Proposal for a COUNCIL DECISION Approving the conclusion by the European Commission on behalf of the European Atomic Energy Community of an Agreement on scientific and technological cooperation between the European Atomic Energy Community, of the one part, and the Swiss Confederation, of the other part, associating the Swiss Confederation to the Framework Programme of the European Atomic Energy Community for nuclear research and training activities (2012-2013)
Date: 2012-11-09
Institutions: European Commission
Subjects: EU programme, Switzerland, cooperation agreement (EU), nuclear research, scientific cooperation, vocational training

EUROPEAN 
COMMISSION 

Brussels, 9.11.2012  
COM(2012) 651 final 

2012/0310 (NLE) 

Proposal for a 

COUNCIL DECISION 

Approving the conclusion by the European Commission on behalf of the European 
Atomic Energy Community of an Agreement on scientific and technological cooperation 
between the European Atomic Energy Community, of the one part, and the Swiss 
Confederation, of the other part, associating the Swiss Confederation to the Framework 
Programme of the European Atomic Energy Community for nuclear research and 
training activities (2012-2013) 

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EXPLANATORY MEMORANDUM 

CONTEXT OF THE PROPOSAL 

Switzerland  was  associated  to  the  previous  Euratom  research  framework  programme 
(2007-2011)  on  the  basis  of  a  scientific  and  technological  cooperation  agreement  which 
was  signed  on  25  June  2007,  with  effect  from  1  January  2007.  By  letter  of  14th  March 
2011  Switzerland  expressed  its  interest  to  become  associated  to  the  Euratom  Framework 
Programme for 2012 and 2013. 

The Council has authorised the Commission to negotiate a new agreement to that effect on 
24  April  2012.  The  negotiations  of  the  new  agreement  were  conducted  in  line  with  the 
directives issued by the Council.  

This agreement will provide for the Swiss association to the Euratom research framework 
programme  for  the  years  2012-2013,  without  prejudice  to  the  terms  of  the  Cooperation 
Agreement  between  the  Swiss  Confederation  and  the  European  Atomic  Energy 
Community  in  the  field  of  controlled  thermonuclear  fusion  and  plasma  physics  of  1978. 
The new agreement will apply from 1st January 2012. 

Pursuant  to  Art.101  of  the  Treaty  Establishing  the  European  Atomic  Energy  Community 
the agreements are concluded by the Commission with the approval of the Council which 
shall  act  by  a  qualified  majority.  The  new  agreement  should  be  concluded  on  behalf  of 
Euratom.  

In light of the above considerations, the Commission requests the Council: 

- to approve the conclusion on behalf of the European Atomic Energy Community, of an 
Agreement  on  scientific  and  technological  cooperation  between  the  European  Atomic 
Energy  Community,  of  the  one  part,  and  the  Swiss  Confederation,  of  the  other  part, 
associating  the  Swiss  Confederation  to  the  Framework  Programme  of  the  European 
Atomic Energy Community for nuclear research and training activities (2012-2013). 

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2012/0310 (NLE) 

Proposal for a 

COUNCIL DECISION 

Approving the conclusion by the European Commission on behalf of the European Atomic 
Energy Community of an Agreement on scientific and technological cooperation between the 
European Atomic Energy Community, of the one part, and the Swiss Confederation, of the 
other part, associating the Swiss Confederation to the Framework Programme of the 
European Atomic Energy Community for nuclear research and training activities (2012-2013) 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Atomic Energy Community, and in particular 
Article 101 thereof, 

Having regard to the proposal from the European Commission, 

Whereas: 

(1) 

The European Commission has, on behalf of the European Atomic Energy Community and 
in  accordance  with  the  directives  from  the  Council,  negotiated  an  Agreement  with 
Switzerland  associating  the  Swiss  Confederation  to  the  Framework  Programme  of  the 
European  Atomic  Energy  Community  for  nuclear  research  and  training  activities  (2012-
2013), 

(2) 

It is consequently advisable to approve the conclusion by the European Commission of this 
Agreement,  

HAS ADOPTED THIS DECISION:  

Sole Article  

The  conclusion  by  the  European  Commission  on  behalf  of  the  European  Atomic  Energy 
Community  of  a  scientific  and  technological  cooperation  between  the  European  Atomic  Energy 
Community, of the one part, and the Swiss Confederation, of the other part, associating the Swiss 
Confederation  to  the  Framework  Programme  of  the  European  Atomic  Energy  Community  for 
nuclear  research  and  training  activities  (2012-2013)  is  hereby  approved.  Upon  conclusion  of  this 
Agreement  the  representative  of  the  European  Commission  shall  make  the  declaration  of  the 
European Commission on behalf of the European Atomic Energy Community attached in Annex I 
to this Decision. 

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The text of this Agreement is attached in Annex II to this Decision. 

Done at Brussels,  

For the Council 
The President 

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ANNEXES  

ANNEX I  

Declaration  of  the  European  Commission  on  behalf  of  the  European  Atomic  Energy 
Community 

The representatives of the Swiss Confederation have asked the Commission to confirm that the total 
amount  of  contributions  expected  of  the  Swiss  Confederation  for  the  year  2012  in  relation  to  all 
Euratom research activities will not exceed CHF 55 million. The Commission confirms that on the 
basis of the relevant statistical data and having regard to the proportionality factors governing the 
calculation of contributions expected of the Swiss Confederation for the year 2012 in relation to all 
Euratom  research  activities,  including  before  the  conclusion  of  this  agreement,  the  total  amount 
payable by the Swiss Confederation for the year 2012 will not exceed CHF 55 million. 

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ANNEX II 

AGREEMENT 

on scientific and technological cooperation between the European Atomic Energy 
Community, of the one part, and the Swiss Confederation, of the other part, associating the 
Swiss Confederation to the Framework Programme of the European Atomic Energy 
Community for nuclear research and training activities (2012-2013) 

THE EUROPEAN ATOMIC ENERGY COMMUNITY, 

(hereinafter referred to as ‘Euratom’), 

Represented by the European Commission (hereinafter referred to as the Commission), 

of the one part, 

and 

THE SWISS CONFEDERATION, 

(hereinafter referred to as ‘Switzerland’), represented by the Swiss Federal Council, 

of the other part, 

hereinafter referred to as ‘the Parties’, 

CONSIDERING  that  the  close  relationship  between  Switzerland  and  Euratom  is  of  benefit  to  the 
Parties; 

CONSIDERING  the  importance  of  scientific  and  technological  research  for  the  Parties  and  their 
mutual interest in cooperating in this matter in order to make better use of resources and to avoid 
unnecessary duplication; 

WHEREAS  the  Parties  are  currently  implementing  research  programmes  in  fields  of  common 
interest; 

WHEREAS the Parties have an interest in cooperating on these programmes to their mutual benefit; 

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CONSIDERING  the  interest  of  the  Parties  in  encouraging  the  mutual  access  of  their  research 
entities to research, technological development and training activities; 

WHEREAS  the  European  Atomic  Energy  Community  and  Switzerland  concluded  a  Cooperation 
Agreement in 1978 in the field of controlled thermonuclear fusion and plasma physics (hereinafter 
referred to as 'the Fusion Agreement'); 

WHEREAS  the  Parties  concluded  a  Framework  Agreement  on  8  January  1986  for  scientific  and 
technical  cooperation  (hereinafter  referred  to  as  'the  Framework  Agreement'),  which  entered  into 
force on 17 July 1987; 

CONSIDERING that Article 6 of the Framework Agreement states that the cooperation aimed at by 
the Framework Agreement is to be carried out through appropriate agreements; 

WHEREAS  on  25  June  2007  the  European  Union  and  Switzerland  signed  an  Agreement  on 
Scientific and Technological Cooperation, which entered into force on 28 February 2008 and was 
retroactively applied as of 1 January 2007; 

CONSIDERING  that  Article  9(2)  of  the  abovementioned  Agreement  provides  for  renewal  or 
renegotiation  of  the  Agreement  with  a  view  to  participation  in  new  multi-annual  Framework 
Programmes for research and technological development, under mutually agreed conditions; 

WHEREAS the Framework Programme of the European Atomic Energy Community (Euratom) for 
nuclear  research  and  training  activities  (2012-2013),  also  contributing  to  the  creation  of  the 
European  Research  Area  was  adopted  by  Council  Decision  2012/93/Euratom1,  Regulation 
(Euratom)  No  139/20122  and  Council  Decisions  2012/94/Euratom3  and  2012/95/Euratom4 
(hereinafter referred to as the ‘ Euratom Framework Programme 2012-2013’); 

WHEREAS  subject  to  the  provisions  of  the  Treaty  establishing  the  European  Atomic  Energy 
Community,  this  Agreement  and  any  activities  entered  into  under  it  will  not  affect  the  powers 
vested  in  the  Member  States  to  undertake  bilateral  activities  with  Switzerland  in  the  fields  of 
science, technology, research and development, and to conclude, where appropriate, agreements to 
that end; 

WHEREAS  Euratom  concluded  the  Agreement  on  the  establishment  of  the  ITER  International 
Fusion  Energy  Organization  for  the  Joint  Implementation  of  the  ITER  project.  Pursuant  to  its 
Article 21 and the Agreements in the form of an Exchange of Letters between the European Atomic 
Energy  Community  and  the  Swiss  Confederation  on  the  application  of  the  ITER  Agreement,  the 
Agreement  on  Privileges  and  Immunities  for  ITER  and  the  Broader  Approach  Agreement  to  the 
territory  of  Switzerland  and  on  Switzerland’s  membership  in  the  European  Joint  Undertaking  for 

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OJ L 47, 18.2.2012, p. 25. 
OJ L 47, 18.2.2012, p. 1. 
OJ L 47, 18.2.2012, p. 33. 
OJ L 47, 18.2.2012, p. 40. 

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ITER  and  the  Development  of  Fusion  Energy  of  22  November  2007  the  Agreement  applies  to 
Switzerland participating in the Euratom fusion programme as fully associated third State; 

WHEREAS  Euratom  is  a  member  of  the  European  Joint  Undertaking  for  ITER  and  the 
Development of Fusion Energy established by the Council Decision of 27 March 2007. Pursuant to 
Article 2 of this Decision and the Agreements in the form of an Exchange of Letters between the 
European Atomic Energy Community and the Swiss Confederation on the application of the ITER 
Agreement,  the  Agreement  on  Privileges  and  Immunities  for  ITER  and  the  Broader  Approach 
Agreement to the territory of Switzerland and on Switzerland’s membership in the European Joint 
Undertaking for ITER and the Development of Fusion Energy of 22 November 2007 Switzerland 
became  a  member  of  the  Joint  Undertaking  as  a  third  State  having  associated  its  research 
programme to the Euratom fusion programme; 

WHEREAS Euratom concluded the Agreement between the European Atomic Energy Community 
and the Government of Japan for the Joint Implementation of the Broader Approach Activities in 
the  Field  of  Fusion  Energy  Research.  Pursuant  to  its  Article  26  the  Agreement  applies  to 
Switzerland participating in the Euratom fusion programme as fully associated third State. 

HAVE AGREED AS FOLLOWS: 

Article 1 

Subject matter 

1. The Swiss participation in the implementation of the Euratom Framework Programme 2012-2013 
shall be as laid down in this Agreement, without prejudice to the terms of the Fusion Agreement. 

Legal  entities  established  in  Switzerland  may  participate  in  all  the  specific  programmes  of  the 
Euratom Framework Programme 2012-2013. 

2. Swiss legal entities may participate in the activities of the Joint Research Centre of the European 
Union, as far as this participation is not covered by paragraph 1. 

3.  Legal  entities  established  in  the  European  Union,  including  the  Joint  Research  Centre,  may 
participate in research programmes and/or projects in Switzerland on themes equivalent to those of 
the programmes of the Euratom Framework Programme 2012-2013. 

4. For the purposes of this Agreement ‘legal entity’ means any natural or any legal person created 
under  the  national  law  at  its  place  of  establishment  or  under  European  Union  law,  having  legal 
personality and being entitled to have rights and obligations of any kind in its own name. This shall 
include,  inter  alia,  universities,  research  organisations,  industrial  companies,  including  small  and 
medium-sized enterprises, and individuals. 

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Article 2 

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Forms and means of cooperation 

Cooperation shall take the following forms: 

1. Participation of legal entities established in Switzerland in all specific programmes adopted under 
the Euratom Framework Programme 2012-2013, in accordance with the terms and conditions laid 
down in the rules for the participation of undertakings, research centres and universities in research 
and training activities of the European Atomic Energy Community. 

2.  Financial  contribution  by  Switzerland  to  the  budget  of  the  programmes  adopted  for  the 
implementation of the Euratom Framework Programme 2012-2013, as defined in Annex B. 

3. Participation of legal entities established in the European Union in Swiss research programmes 
and/or  projects  decided  by  the  Federal  Council  on  themes  equivalent  to  those  of  the  Euratom 
Framework Programme 2012-2013, in accordance with the terms and conditions laid down in the 
relevant  Swiss  regulations  and  with  the  agreement  of  the  partners  in  the  specific  project  and  the 
management  of  the  corresponding  Swiss  programme.  Unless  relevant  Swiss  regulations  foresee 
otherwise,  legal  entities  established  in  the  European  Union  and  participating  in  Swiss  research 
programmes  and/or  projects  shall  cover  their  own  costs,  including  their  relative  share  of  the 
project's general management and administrative costs. 

4. In addition to timely provision of information and documentation concerning the implementation 
of  the  Euratom  Framework  Programme  2012-2013  and  of  the  Swiss  programmes  and/or  projects, 
the cooperation between the Parties may include the following forms and means: 

(a) regular exchanges of views on research policy guidelines and priorities and plans in Switzerland 
and in Euratom; 

(b) exchanges of views on the prospects and development of cooperation;  

(c) timely exchanges of information on the implementation of the research programmes and projects 
in Switzerland and in Euratom and on the results of the work undertaken under this Agreement; 

(d) joint meetings; 

(e) visits and exchanges of researchers, engineers and technicians; 

(f)  regular  contacts  and  follow-up  between  programme  or  project  leaders  in  Switzerland  and  in 
Euratom; 

(g) participation by experts in seminars, symposia and workshops. 

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Article 3 

Adaptation 

Cooperation may be adapted and developed at any time by mutual agreement between the Parties. 

Article 4 

Intellectual property rights and obligations 

1. Subject to Annex A and applicable law, legal entities established in Switzerland participating in 
the  Euratom  Framework  Programme  2012-2013  shall,  as  regards  ownership,  exploitation  and 
dissemination  of  information  and  intellectual  property  arising  from  such  participation,  have  the 
same rights and obligations as legal entities established in the European Union. 

2. Subject to Annex A and applicable law, legal entities established in the European Union taking 
part in Swiss research programmes and/or projects, as provided for in Article 2(3), shall, as regards 
ownership,  exploitation  and  dissemination  of  information  and  intellectual  property  arising  from 
such participation, have the same rights and obligations as legal entities established in Switzerland 
participating in the programmes and/or projects in question. 

Article 5 

Financial provisions 

The rules governing Switzerland's financial contribution are set out in Annex B. 

Article 6 

Switzerland/Communities Research Committee 

1.  The  Switzerland/Communities  Research  Committee  set  up  in  the  Framework  Agreement  shall 
review, evaluate and ensure the proper implementation of this Agreement. Any issues arising from 
the implementation or interpretation of this Agreement shall be referred to this Committee. 

2. The Committee may decide to amend the references to European Union/Euratom acts in Annex 
C. 

Article 7 

Participation 

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1.  Without  prejudice  to  the  provisions  of  Article  4,  legal  entities  established  in  Switzerland 
participating  in  the  Euratom  Framework  Programme  2012-2013  shall  have  the  same  contractual 
rights and obligations as entities established in the European Union. 

2.  For  legal  entities  established  in  Switzerland,  the  terms  and  conditions  applicable  for  the 
submission  and  evaluation  of  proposals  and  those  for  the  granting  and  conclusion  of  grant 
agreements  and/or  contracts  under  the  Euratom  Framework  Programme  2012-2013  shall  be  the 
same  as  those  applicable  for  grant  agreements  and/or  contracts  concluded  under  the  same 
programmes with legal entities established in the European Union. 

3.  Switzerland  shall  be  entitled,  as  an  associated  State,  to  propose  evaluators  under  the  Euratom 
Framework  Programme  2012-2013,  in  accordance  with  the  Council  Regulation  (Euratom)  No 
139/2012 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 dissemination of research results (2012-2013). 

4. Without prejudice to the provisions of Article 1(3), Article 2(3) and Article 4(2) and to existing 
regulations and rules of procedure, legal entities established in the European Union may participate 
under equivalent terms and conditions to Swiss partners in programmes and/or projects of the Swiss 
research programmes mentioned in Article 2(3). The Swiss authorities may make participation in a 
project by one or more legal entities established in the European Union subject to joint participation 
by at least one Swiss entity. 

Article 8 

Mobility 

Each  Party  shall  undertake,  in  accordance  with  existing  regulations  and  agreements  in  force,  to 
guarantee the entry and stay - as far as indispensable for successful accomplishment of the activity 
concerned  -  of  a  limited  number  of  their  researchers  participating,  in  Switzerland  and  in  the 
European Union, in the activities covered by this Agreement. 

Article 9 

Revision and future collaboration 

1.  Should  Euratom  revise  or  extend  its  research  programmes,  this  Agreement  may  be  revised  or 
extended  under  mutually  agreed  conditions.  The  Parties  shall  exchange  information  and  views 
concerning  any  such  revision  or  extension,  as  well  as  on  any  matters  which  affect  directly  or 
indirectly  Switzerland's  cooperation  in  the  fields  covered  by  the  Euratom  Framework  Programme 
2012-2013.  Switzerland  shall  be  notified  of  the  exact  content  of  the  revised  or  extended 
programmes within two weeks of their adoption by Euratom. In case of such revision or extension 
of  the  research  programme,  Switzerland  may  terminate  this  Agreement  by  giving  six  months’ 
notice. The Parties shall give notice of any intention to terminate or to extend this Agreement within 
three months after the adoption of Euratom's decision. 

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2. Should Euratom adopt a new multi-annual research and training programme, an Agreement may 
be renewed or renegotiated under conditions agreed mutually between the Parties. The Parties shall 
exchange information and views on the preparation of such programmes or other current and future 
research  activities  through  the  Switzerland/European  Union  Research  Committee  referred  to  in 
Article 6. 

Article 10 

Relation to other international agreements 

1. The provisions of this Agreement shall apply without prejudice to the advantages envisaged by 
other  international  agreements  binding  one  of  the  Parties  and  reserved  only  for  legal  entities 
established on the territory of that Party. 

2. A legal entity established in a State associated to the Euratom Framework Programme 2012-2013 
(Associated State) enjoys the same rights and obligations under this Agreement as legal entities that 
are  established  in  a  Member  State  provided  that  the  Associated  State  in  which  the  entity  is 
established has agreed to award legal entities from Switzerland the same rights and obligations. 

Article 11 

Territorial application 

This Agreement shall apply, on the one hand, to the territories in which the Treaty establishing the 
European  Atomic  Energy  Community  applies  and  under  the  conditions  laid  down  in  that  Treaty 
and, on the other, to the territory of Switzerland. 

Article 12 

Annexes 

Annexes A, B and C shall form an integral part of this Agreement. 

Article 13 

Entry into force and application 

1. This Agreement shall be ratified or concluded by the Parties in accordance with their respective 
rules.  It  shall  enter  into  force  on  the  date  of  the  last  notification  of  completion  of  the  internal 
procedures necessary to this end.  

2.  This  Agreement  shall  apply  from  the  beginning  of  the  Euratom  Framework  programme  2012-
2013  until  31  December  2013.  Notwithstanding  paragraph  5  below,  during  the  period  from  1 

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January 2013 until 30 June 2013 each Party may terminate this Agreement by written notice. In this 
case the Agreement shall cease to apply on 31 December 2012.  

3. If this Agreement ceases to apply on 31 December 2012 pursuant to paragraph 2, Euratom shall 
honour its commitments to Swiss beneficiaries entered into until the time one of the Parties received 
the  notification  pursuant  to  paragraph  2  from  the  other  Party.  In  case  Switzerland  terminates  this 
Agreement pursuant to paragraph 2, Switzerland shall pay Euratom compensation corresponding to 
the  amount  of  Euratom's  2013  commitments  to  Swiss  beneficiaries  until  the  time  Euratom  has 
received  the  Swiss  notification.  This  compensation  shall  be  paid  not  later  than  45  days  after  the 
receipt of the request issued by the Commission. Paragraph II.2 of Annex B shall apply accordingly. 
The Parties shall settle by common consent any other consequences. 

4. This Agreement may be amended only in writing by common consent between the Parties. The 
procedure for entry into force of amendments shall be the same as the procedure applicable to the 
entry into force of this Agreement. 

5. Each Party may terminate this Agreement at any time, subject to six months' written notice. 

6. Projects and activities in progress at the time of termination and/or expiry of this Agreement shall 
continue until their completion under the conditions laid down in this Agreement. The Parties shall 
settle by common consent any other consequences of termination. 

This  Agreement  shall  be  drawn  up  in  duplicate  in  the  Bulgarian,  Czech,  Danish,  Dutch,  English, 
Estonian, Finnish, French, German, Greek, Hungarian, Italian, Latvian, Lithuanian, Maltese, Polish, 
Portuguese, Romanian, Slovak, Slovene, Spanish and Swedish languages, each of those texts being 
equally authentic. 

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PRINCIPLES ON THE ALLOCATION OF INTELLECTUAL PROPERTY RIGHTS 

ANNEX A 

I. Scope 

For the purposes of this Agreement, ‘intellectual property’ shall have the meaning defined in Article 
2 of the Convention establishing the World Intellectual Property Organisation, signed at Stockholm 
on 14 July 1967. 

For the purposes of this Agreement, ‘knowledge’ means the results, including information, whether 
or  not  they  can  be  protected,  as  well  as  copyrights  or  rights  pertaining  to  such  information, 
following  applications  for,  or  the  issue  of,  patents,  designs,  plant  varieties,  supplementary 
protection certificates or similar forms of protection. 

II. Intellectual property rights of the legal entities of the Parties 

1. Each Party shall ensure that the intellectual property rights of the legal entities of the other Party 
participating  in  the  activities  undertaken  under  this  Agreement  and  the  rights  and  obligations 
resulting from such participation are treated in a manner compatible with the relevant international 
conventions applicable to the Parties, notably the TRIPS Agreement (Agreement on Trade-Related 
Aspects of Intellectual Property Rights administered by the World Trade Organisation), the Berne 
Convention (Paris Act 1971) and the Paris Convention (Stockholm Act 1967). 

2.  Legal  entities  established  in  Switzerland  participating  in  indirect  actions  under  the  Euratom 
Framework Programme 2012-2013 shall have intellectual property rights and obligations under the 
conditions set out, in Council Regulation (Euratom) No 139/2012 of 19 December 20115 and in the 
grant agreement and/or contract concluded with the Euratom, in accordance with point 1. 

3.  Legal  entities  established  in  a  European  Union  Member  State  participating  in  Swiss  research 
programmes and/or projects shall have the same intellectual property rights and obligations as legal 
entities  established  in  Switzerland  participating  in  these  research  programmes  or  projects,  in 
accordance with point 1. 

III. Intellectual property rights of the Parties 

1.  Unless  otherwise  agreed  between  the  Parties,  the  following  rules  shall  apply  to  the  knowledge 
generated by the Parties in the course of the activities undertaken in accordance with Article 2(4) of 
this Agreement: 

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OJ L 47, 18.2.2012, p. 1. 

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(a) the Party generating the knowledge shall have ownership thereof. Where their respective shares 
in the work cannot be determined, the Parties shall co-own the knowledge; 

(b) the Party holding ownership shall grant the other Party rights of access to the knowledge with a 
view  to  the  activities  referred  to  in  Article  2(4)  of  this  Agreement.  No  charge  shall  be  made  for 
granting rights of access to the knowledge. 

2.  Unless  otherwise  agreed  between  the  Parties,  the  following  rules  shall  apply  to  scientific 
literature from the Parties: 

(a)  where  a  Party  publishes  data,  information  and  technical  or  scientific  results  arising  from  the 
activities  undertaken  under  this  Agreement  in  journals,  articles,  reports  and  books,  including 
audiovisual  works  and  software,  a  worldwide,  non-exclusive,  irrevocable  royalty-free  licence  to 
translate, adapt, transmit and publicly distribute the works in question shall be granted to the other 
Party; 

(b) all copies of copyrighted data and information to be publicly distributed and prepared under this 
section shall indicate the names of the author or authors, unless an author expressly declines to be 
named. Copies shall also bear a clearly visible acknowledgement of the cooperative support of the 
Parties. 

3.  Unless  otherwise  agreed  between  the  Parties,  the  following  rules  shall  apply  to  undisclosed 
information of the Parties: 

(a) at the time of submission to the other Party of information relating to the activities undertaken 
under  this  Agreement,  each  Party  shall  identify  the  information  which  it  wishes  to  remain 
undisclosed; 

(b) for the specific purposes of application of this Agreement, the receiving Party may, on its own 
responsibility, communicate undisclosed information to bodies or persons under its authority; 

(c)  with  the  prior  written  consent  of  the  Party  providing  undisclosed  information,  the  receiving 
Party may disseminate such information more widely than otherwise permitted by subparagraph (b). 
The  Parties  shall  cooperate  in  developing  procedures  for  requesting  and  obtaining  prior  written 
consent for wider dissemination, and each Party shall grant such approval to the extent permitted by 
its domestic policies, regulations and laws; 

(d)  non-documentary  undisclosed  or  other  confidential  information  provided  in  seminars  or  other 
meetings of the representatives of the Parties arranged under this Agreement, or information arising 
from the attachment of staff, use of facilities or indirect actions must remain confidential, where the 
recipient of such undisclosed or other confidential or privileged information was made aware of the 
confidential  character  of  the  information  before  it  was  communicated,  in  accordance  with 
subparagraph (a); 

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(e)  each  Party  shall  ensure  that  undisclosed  information  which  it  acquires  in  accordance  with 
subparagraphs (a) and (d) shall be controlled as provided for in this Agreement. If one of the Parties 
becomes aware that it will be, or may be expected to become, unable to meet the non-dissemination 
provisions  of  subparagraphs  (a)  and  (d),  it  shall  immediately  inform  the  other  Party.  The  Parties 
shall thereafter consult to define an appropriate course of action. 

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FINANCIAL RULES GOVERNING THE CONTRIBUTION OF SWITZERLAND  

ANNEX B 

I. Determination of financial participation 

1.  The  proportionality  factor  governing  Switzerland's  contribution  to  the  Euratom  Framework 
programme  2012-2013,  except  the  Euratom  Fusion  Programme,  shall  be  obtained  by  establishing 
the  ratio  between  Switzerland's  gross  domestic  product,  at  market  prices,  and  the  sum  of  gross 
domestic  products,  at  market  prices,  of  the  Member  States  of  the  European  Union.  The 
proportionality factor governing the Swiss contribution to the Fusion Programme shall continue to 
be governed on the basis of the Fusion Agreement. These ratios shall be calculated on the basis of 
the latest statistical data from Eurostat, available at the time of publication of the draft budget of the 
European Union for the same year. 

2.  The  Commission  shall  communicate  as  soon  as  possible  to  Switzerland  together  with  relevant 
background material: 

(a) the amounts in commitment appropriations in the statement of expenditure of the draft budget of 
the European Union corresponding to the Euratom Framework Programme 2012-2013 in the year 
2013; 

(b) the estimated amount of the contributions derived from the draft budget, corresponding to the 
possible participation of Switzerland in the Euratom Framework Programme 2012-2013 in the year 
2013.  

3.  As  soon  as  the  general  budget  for  2013  has  been  finally  adopted,  the  Commission  shall 
communicate to Switzerland the above mentioned amounts in the statement of expenditure. 

4.  Switzerland's  financial  contribution  deriving  from  participation  in  the  Euratom  Framework 
Programme  2012-2013  shall  be  established  in  addition  to  the  amount  available  each  year  in  the 
general  budget  of  the  European  Union  for  commitment  appropriations  to  meet  the  Commission's 
financial  obligations  stemming  from  work  to  be  carried  out  in  the  forms  necessary  for  the 
implementation,  management  and  operation  of  the  programmes  and  activities  covered  by  this 
Agreement. 

II. Payment procedures 

1. The Commission shall issue, at the latest on 31 December 2012 a call for funds to Switzerland 
corresponding to its contribution under this Agreement for 2012. This call for funds shall provide 
for  the  payment  of  Switzerland's  contribution  not  later  than  30  days  after  receipt  of  the 
corresponding call for funds. For the purpose of calculating the amount in Swiss francs in 2012 the 

EN 

16 

   EN 

 
 
 
 
 
 
 
 
 
 
 
exchange rate between the Swiss franc and Euro to be used by the Commission shall be the market 
rate  for  the  penultimate  day  of  the  previous  month  quoted  by  the  European  Central  Bank  or, 
depending on the availability, provided by the delegations or other appropriate sources close to that 
date. 

Unless  this  Agreement  ceases  to  apply  on  31  December  2012  in  accordance  with  Art.13(2),  the 
Commission  shall  issue  after  1st  July  and  not  later  than  November  2013,  a  call  for  funds  to 
Switzerland corresponding to the contribution under this Agreement for 2013 and established on the 
basis  of  Point  I.1  of  this  annex.  This  call  for  funds  shall  provide  for  the  payment  of  the  said 
contribution not later than 30 days after the receipt of the call. 

2. The contributions of Switzerland for the year 2012 shall be paid in Swiss francs and for the year 
2013 shall be expressed and paid in Euro to the bank account indicated by the Commission in the 
calls for payments. 

3.  Switzerland  shall  pay  its  contribution  under  this  Agreement  according  to  the  schedule  in 
paragraph 1. Any delay in payment shall give rise to the payment of interest at a rate equal to the 
one-month inter-bank offered rate (EURIBOR) as on page EURIBOR01 of Reuters (Telerate page 
248). This rate shall be increased by 1.5 percentage point for each month of delay. The increased 
rate  shall  be  applied  to  the  entire  period  of  delay.  However,  the  interest  shall  be  due  only  if  the 
contribution is paid after the scheduled payment dates mentioned in paragraph 1. 

4. Travel costs incurred by Swiss representatives and experts for the purposes of taking part in the 
work  of  the  research  committees  and  those  involved  in  the  implementation  of  the  Euratom 
Framework  Programme  2012-2013  shall  be  reimbursed  by  the  Commission  on  the  same  basis  as, 
and in accordance with, the procedures currently in force for the representatives and experts of the 
Member States of the European Union. 

III. Conditions for implementation 

1. The financial contribution of Switzerland to the Euratom Framework Programme 2012-2013 in 
accordance with this Annex shall normally remain unchanged for the financial year in question. 

2.  The  Commission,  at  the  time  of  the  closure  of  the  accounts  relating  to  each  financial  year  (n), 
within the framework of the establishment of the revenue and expenditure account, shall proceed to 
the  regularisation  of  the  accounts  with  respect  to  the  participation  of  Switzerland,  taking  into 
consideration  modifications  which  have  taken  place,  either  by  transfer,  cancellations,  carry-overs, 
or by supplementary and amending budgets during the financial year. This regularisation shall occur 
at the time of the first payment for the year (n+1). However, the final such regularisation shall occur 
not  later  than  July  of  the  fourth  year  following  the  end  of  the  Euratom  Framework  Programme 
2012-2013.  Payment  by  Switzerland  shall  be  credited  to  the  Euratom  programmes  as  budget 
receipts  allocated  to  the  appropriate  budget  heading  in  the  statement  of  revenue  of  the  general 
budget of the European Union.  

IV. Information 

EN 

17 

   EN 

 
 
 
 
 
 
 
 
 
1.  At  the  time  of  the  payment  for  the  year  2013,  the  statement  of  appropriations  for  the  Euratom 
Framework  Programme  2012-2013,  related  to  the  year 2012,  shall be prepared  and  transmitted to 
Switzerland for information, according to the format of the Commission's revenue and expenditure 
account. 

At  the  latest  on  30  April  2014,  the  statement  of  appropriations  for  the  Euratom  Framework 
Programme 2012-2013, related to the year 2013, shall be prepared and transmitted to Switzerland 
for information, according to the format of the Commission's revenue and expenditure account. 

2. The Commission shall communicate to Switzerland statistics and all other general financial data 
relating to the implementation of the Euratom Framework Programme which is made available to 
the Member States. 

EN 

18 

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FINANCIAL CONTROL OF SWISS PARTICIPANTS IN THE EURATOM FRAMEWORK 
PROGRAMME 2012-2013 

ANNEX C 

I. Direct communication 

The  Commission  shall  communicate  directly  with  the  participants  in  the  Euratom  Framework 
Programme 2012-2013 established in Switzerland and with their subcontractors. They shall submit 
directly to the Commission all relevant information and documentation which they are required to 
submit  on  the  basis  of  the  instruments  referred  to  in  this  Agreement  and  of  the  grant  agreements 
and/or contracts concluded to implement them. 

II. Audits 

1.  In  accordance  with  Council  Regulation  (EC,  Euratom)  No  1605/20026,  as  last  amended 
Regulation  (EU  Euratom)  No  1081/20107  and  Commission  Regulation  (EC,  Euratom)  No 
2342/20028, as last amended by  Regulation (EC Euratom) No 478/20079 and  with  the other rules 
referred to in this Agreement, the grant agreements and/or contracts concluded with participants in 
the  programme  established  in  Switzerland  may  provide  for  scientific,  financial,  technological  or 
other  audits  to  be  conducted  at  any  time  on  the  premises  of  the  participants  and  of  their 
subcontractors by Commission agents or by other persons mandated by the Commission. 

2.  Commission  agents  and  other  persons  mandated  by  the  Commission  shall  have  appropriate 
access to sites, works and documents and to all the information required in order to carry out such 
audits,  including  in  electronic  form.  This  right  of  access  shall  be  stated  explicitly  in  the  grant 
agreements and/or contracts concluded to implement the instruments referred to in this Agreement. 

3. The European Court of Auditors shall have the same rights as the Commission. 

4.  The  audits  may  be  conducted  after  the  Euratom  Framework  Programme  2012-2013  or  this 
Agreement expires, on the terms laid down in the grant agreements and/or contracts in question. 

5. The Swiss Federal Audit Office shall be informed in advance of the audits conducted on Swiss 
territory. Such notification shall not be a legal precondition for carrying out such audits. 

III. On-the-spot checks 

6 
7 
8 
9 

OJ L 248, 16.9.2002, p. 1. 
OJ L 311, 26.11.2010, p. 9. 
OJ L 357, 31.12.2002, p. 1. 
OJ L 111, 28.4.2007, p. 13. 

EN 

19 

   EN 

 
 
 
 
 
 
 
 
 
 
 
                                                 
1. Within the framework of this Agreement, the Commission (OLAF) shall be authorised to carry 
out  on-the-spot  checks  and  inspections  on  Swiss  territory,  in  accordance  with  the  terms  and 
conditions laid down in Council Regulation (Euratom, EC) No 2185/9610 and Regulation (EC) No 
1073/199911 of the European Parliament and the Council. 

2. On-the-spot checks and inspections shall be prepared and conducted by the Commission in close 
collaboration  with  the  Swiss  Federal  Audit  Office  or  with  the  other  competent  Swiss  authorities 
designated by the Swiss Federal Audit Office, which shall be notified in good time of the object, 
purpose and legal basis of the checks and inspections, so that they can provide all the requisite help. 
To  that  end,  the  officials  of  the  competent  Swiss  authorities  may  participate  in  the  on-the-spot 
checks and inspections. 

3. If the Swiss authorities concerned so wish, the on-the-spot checks and inspections may be carried 
out jointly by the Commission and them. 

4.  Where  the  participants  in the Euratom Framework  Programme 2012-2013 resist an on-the-spot 
check  or  inspection,  the  Swiss  authorities,  acting  in  accordance  with  national  rules,  shall  give 
Commission  inspectors  such  assistance  as  they  need  to  allow  them  to  discharge  their  duty  in 
carrying out an on-the-spot check or inspection. 

5. The Commission shall report as soon as possible to the Swiss Federal Audit Office any fact or 
suspicion  relating  to  an  irregularity  which  has  come  to  its  notice  in  the  course  of  the  on-the-spot 
check or inspection. In any event the Commission shall be required to inform the abovementioned 
authority of the result of such checks and inspections. 

IV. Information and consultation 

1. For the purposes of proper implementation of this Annex, the competent Swiss and Community 
authorities  shall  regularly  exchange  information  and,  at  the  request  of  one  of  the  Parties,  shall 
conduct consultations. 

2.  The  competent  Swiss  authorities  shall  inform  the  Commission  without  delay  of  any  fact  or 
suspicion  which  has  come  to  their  notice  relating  to  an  irregularity  in  connection  with  the 
conclusion and implementation of the grant agreements and/or contracts concluded in application of 
the instruments referred to in this Agreement. 

V. Confidentiality 

Information  communicated  or  acquired  in  any  form  under  this  Annex  shall  be  covered  by 
professional secrecy and protected in the same way as similar information is protected by Swiss law 
and  by  the  corresponding  provisions  applicable  to  the  Community  institutions.  Such  information 

10 
11 

OJ L 292, 15.11.1996, p. 2.  
OJ L 136, 31.5.1999, p. 1. 

EN 

20 

   EN 

 
 
 
 
 
 
 
 
 
 
 
                                                 
may not be communicated to persons other than those within the Community institutions or in the 
Member  States  or  Switzerland  whose  functions  require  them  to  know  it  nor  may  it  be  used  for 
purposes other than to ensure effective protection of the Parties’ financial interests. 

VI. Administrative measures and penalties 

Without prejudice to application of Swiss criminal law, administrative measures and penalties may 
be imposed by the Commission in accordance with Regulations (EC, Euratom) No 1605/2002, as 
last  amended  by  Regulation  (EU  Euratom)  No  1081/201012  and  (EC,  Euratom)  No  2342/2002  as 
last  amended  by  Regulation  (EC  Euratom)  No  478/200713  and  with  Council  Regulation  (EC, 
Euratom)  No  2988/95  of  18  December  1995  on  the  protection  of  the  European  Communities’ 
financial interests14. 

VII. Recovery and enforcement 

Decisions taken by the Commission under the Euratom Framework Programme 2012-2013 within 
the scope of this Agreement which impose a pecuniary obligation on persons other than States shall 
be enforceable in Switzerland. The enforcement order shall be issued, without any further control 
than  verification  of  the  authenticity  of  the  act,  by  the  authorities  designated  by  the  Swiss 
government,  which  shall  inform  the  Commission  thereof.  Enforcement  shall  take  place  in 
accordance  with  the  Swiss  rules  of  procedure.  The  legality  of  the  enforcement  decision  shall  be 
subject to control by the Court of Justice of the European Union. Judgments given by the Court of 
Justice  of  the  European  Union  pursuant  to  an  arbitration  clause  in  a  contract  under  the  Euratom 
Framework Programme 2012-2013 shall be enforceable on the same terms. 

12 
13 
14 

OJ L 311, 26.11.2010, p. 9. 
OJ L 111, 28.4.2007, p. 13. 
OJ L 312, 23.12.1995, p. 1. 

EN 

21 

   EN 

 
 
 
 
 
                                                 
LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

Proposal  for  a  decision  of  the  Council  on  the  signature  and  conclusion  on  behalf  of  the 
European  Atomic  Energy  Community  of  the  "Agreement  on  scientific  and  technological 
cooperation between European Union and the European Atomic Energy Community, of the 
one  part,  and  the  Swiss  Confederation,  of  the  other  part,  associating  the  Swiss 
Confederation to the Framework Programme of the European Atomic Energy Community 
for nuclear research and training activities (2012-2013)", or Euratom FP7+2. 

1.2. 

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

Title 08 - Research 

Title 10 – Direct Research  

1.3. 

Nature of the proposal/initiative  

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

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action15  

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

X The proposal/initiative relates to an action redirected towards a new action  

Legislative  proposal,  secondary  acquis  -  International  agreement  between  Euratom  and  a 
Third State pursuant to Art 101 of the Treaty establishing Euratom.  

1.4. 

Objective(s)  

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

To  associate  Switzerland  to  the  indirect  and  direct  actions  under  Euratom  Framework 
Programme  for  nuclear  research  and  training  activities  (2012-2013),  by  conferring  the 
status  of  associated  third  state  to  ensure institutional  representation  of  Switzerland  in  the 
respective bilateral, multilateral and international Committees and bodies, by virtue of this 
association; to receive Swiss financial and technical contribution for the implementation of 
the Euratom Framework Programme (2012-2013). 

Policy  measure  to  encourage  cooperation  between  Euratom  and  the  Swiss  Confederation 
under  the  form  of  association  of  Switzerland  to  the  Euratom  Framework  Programme  for 
nuclear research and training activities (2012-2013), in view of the importance of nuclear 
scientific and technological research for the Parties, the on-going joint implementation of 
research programmes in fields of reciprocal interest and the mutual interest of Euratom and 
Switzerland  to  cooperate  in  fission  and  fusion  nuclear  research  and  to  give  reciprocal 

15 

As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 

EN 

22 

   EN 

 
 
                                                 
access  of  their  research  entities  to  research  technological  development  and  training 
activities.  

1.4.2. 

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

Specific objective No.. 

NA 

ABM/ABB activity(ies) concerned 

NA 

1.4.3. 

Indicators of results and impact  

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

NA 

1.5. 

Grounds for the proposal/initiative  

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

Primary Law: Art 101 of the Treaty establishing Euratom, Chapter X "External relations" 

Secondary law, as follows: 

- 
the 1978 "Cooperation Agreement between the European Atomic Energy community 
and  the  Swiss  Confederation  in  the  field  of  controlled  thermonuclear  fusion  and  plasma 
physcis; 

the  Framework  Agreement  on  8  January  1986  for  scientific  and  technical 

- 
cooperation, which entered into force on 17 July 1987; 

the  Agreement  on  Scientific  and  Technological  Cooperation,  which  entered  into 

- 
force on 28 February 2008 and was retroactively applied as of 1 January 2007; 

the  Agreement  on  the  establishment  of  the  ITER  International  Fusion  Energy 

- 
Organization for the Joint Implementation of the ITER project; 

the  exchange  of  Letters  between  Euratom  and  the  Swiss  Confederation  on  the 

- 
European Joint Undertaking for ITER and the Development of Fusion Energy; and 

- 
the  exchange  of  Letters  between  Euratom  and  the  Swiss  Confederation  on  the 
the  Joint 
Agreement  between 
Implementation of the Broader Approach Activities in the Field of Fusion Energy Research 
between Euratom and Japan 

the  Government  of  Japan  for 

the  Euratom  and 

1.5.2.  Added value of EU involvement 

NA 

EN 

23 

   EN 

 
1.5.3.  Lessons learned from similar experiences in the past 

NA 

1.5.4.  Coherence and possible synergy with other relevant instruments 

NA 

1.6. 

Duration and financial impact  

Proposal/initiative of limited duration  

–  X  Proposal/initiative in effect from 01/01/2012 to 31/12/2013 

–  (cid:133)  Financial impact from YYYY to YYYY  

(cid:133) Proposal/initiative of unlimited duration 

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

–  followed by full-scale operation. 

1.7.  Management method(s) envisaged  

X Centralised direct management by the Commission  

(cid:133) Centralised indirect management with the delegation of implementation tasks to: 

–  (cid:133)  executive agencies  

–  (cid:133)  bodies set up by the Communities16  

–  (cid:133)  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:133) Shared management with the Member States  

(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  

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

16 

As referred to in Article 185 of the Financial Regulation. 

EN 

24 

   EN 

 
                                                 
Monitoring system 

The Commission will regularly evaluate all the actions carried out  under the Agreement, 
which will also be subject to a regular monitoring of the implementation of this Agreement 
in  the  Switzerland/Communities  Research  Committee  under  this  Agreement.  This 
evaluation will cover: 

(a)  Performance  indicators  under  the  specific  programmes  of  Euratom  Framework 
Programme (2012-2013): 

number of proposals compared with the relative share of Switzerland’s participation 

- 
in those programmes; 

number  of  Swiss  proposals  selected  for  funding  compared  with  Swiss  relative 

- 
participation in those programmes; 

- 

numbers of Swiss contracts concluded and implemented with ITER IO and F4E. 

(b)  Gathering of information: 

On the basis of data from the specific Euratom FP7+2 programmes; upon request and on 
the basis of information exchanged at the Switzerland/Communities Research Committee 
under this Agreement. 

(c)  Overall evaluation: 

The  Commission  will  evaluate  Switzerland's  overall  participation  under  Euratom  FP7+2, 
namely in the light of the duration of this association at the expiration of this Agreement. 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

On the basis of data from the specific Euratom FP7+2 programmes; upon request and on 
the basis of information exchanged at the Switzerland/Communities Research Committee, 
as provided for under Art 6 of the Agreement. 

Other  measures,  as  provided  for  by  the  Annex  C  on  "Financial  control  of  Swiss 
Participants in the Euratom FP (2012-2013)", also including communication and gathering 
of information. 

2.2.2.  Control method(s) envisaged  

NA 

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

Such measures are laid down in Annex C on "Financial control of Swiss Participants in the 
Euratom FP (2012-2013)", namely  

-  Audits:  the  grant  agreements  and/or  contracts  concluded  with  participants  in  the 
programme established in Switzerland may provide for scientific, financial, technological 

EN 

25 

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or other audits to be conducted at any time on the premises of the participants and of their 
subcontractors by Commission agents or by other persons mandated by the Commission, in 
accordance  with  Council  Regulation  (EC,  Euratom)  No  1605/200217,  as  last  amended 
Regulation (EU Euratom) No 1081/201018 and Commission Regulation (EC, Euratom) No 
2342/200219,  as  last  amended  by  Regulation  (EC  Euratom)  No  478/200720  and  with  the 
other rules referred to in this Agreement  

The European Court of Auditors shall have the same rights as the Commission as far as the 
audits are concerned.  

The audits may be conducted after the Euratom Framework Programme 2012-2013 for this 
Agreement  expires,  on  the  terms  laid  down  in  the  grant  agreements  and/or  contracts  in 
question. 

- 
On-the-spot  checks  and  inspections:  Within  the  framework  of  this  Agreement,  the 
Commission  (OLAF)  shall  be  authorised  to  carry  out  on-the-spot  checks  and  inspections 
on  Swiss  territory,  in  accordance  with  the  terms  and  conditions  laid  down  in  Council 
Regulation  (Euratom,  EC)  No  2185/9621  and  Regulation  (EC)  No  1073/199922  of  the 
European Parliament and the Council 

- 
Administrative  measures  and  penalties:  Without  prejudice  to  application  of  Swiss 
criminal law, administrative measures and penalties may be imposed by the Commission in 
accordance with Regulations (EC, Euratom) No 1605/2002, as last amended by Regulation 
(EU  Euratom)  No  1081/201023  and  (EC,  Euratom)  No  2342/2002  as  last  amended  by 
Regulation (EC Euratom) No 478/200724 and with Council Regulation (EC, Euratom) No 
2988/95 of 18 December 1995 on the protection of the European Communities’ financial 
interests.  

- 

Recovery measures are envisaged and are enforceable in the Swiss territory  

17 
18 
19 
20 
21 
22 
23 
24 

OJ L 248, 16.9.2002, p.1. 
OJ L 311, 26.11.2010, p.9. 
OJ L 357, 31.12.2002, p.1. 
OJ L 111, 28.4.2007, p.13. 
OJ L 292, 15.11.1996, p.2.  
OJ L 136, 31.5.1999, p.1. 
OJ L 311, 26.11.2010, p.9. 
OJ L 111, 28.4.2007, p.13. 

EN 

26 

   EN 

 
                                                 
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……………………
…...……….] 

Operational expenditure 

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

DA/NDA 
(25) 

from 
EFTA26 
countries 

from 
candidate 
countries27 

from third 
countries 

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

NDA 

NO 

NO 

YES 

NO 

Heading of 
multiannual 
financial 
framework 

1 a 

•   

•  New budget lines requested  

•  Not applicable 

25 
26 
27 

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 

27 

   EN 

 
 
 
 
 
 
 
                                                 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure EUR million (to 3 decimal places) 

Heading of multiannual 
financial framework:  

Indirect Research  

(cid:121) Operational appropriations  

1 a 

Competitiveness for Growth and Employment 

Year 

2012 

Year 

2013 

Year 

TOTAL 

≥ 2014 

Number of budget line: 08 2x total 

Commitments 

Payments 

(1) 

(2) 

Appropriations  of  an  administrative  nature 
 from the envelop of specific programs28  
08 01 xx xx total  

financed 

0.237 

0.154 

0.391

08 01 05 01 Expenditure related to Research Staff 
08 01 05 03 Other management expenditure Research 

0.127 

0.110 

0.089 

0.065 

Number of budget line: 08 01  

TOTAL appropriations 
for DG Research  

Commitments 

Payments 

(cid:121) 
TOTAL 
appropriations  

operational 

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative 
nature  financed  from  the  envelop  of  specific 
programs  

(3) 

=1+1a 
+3 

=2+2a+
3 

(4) 

(5) 

(6) 

0.237 

0.237 

0.237 

0.154 

0.154 

0.154 

0.216 

0.175 

0.391 

0.391 

0.391 

0 

0 

0 

0 

0.237 

0.154 

0.391 

28 

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. 

28 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
TOTAL appropriations  
under HEADING 1 a 
of the multiannual financial 
framework 

Commitments 

=4+ 6 

0.237 

0.154 

Payments 

=5+ 6 

0.237 

0.154 

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

(cid:121) 
TOTAL 
appropriations  

operational 

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative 
nature  financed  from  the  envelop  of  specific 
programs  

(4) 

(5) 

(6) 

0.237 

0.154 

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

Commitments 

=4+ 6 

0.237 

0.154 

Payments 

=5+ 6 

0.237 

0.154 

0.391 

0.391 

0.391 

0.391 

0.391 

EN 

29 

E

 
  
 
 
 
 
 
 
 
 
Heading of multiannual financial framework: 

5 

" Administrative expenditure " 

Year 
2012 

Year 
2013 

TOTAL 

EUR million (to 3 decimal places) 

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 

0 

0 

0 

0 

0 

0 

0 

0 

Year 
2012 

Year 
2013 

Year 
≥ 2014 

TOTAL 

EUR million (to 3 decimal places) 

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

Commitments 

0.237 

0.154 

Payments 

0.237 

0.154 

0.391 

0.391 

EN 

30 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
3.2.2.  Estimated impact on operational appropriations  

–  X The proposal/initiative does not require the use of operational appropriations  

–  (cid:133)  The proposal/initiative requires the use of operational appropriations, as explained below: 

Year 2012 

Year 2013 

TOTAL 

Commitment appropriations in EUR million (to 3 decimal places) 

Indicate objectives and 
outputs  

OUTPUTS 

(cid:216) 

Type 
of 
outpu
t29 

Avera
ge 
cost 
of the 
output 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

Total number of 
outputs 

Total  
cost 

SPECIFIC OBJECTIVE No 130… 

- Output – EURATOM Fusion 

- Output – EURATOM Fission  

Sub-total for specific objective N°1 

SPECIFIC OBJECTIVE No 2… 

- Output – EURATOM Direct 
research- JRC 

Sub-total for specific objective N°2 

TOTAL COST 

(*) estimated number of outputs 

29 
30 

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 objective(s)…" 

EN 

31 

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 
2012 - N 31 

Year 
2013 - N+1 

TOTAL 

HEADING 5 
of the multiannual financial 
framework 

Human resources  

Other administrative expenditure  

Subtotal HEADING 5 
of the multiannual financial 
framework  

Outside HEADING 532 
of the multiannual financial 
framework  

Human resources  

Other expenditure  
of an administrative nature 

Subtotal  
outside HEADING 5 
of the multiannual financial 
framework  

2012 

0.127 

0.110 

0.237 

2013 

0.089 

0.065 

0.154 

TOTAL 

0.216 

0.175 

0.391 

TOTAL 

0.237 

0.154 

0.391 

31 
32 

Year N is the year in which implementation of the proposal/initiative starts. 
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 

32 

   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 
2012 - N 

Year 
2013 - N+1 

(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) 

(cid:121) External personnel (in Full Time Equivalent unit: FTE)33 

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 34 

- at Headquarters35 

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

Other budget lines (specify) 

TOTAL 

1 

1 

0.7 

0.7 

XX is the policy area or budget title concerned. 

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. 

Description of tasks to be carried out: 

Officials and temporary agents 

Preparation  and  management  of  Joint  committee  meetings 
foreseen  and  several  missions  ensuring  the  good  functioning 
and  implementation  of  the  Agreement,  as  well  as  regular 
review and follow up.  

33 

34 
35 

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 

33 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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. 

Not applicable 

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

of the multiannual financial framework36. 

Not applicable 

3.2.5.  Third-party contributions  

–  X  The proposal/initiative does not provide for co-financing by third parties  

–  (cid:133)  The proposal/initiative provides for the co-financing estimated below: 

Appropriations in EUR million (to 3 decimal places) 

Year 
2012 

Year 
2013 

Specify the co-financing body  

TOTAL appropriations co-financed * 

36 

See points 19 and 24 of the Inter institutional Agreement. 

EN 

34 

   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 

6013 

pm 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative37 

Year 
2012* 

42.833 

Year 
2013* 

41.524 

*the amounts for 2012 and 2013 are in MEURO and are to be considered as indicative figures. The 
contribution finally requested will take account of corrections over the previous year. 

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

08 22 04 Appropriations accruing from contributions from (non-European Economic Area) 
third parties to research and technological development 
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. 

The proportionality factor governing Switzerland's contribution for the year 2012 and 2013 
to  the  Euratom  Research  programme,  except  the  Euratom  Fusion  Programme,  shall  be 
obtained  by establishing  the  ratio  between  Switzerland's  gross  domestic  product,  at  market 
prices, and the sum of gross domestic products, at market prices, of the Member States of the 
European Union. 

The proportionality factor governing the Swiss contribution to the Fusion Programme for the 
year  2012  and  2013  shall  continue  to  be  governed  on  the  basis  of  the  Fusion  Agreement 
(Art.11.1)  The  financial  contribution  of  Switzerland  to  the  EURATOM  programme  under 
this  Agreement  ('78  Agreement)  shall  be  fixed  annually  at  a  sum  which  bears  the  same 
relation  to  Euratom  's  share  of  the  cost  of  the  Euratom  programme  as  the  Swiss  gross 
domestic product bore to the total gross domestic product of both Euratom and Switzerland 
in the antepenultimate year.  

These  ratios  shall  be  calculated  on  the  basis  of  the  latest  statistical  data  from 
Eurostat,  available  at  the  time  of  publication  of  the  draft  budget  of  the  European 
Union for the same year.  

Finally  the  proportionality  factors  will  be  applied  to  the  EU  commitment 
appropriations as adopted by the EU Budgetary Authorities. 

37 

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 

35 

   EN