Innovation / Direct 
Research  

Commitments 

=1+1a +3 

323.920 

340.303  357.221  374.700 

392.745 

Payments 

=2+2a+3 

258.659 

292.768  324.933  339.723 

378.606 

194.200 

923.920 
923.920 
54.417 
54.417 
140.650 

724.320 

810.551 

1788.889 

1788.889 

(cid:121) TOTAL operational appropriations  

Commitments 

(4) 

170.098 

182.451  195.229  208.447 

222.113 

978.338 

39 

EN 

Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect research, direct 
research. 

52 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
104.837 

134.916  162.941  173.470 

207.974 

194.200 

153.822 

157.852 

161.992 

166.253 

170.632 

323.920 

340.303  357.221  374.700 

392.745 

258.659 

292.768  324.933  339.723 

378.606 

194.200 

978.338 

810.551 

1788.889 

1788.889 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature  financed  from  the 
envelope of Euratom Programme programs  

Payments 

TOTAL appropriations  
under HEADING 1 a 
of the multiannual financial framework 

Commitments 

Payments 

If more than one heading is affected by the proposal / initiative: 

(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature  financed  from  the 
envelope of the Euratom Programme  

TOTAL appropriations  
under HEADINGS 1 to 4 
of the multiannual financial framework 
(Reference amount) 

Commitments 

Payments 

(5) 

(6) 

=4+ 6 

=5+ 6 

(4) 

(5) 

(6) 

=4+ 6 

=5+ 6 

EN 

53 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.2.2.  Estimated impact on operational appropriations  

–  (cid:133)  The proposal/initiative does not require the use of operational appropriations  
–  X  The proposal/initiative requires the use of operational appropriations, as explained below: 

Year 2014 

Year 2015 

Year 2016 

Year 2017 

Year 2018 

TOTAL 

Commitment appropriations in EUR million (to 3 decimal places) 

Indicate objectives and outputs  

(cid:216) 

Type 
of 
output
40 

Avera
ge 
cost 
of the 
output 

  Cost 
s
t
u
p
t
u
o

r

N

f
o

r

N

s
t
u
p
t
u
o

f
o

Cost 

SPECIFIC OBJECTIVES N° 1-8 for indirect actions41 

- Output – EURATOM Fusion 

** 

** 

100 

108.073 

100 

116.201 

- Output – EURATOM Fission  

25 

51.568 

25 

55.584 

r

N

s
t
u
p
t
u
o

f
o

100 

25 

Sub-total for specific objective N°1-8 for indirect actions 

SPECIFIC OBJECTIVES N° 1-5 for direct actions42 

OUTPUTS 

Cost 

  Cost 
s
t
u
p
t
u
o

r

N

f
o

r

N

s
t
u
p
t
u
o

f
o

Cost 

Total 
number 
of 
outputs 

Total  
cost 

124.612 

100 

133.312 

100 

142.309 

59.739 

25 

64.038 

25 

68.485 

500 

125 

624.507 

299.414 

- Output – EURATOM Direct 
research- JRC

*** 

*** 

150 

10.457 

150 

10.666 

150 

10.879 

150 

11.097 

150 

11.319 

750 

54.417 

Sub-total for specific objective N°1-5 for direct actions 

150 

10.457 

150 

10.666 

150 

10.879 

150 

11.097 

150 

11.319 

750 

54.417 

TOTAL COST 

275 

170.098 

275 

182.451 

275 

195.229 

275 

208.447 

275 

222.113 

1,375 

978.338 

(*) 
(**) 
(***) 

estimated number of outputs 
usual output of a research grant is a report describing facts, findings and results.  
Type of output: Products and services for EU policy makers.  

40 
41 
42 

Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 
As described in Section 1.4.2. "Specific objectives for indirect actions" 
As described in Section 1.4.2. "Specific objectives for direct actions" 

EN 

54 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Average cost of the output: The cost of each output is very variable. For instance, a routine deliverable (e.g. a periodical crop forecast bulletin) is not comparable to a final report of a large and possibly 
expensive  study  for  which  a  considerable  amount  of  credits  may  have  led  to  a  single  study  document.  Both  are  relevant  and  useful  but  serve  very  different  purposes.  The  average  cost 
indicated is just a mathematical calculation dividing the budget by the estimated number of outputs. 

EN 

55 

EN 

 
  
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

–  (cid:133)  The  proposal/initiative  does  not 

require 

the  use  of  administrative 

appropriations  

–  X  The  proposal/initiative  requires  the  use  of  administrative  appropriations,  as 

explained below: 

EUR million (to 3 decimal places) 

Year 
2014 

Year 
2015  

Year 2016  Year 2017  Year 2018  TOTAL 

HEADING 5 
of the multiannual financial 
framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual financial 
framework  

Year 
2014 

Year 
2015  

Year 2016 

Year 2017 

Year 2018 

Outside 
HEADING 543 
of the multiannual 
financial framework 

Indire
ct 
Resea
rch 

Direct 
Resea
rch 

Indire
ct 
Resea
rch 

Direct 
Resea
rch 

Indire
ct 
Resea
rch 

Direct 
Resea
rch 

Indire
ct 
Resea
rch 

Direct 
Resea
rch 

Indire
ct 
Resea
rch 

Direct 
Resea
rch 

Human resources  

20.020 

72.803 

20.421 

75.211 

20.828 

77.701 

21.245 

80.274 

21.671 

82.934 

7.007 

53.992 

7.147 

55.072 

7.290 

56.174 

7.436 

57.297 

7.585 

58.443 

27.02
7 

126.796 

8
6
5
.
7
2

8
6
5
.
7
2

130.284 

28.118 

133.874 

28.681 

137.571 

29.256 

141.377 

130.284 

28.118 

133.874 

28.681 

137.571 

29.256 

141.377 

TOTAL* 

27.02
7 

126.796 

Other expenditure 
of an 
administrative 
nature 

Subtotal  
outside HEADING 
5 
of the multiannual 
financial framework 

*These figures might be adjusted as a result of the envisaged externalisation procedure.  

43 

Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of  EU 
programmes and/or actions (former "BA" lines), indirect research, direct research. 

EN 

56 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.  Estimated requirements of human resources  

–  (cid:133)  The proposal/initiative does not require the use of human resources  

–  X  The proposal/initiative requires the use of human resources, as explained below: 

Estimate to be expressed in full amounts (or at most to one decimal place) 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

(cid:121) Establishment plan posts (officials and temporary agents) 

X 01 01 01 (Headquarters and Commission’s 
Representation Offices) 

xx 01 01 02 (Delegations) 

08 01 05 01 (Indirect research)* 

10 01 05 01 (Direct research) 

140 

566 

140 

566 

140 

566 

140 

566 

140 

566 

(cid:121) External personnel (in Full Time Equivalent unit: FTE)44 

XX 01 02 01 (CA, INT, SNE from the "global 
envelope") 

XX 01 02 02 (CA, INT, JED, LA and SNE in the 
delegations) 
08 01 04 40 45 

- at Headquarters46 

- in delegations  

- officials and temporary agents 

- CA GFI-IV 

- SNE 

08 01 05 02 (CA, INT, SNE - Indirect research)* 

10 01 05 02 (CA, INT, SNE - Direct research) 

35 

194 

35 

194 

35 

194 

35 

194 

35 

194 

Other budget lines (specify) 

TOTAL 

935 

935 

935 

935 

935 

XX is the policy area or budget title concerned. 

* from these totals the officials, the temporary agents as well as the external staff managing 
the ITER project in the Headquarters (Brussels) have been taken out. These staff members 
have  been  mentioned  in  the  Supplementary  Research  Programme  for  the  ITER  project 
LFS.  

The  human  resources  required  will  be  met  by  staff  from  the  DG  who  are  already  assigned  to 
management of the action and/or have been redeployed within the DG, together if necessary with 
any  additional  allocation  which  may  be  granted  to  the  managing  DG  under  the  annual  allocation 
procedure and in the light of budgetary constraints. 

44 

45 
46 

CA= Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune Expert en Délégation" (Young Experts 
in Delegations); LA= Local Agent; SNE= Seconded National Expert;  
Under the ceiling for external personnel from operational appropriations (former "BA" lines). 
Essentially for Structural Funds, European Agricultural Fund for Rural Development (EAFRD) and European 
Fisheries Fund (EFF). 

EN 

57 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
                                                 
Description of tasks to be carried out: 

Officials and temporary agents 

External personnel 

Tasks  derived  from  the  implementation  of  the  Euratom 
Research  and  Training  Programme  (direct  and 
indirect 
actions),  in  particular  related  to  nuclear  waste  management, 
nuclear safety and nuclear safeguards and security. 

They  will  also  carry  out  activities  needed  to  decommission 
JRC Euratom Nuclear facilities 

3.2.4.  Compatibility with the current multiannual financial framework  

–  X Proposal/initiative is compatible the current multiannual financial framework. 

–  (cid:133)  Proposal/initiative  will  entail  reprogramming  of  the  relevant  heading  in  the 

multiannual financial framework. 

–  (cid:133)  Proposal/initiative requires application of the flexibility instrument or revision of the 

multiannual financial framework47. 

Not applicable 

3.2.5.  Third-party contributions  

–  (cid:133)  The proposal/initiative does not provide for co-financing by third parties  

–  X  The proposal/initiative provides for the co-financing estimated below: 

Appropriations in EUR million (to 3 decimal places) 

Year 
2014 - 2018 

Specify the co-financing body  

Third countries associated to the programme 

TOTAL appropriations co-financed * 

Pm 

the third party contribution will be added at a later 
stage 

* Third party contributions are not fixed yet; they will be added at a later stage 

47 

See points 19 and 24 of the Inter institutional Agreement. 

EN 

58 

   EN 

 
 
                                                 
3.3. 

Estimated impact on revenue  

–  (cid:133)  Proposal/initiative has no financial impact on revenue. 

–  X  Proposal/initiative has the following financial impact: 

– 

– 

(cid:133) 

X 

on own resources  

on miscellaneous revenue 

Budget 
revenue line: 

Appropriations available 
for the ongoing budget 
exercise 

Impact of the proposal/initiative48 

2014 until 2018 

EUR million (to 3 decimal places) 

Item 6011* 

Item 6012* 

Item 6013 

Item 6031** 

pm 

pm 

pm 

pm 

*  The  agreements  on  the  Swiss  contribution  as  well  as  on  the  JET  Joint  Fund  contribution  are  not  yet 
finalised. Discussions with Turkey related to cooperation in Nuclear Research are ongoing. 

For miscellaneous assigned revenue, specify the budget expenditure line(s) affected. 

08 04 01 Appropriations  accruing  from  contributions  from  (non-European  Economic  Area)  third  parties  to 
research, technological development and innovation. 

10 03  02 Appropriations  accruing  from  contributions from  (non  European  Economic  Area)  third parties  to 
research and technological development 

Specify the method for calculating the impact on revenue. 

Certain  associated  states  may  contribute  to  a  supplementary  funding  of  the  framework 
programme through Association Agreements. The method of calculation will be agreed in 
these  Association  Agreements  and  is  not  necessarily  the  same  method  in  all  agreements. 
Mostly the calculations are based on the GDP of the Associated State compared to the total 
GDP of the Members States whilst applying this percentage to the overall budget.  

48 

As  regards  traditional  own  resources  (customs  duties,  sugar  levies),  the  amounts  indicated  must  be  net 
amounts, i.e. gross amounts after deduction of 25% for collection costs. 

EN 

59 

   EN