Recommendation for a COUNCIL DECISION authorising the opening of negotiations on a comprehensive agreement for scientific and technological cooperation between the European Union and European Atomic Energy Community and the Swiss Confederation associating the Swiss Confederation to Horizon 2020 - the Framework Programme for Research and Innovation (2014-2020) and the Research and Training Programme of the European Atomic Energy Community (2014-2018) complementing the Horizon 2020; and regulating Switzerland's participation in the ITER project in the years 2014-2020
Date: 2013-09-13
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: EAEC, Framework Programme for Research and Development, Switzerland, cooperation agreement (EU), innovation, negotiation of an agreement (EU), nuclear energy, nuclear research, scientific cooperation, technical cooperation

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EUROPEAN 
COMMISSION 

Brussels, 13.9.2013  
COM(2013) 628 final 

This document was downgraded/declassified 
5.2.2019 
Date 
R. VAN DER VLIES 
By 
DG RTD 
Authority 

Recommendation for a 

COUNCIL DECISION 

authorising the opening of negotiations on a comprehensive agreement for scientific and 
technological cooperation between the European Union and European Atomic Energy 
Community and the Swiss Confederation associating the Swiss Confederation to 
Horizon 2020 - the Framework Programme for Research and Innovation (2014-2020) 
and the Research and Training Programme of the European Atomic Energy 
Community (2014-2018) complementing the Horizon 2020; and regulating Switzerland's 
participation in the ITER project in the years 2014-2020 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

By  letter  of  7  March  2011  the  Swiss  Confederation  (hereafter  'Switzerland')  expressed  its 
interest in association. 

Switzerland appears to fulfill the criteria for association outlined respectively in Article 7 of 
the  proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council  establishing 
Horizon 2020 – the Framework Programme for Research and Innovation '2014-2020)1 and in 
Article 5 of the 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 Innovation2.  

Switzerland  has  been  associated  to  the  EU  Framework  Programmes  for  Scientific  and 
Technological  Development  since  2004.  The  Swiss  association  to  the  EU  Framework 
Programmes  has  been  beneficial  to  the  EU,  as  it  increased  research  cooperation  between 
European  Union  and  Swiss  entities  particularly  in  areas  of  information  and  communication 
technologies,  health  and  nanosciences.  Switzerland  is  also  an  active  and  financially 
contributing  partner  within  Article  185  initiatives.  With  its  very  good  laboratories  and 
institutes  in  fission  and  fusion  Switzerland  is  regarded  as  an  excellent  and  well-positioned 
partner in Euratom research. 

Most recently Switzerland has been associated to the Seventh Framework Programme of the 
European  Community  for  research,  technological  development  and  demonstration  activities 
(2007-2013)  on  the  basis  of  the  Agreement  on  scientific  and  technological  cooperation 
between the European Community and the European Atomic Energy Community, of the one 
part, and the Swiss Confederation, of the other part3. 

Switzerland is the only third country associated to the whole Euratom research programme. It 
has  been  associated  to  the  fusion  thematic  area  of  the  Euratom  framework  programmes 
already since 1979 on the basis of the Cooperation Agreement between the European Atomic 
Energy  Community  and  the  Swiss  Confederation  in  the  field  of  controlled  thermonuclear 
fusion  and  plasma  physics  of  19784.  This  Agreement,  in  accordance  with  its  Article  19 
paragraph  2,  is  tacitly  extended  in  keeping  with  subsequent  programme  decisions  taken  by 
Euratom. 

Swiss  association  to  the  fission  part  of  the  Euratom  framework  programme  and  the  nuclear 
activities of the Joint Research Centre is governed on the basis of the 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 

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COM(2011)809/3 
COM(2011)812/3 
OJ L 189 20/07/2007, p.26. 
OJ L 242 04/09/1978, p.2. 

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and  training  activities (2012-2013) which entered into force  on 12  December 2012  and  will 
continue to apply till 31 December 2013. 

The  new  agreement  between  the  European  Union  and  the  European  Atomic  Energy 
Community,  of  the  one  part,  and  Switzerland,  of  the  other  part,  should  bring  under  one 
umbrella and regulate comprehensively the terms and conditions of the Swiss association to 
Horizon  2020  and  the  Euratom  Research  and  Training  Programme  complementing  Horizon 
2020;  and  the  Swiss  participation  in  the  ITER  project  during  the  years  2014-2020. 
Consequently, it should succeed and replace the 1978 Fusion Cooperation Agreement. There 
are multiple reasons for doing this. 

The  current  system  of  multiple  agreements  associating  Switzerland  to  the  EU  and  Euratom 
Framework Programmes is not transparent. The Swiss association to the Euratom Framework 
Programme  which  is  split  between  two  different  agreements  could  potentially  lead  to  a 
situation  where  Switzerland  would  be  associated  only  to  part  of  the  Euratom  Framework 
Programme.  

The  terminology  contained  in  the  1978  Fusion  Cooperation  Agreement  is  outdated  and  no 
longer corresponds  to the  funding instruments  proposed by  the  Commission  in  the  proposal 
for a Council Regulation on the Research and Training Programme of the European Atomic 
Energy Community (2014-2018) complementing Horizon 20205.  

Under  the  Fusion  Cooperation  Agreement  Switzerland  benefits  from  a  more  preferential 
financial formula for contributions to the Fusion activities under the Euratom Programme than 
that applied to the rest of the Euratom Programme or the EU Framework Programme. Such a 
preferential formula is granted to EEA EFTA States in relation to their association to the EU 
Framework Programme  under  the Agreement on  the European Economic Area. Switzerland 
chose not to be a member of the European Economic Area. The formula applicable to Swiss 
contributions  under  the  Fusion  Cooperation  Agreement  was  never  revisited  given  that  the 
latter  Agreement  is  tacitly  extended  for  subsequent  Euratom  Framework  Programmes.  The 
terms  and  conditions  of  the  Swiss  association  under  the  Fusion  Cooperation  Agreement 
should be renegotiated. 

Therefore, for the purpose of clarity and simplification it is desirable to regulate association of 
Switzerland to the EU and Euratom Framework Programmes and the ITER project in a single 
comprehensive agreement. 

In  addition  to  establishing  a  single  formula/mechanism  for  calculating  the  Swiss  financial 
contribution  to  the  programmes  and  ITER,  the  negotiations  of  a  new  agreement  provide  a 
possibility  to  introduce  a  new  mechanism  allowing  for  review  after  three  years  of  the 
Agreement's implementation, which would include re-assessment of the financial contribution 
to  the  programmes.  The  aim  is  to  introduce  such  a  review  clause  in  the  future  for  all  third 
countries associated to the framework programmes. 

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The new Agreement will not be concluded before the adoption of Horizon 2020, the Euratom 
Research and Training Programme complementing Horizon 2020 and the funding decision for 
the ITER project (2014-2020). The new Agreement should allow for provisional application 
starting from 1 January 2014. 

Nevertheless,  the  signature  of  the  future  Agreement  resulting  from  these  negotiations  will 
depend on the satisfactory outcome on the on-going discussions on various outstanding issues 
in the EU-Switzerland  overall  relations, in particular on  the signature by  Switzerland  of  the 
Cooperation  Agreement  on  GNSS  (Global  Navigation  Satellite  System).  Furthermore,  the 
new agreement should provide for its automatic termination in case of termination of the EU-
Switzerland  Agreement  on  the  Free  Movement  of  Persons  and  in  the  absence  of  Swiss 
notification required for entry into force of the protocol for the extension of the Agreement on 
the Free Movement of Persons with Switzerland to Croatia within six months after completion 
of Swiss internal procedures. 

Although there are other issues in the EU-Switzerland relations, the automatic termination is 
linked to the Free Movement of Persons Agreement (FMPA) and the protocol extending it to 
Croatia, since this agreement has the most direct and profound impact on the lives of citizens 
of the EU Members States. 

2. 

LEGAL ELEMENTS OF THE PROPOSAL 

The recommendation for a Council decision is based on Article 218 (3) and (4) of the Treaty 
on the Functioning of the European Union and Article 101 of the Euratom Treaty. 

In  the  light  of  the  above,  the  Commission  recommends  that  the  Council  authorises  the 
Commission  to  negotiate,  in  accordance  with  Article  218(3)  and  (4)  of  the  Treaty  on  the 
Functioning  of  the  European  Union  and  in  accordance  with  Article  101,  paragraph  2  of  the 
Euratom Treaty, with the Swiss Confederation a comprehensive agreement for scientific and 
technological  cooperation  between  the  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  Horizon  2020  -  the  Framework  Programme  for  Research  and 
Innovation (2014-2020)  and the Research and Training Programme of the European Atomic 
the  Horizon  2020;  and  regulating 
Energy  Community  (2014-2018)  complementing 
Switzerland's participation in the ITER project in the years 2014-2020. 

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RESTREINT UE/EU RESTRICTED 

Recommendation for a 

COUNCIL DECISION 

authorising the opening of negotiations on a comprehensive agreement for scientific and 
technological cooperation between the European Union and European Atomic Energy 
Community and the Swiss Confederation associating the Swiss Confederation to 
Horizon 2020 - the Framework Programme for Research and Innovation (2014-2020) 
and the Research and Training Programme of the European Atomic Energy 
Community (2014-2018) complementing the Horizon 2020; and regulating Switzerland's 
participation in the ITER project in the years 2014-2020 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 218(3) and (4) thereof; 

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

Having regard to the recommendation from the Commission; 

Whereas  negotiations  should  be  opened  with  a  view  to  concluding  a  comprehensive 
agreement  on  scientific  and  technological  cooperation  between  the  European  Union  and 
European  Atomic  Energy  Community  and  the  Swiss  Confederation  associating  the  Swiss 
Confederation  to  Horizon  2020  –  the  Framework  Programme  for  Research  and  Innovation 
(2014-2020)  and  the  Research  and  Training  Programme  of  the  European  Atomic  Energy 
Community  (2014-2018)  complementing  the  Horizon  2020;  and  regulating  Switzerland's 
participation in the ITER project in the years 2014-2020, 

HAS ADOPTED THIS DECISION:  

Article 1 

The Commission is hereby authorised to negotiate on behalf of the Union and the European 
Atomic  Energy  Community  a  comprehensive  agreement  for  scientific  and  technological 
cooperation between the European Union and European Atomic Energy Community and the 
Swiss Confederation associating the Swiss  Confederation to  Horizon  2020 - the Framework 
Programme  for  Research  and  Innovation  (2014-2020)  and  the  Research  and  Training 
Programme  of  the  European  Atomic  Energy  Community  (2014-2018)  complementing  the 
Horizon  2020;  and  regulating  Switzerland's  participation  in  the  ITER  project  in  the  years 
2014-2020. 

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Article 2 

The negotiating directives are set out in the Annex. 

Article 3 

The negotiations shall be conducted in consultation with the [name of the special committee 
to be inserted by the Council] . 

Article 4 

This decision is addressed to the Commission. 

Done at Brussels, 

For the Council 
The President 

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ANNEX 

DIRECTIVES FOR THE NEGOTIATION OF AN AGREEMENT BETWEEN the 
European Union and the European Atomic Energy Community and the Swiss 
Confederation associating the Swiss Confederation to Horizon 2020 – the Framework 
Programme for Research and Innovation (2014-2020) and the Research and Training 
Programme of the European Atomic Energy Community (2014-2018) complementing 
the Horizon 2020; and regulating Switzerland's participation in the ITER project in the 
years 2014-2020. 

1. 

2. 

3. 

4. 

5. 

6. 

The  agreement  should  provide  for  association  of  the  Swiss  Confederation  to  the 
whole  of  the  Horizon  2020  Framework  Programme  for  Research  and  Innovation 
(2014-2020)  and  the  whole  Research  and  Training  Programme  of  Euratom  (2014-
2018)  complementing  Horizon  2020  in  line  with  the  Regulation  of  the  European 
Parliament  and  of  the  Council  laying  down  the  rules  for  the  participation  and 
dissemination  in  'Horizon  2020'  and  Euratom  Framework  Programme  (2014-2018). 
The Agreement should also regulate participation of the Swiss Confederation in the 
ITER  Project  in  the  years  2014-2020.  The  new  comprehensive  Agreement  should 
succeed and replace the 1978 Fusion Cooperation Agreement. 

In order to allow the Swiss Confederation to participate, as soon as possible, in the 
EU and the whole Euratom Framework Programme as well as the ITER project as an 
associated country, the Agreement should provide for provisional application as of 1 
January 2014.  

The  Commission  should  strive  to  include  into  the  new  Agreement  uniform  rules 
applicable  to  calculating  the  Swiss  financial  contribution  to  the  EU  and  Euratom 
Programmes  and  the  ITER  project.  The  new  Agreement  should  contain  a  clause 
allowing  for  a  review  of  its  implementation  which  would  include  re-assessment  of 
the Swiss financial contribution to the programmes. 

The  Agreement  should  provide  for  adequate  protection  of  the  financial  interests  of 
the  EU  and  Euratom  covering  the  communication  of  financial  data,  audits  and 
administrative anti-fraud on-the-spot investigations, administrative assistance and the 
recovery  of  money.  Insofar  as  necessary,  the  Agreement  should  also  envisage 
elimination of obstacles in relation to taxation and social security resulting from the 
cross-border participation of researchers in research projects under the Agreement, in 
particular  for  the  personnel  of  the  Joint  Research  Centre  governed  by  the  staff 
regulations of the European Union. 

The Agreement should provide for its automatic termination in case of termination of 
the EU-Switzerland Agreement on the Free Movement of Persons. 

The Agreement  should  cease  to apply in the absence  of Swiss notification  required 
for  entry  into  force  of  the  protocol  for  the  extension  of  the  Agreement  on  the  Free 
Movement  of  Persons  with  Switzerland  to  Croatia  within  six  months  after 
completion of Swiss internal procedures. 

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