Source: EURLEX
Language: en
Format: md

**Council of the**
**European Union**

**Interinstitutional File:**

**2017/0312 (NLE)**

**PROPOSAL**

**Brussels, 5 December 2017**
**(OR. en)**

**15387/17**

**RECH 406**
**COMPET 855**
**ATO 52**

From: Secretary-General of the European Commission,
signed by Mr Jordi AYET PUIGARNAU, Director

date of receipt: 1 December 2017

To: Mr Jeppe TRANHOLM-MIKKELSEN, Secretary-General of the Council of
the European Union

No. Cion doc.: COM(2017) 698 final

Subject: Proposal for a COUNCIL REGULATION on the Research and Training
Programme of the European Atomic Energy Community (2019-2020)
complementing the Horizon 2020 Framework Programme for Research
and Innovation

Delegations will find attached document COM(2017) 698 final.

Encl.: COM(2017) 698 final

15387/17 AF/lv

## DG G 3 C EN

EUROPEAN

COMMISSION

Brussels, 1.12.2017
COM(2017) 698 final

2017/0312 (NLE)

Proposal for a

**COUNCIL REGULATION**

**on the Research and Training Programme of the European Atomic Energy Community**
**(2019-2020) complementing the Horizon 2020 Framework Programme for Research and**

**Innovation**

# **EN EN**

**EXPLANATORY MEMORANDUM**

**1.** **CONTEXT** **OF** **THE** **PROPOSAL**

**•** **Reasons for and objectives of the proposal**

In order to continue the funding of nuclear research and training it is necessary to adopt a new
regulation to prolong all research activities carried out under Council Regulation (Euratom)
No 1314/2013 on the Research and Training Programme of the European Atomic Energy
Community (2014-2018) complementing the Horizon 2020 Framework Programme for
Research and Innovation [1] .

The primary aim of Euratom-funded fission research is to enhance the safety of nuclear
technologies. This research also contributes to the development of safe, publicly acceptable
solutions for the management of radioactive waste and to supporting radioprotection and the
development of medical applications of ionising radiation. Euratom fusion research aims to
help decarbonise the energy system by developing magnetic confinement fusion. The direct
actions of the programme contribute to the implementation of nuclear safeguards in Europe
and globally.

The Euratom programme proposal for 2019-2020 continues to complement the Horizon 2020
programme [2] . It determines the budget for direct and indirect actions, sets research and
development (R&D) objectives and identifies R&D support instruments.

The proposal will ensure that Union-funded research and training in nuclear science and
technology continue in 2019-2020, thereby maintaining a programme that complements,
catalyses and coordinates Member States’ activities in order to maximise Union added value.

In accordance with Article 7 of the Euratom Treaty, the current (2014-2018) Euratom
programme is bound by a five-year timeframe. The present proposal intends to ensure the
seamless continuation of the programme in 2019-2020. This approach will ensure the
continuity and coherence of action throughout the full seven-year period, 2014-2020, and
therefore greater coherence with the Horizon 2020 timeline. This is all the more important in
view of the fact that the Euratom programmes and Horizon 2020 pursue mutually reinforcing
objectives.

**•** **Consistency with existing policy provisions in the policy area**

The 2019-2020 Euratom programme is carrying over the research activities of the 2014-2018
Euratom programme. It is entirely consistent with the latter and with the impact assessment
for 2014-2020 that was produced prior to its adoption.

1 Council Regulation (Euratom) No 1314/2013 of 16 December 2013 on the Research and Training
Programme of the European Atomic Energy Community (2014-2018) complementing the Horizon 2020
Framework Programme for Research and Innovation (OJ L 347, 20.12.2013, p. 948).
2 Regulation (EU) No 1291/2013 of the European Parliament and of the Council of 11 December 2013
establishing Horizon 2020 - the Framework Programme for Research and Innovation (2014-2020) and
repealing Decision No 1982/2006/EC (OJ L 347, 20.12.2013, p. 104).

# EN 2 EN

**•** **Consistency with other Union policies**

The 2019-2020 Euratom programme remains consistent with all relevant Union policies in
fields relating to research and innovation in general, and nuclear and related safety aspects in
particular. It thus supports the implementation of:

–
Council Directive 2009/71/Euratom establishing a Community framework for the
nuclear safety of nuclear installations [3], as amended by Council
Directive 2014/87/Euratom [4] ;

–
Council Directive 2011/70/Euratom establishing a Community framework for the
responsible and safe management of spent fuel and radioactive waste [5] ;

–
Council Directive 2013/59/Euratom laying down basic safety standards for
protection against the dangers arising from exposure to ionising radiation [6] .

–
The programme contributes to the implementation of the chapter 7 of the Euratom
Treaty, related to the EU nuclear safeguards system. It also contributes to the EU
security agendas and strategies.

**2.** **LEGAL** **BASIS,** **SUBSIDIARITY** **AND** **PROPORTIONALITY**

**•** **Legal basis**

The legal basis for this regulation is Article 7 of the Euratom Treaty.

**•** **Choice of the instrument**

The 2019-2020 Euratom programme is implemented through a new Regulation.

**3.** **RESULTS** **OF** **EX-POST** **EVALUATIONS,** **STAKEHOLDER**
**CONSULTATIONS** **AND** **IMPACT** **ASSESSMENTS**

**•** _**Ex post**_ **evaluations/fitness checks of existing legislation**

In line with Article 22 of Regulation (Euratom) No 1314/2013 and the _Better Regulation_
_Guidelines_ [7], the Commission has carried out an interim evaluation of the 2014-2018 Euratom
programme. Its report (COM(2017) 697 final) sets out a strategic overview of the evaluation
process and its responses to the recommendations of the independent expert groups. The
accompanying Commission staff working documents (SWD(2017) 426 final, SWD(2017) 427
final) cover the areas for evaluation (relevance, efficiency, effectiveness and European added
value).

The Commission’s analyses produced no conclusive finding bringing into question the
strategy and format of the 2014-2018 programme or requiring it to propose a revision of the
programme’s scope, activities or mode of implementation in 2019-2020. Also, the

3 OJ L 172, 2.7.2009, p. 18.
4 OJ L 219, 25.7.2014, p. 42.
5 OJ L 199, 2.8.2011, p. 48.
6 OJ L 13, 17.1.2014, p. 1.
7 COM(2015) 215 and SWD(2015) 110.

# EN 3 EN

Commission will ensure that any outstanding issues are addressed in the implementing
decision on the 2019-2020 Euratom work programme.

The interim evaluation found that the challenges of nuclear safety and diminishing nuclear
skills in Europe can be tackled effectively by exploiting synergies between Member State and
private sector research efforts and between scientific disciplines and technological sectors.
Action at EU 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 the most efficient use of public financing. R&D in
fusion energy is long-term and high-risk; conducting it in the context of an EU-level
programme means that the risk is shared and generates a breadth of scope and economies of
scale that could not be achieved otherwise.

**•** **Stakeholder consultations**

In line with the _Better Regulation Guidelines_, the Commission carried out a public
consultation between October 2016 and January 2017 to feed into the interim evaluation of
the 2014-2018 Euratom programme and the proposal for the 2019-2020 Euratom programme.
It received 323 responses from individuals and stakeholders, representing all areas of research
and various activities (public research bodies, technical support organisations, umbrella
organisations, end-users, etc.). The consultation covered all key areas for evaluation,
including relevance, effectiveness, efficiency, implementation and EU added value. In all,
75 % of the respondents had participated in the current or previous Euratom programmes.

The overall feedback on the 2014-2018 Euratom programme was positive: 80 % agreed or
strongly agreed that the programme is relevant. The approval ratings varied from field to field
and were strongest in relation to education and training, and research on waste management
and the safety of existing reactors. These latter fields and fusion research are also the areas in
which respondents felt the main progress had been made and saw Europe as a world leader.
Respondents cited knowledge-sharing and mobilising a wider pool of competences as the
main aspects of the programme’s added value. On the other hand, only 30 % felt that the
programme had some leverage effect on private investments.

**•** **Collection and use of expertise**

In the course of preparing its proposal, the Commission collected input and relied on expertise
from a number of sources. In 2017, the Euratom Scientific and Technical Committee issued
an opinion on the future Euratom programme and two independent expert groups produced a
report on the interim evaluation of the 2014-2018 Euratom programme [8] . In 2016, a separate
panel of experts carried out a mid-term review of the European joint programme on fusion
research, as implemented by the EUROfusion consortium.

**•** **Impact assessment**

Based on the same provisions of the 2014-2018 Euratom programme, the 2019-2020 Euratom
programme maintains the same scope and is based on the original _ex ante_ impact assessment
produced for the whole seven-year period (2014-2020) as part of the Horizon 2020 impact
assessment (SEC(2011) 1427, Annex 6). The roadmap for the 2019-2020 Euratom

8 Reports available on - [https://ec.europa.eu/research/evaluations/index_en.cfm?pg=home](https://ec.europa.eu/research/evaluations/index_en.cfm?pg=home)

# EN 4 EN

programme [9] provides for a new impact assessment only if the Commission proposes major
changes for the extension of the programme.

The Commission expert group on the interim evaluation of indirect actions of the 2014-18
Euratom programme made some recommendations addressed to the Commission [10], in
particular about education and training, and about health aspects of radiation protection
research. These recommendations will be taken into account when preparing the 2019-2020
Euratom work programme.

Regarding the recommendations concerning indirect actions in fusion research the
Commission will interact directly with EUROfusion to ensure that these recommendations are
addressed to the extent possible. Their consideration is currently on-going, and the
Commission will monitor this process as part of its routine activities of oversight and
management of the Euratom programme. [11]

The recommendations regarding the direct actions of the Euratom programme will be
addressed at the maximum possible scope during the period. In particular, the
recommendation to continue education and training activities will be addressed as well as the
reinforcing of knowledge management activities and improving open access of the JRC
nuclear research infrastructures. The increase of synergies with non-nuclear activities will be
considered mainly in the field of nuclear science applications.

Some recommendations concern long-term aspects of nuclear research or instruments that the
programme shares with Horizon 2020. The Commission intends to address these in the _ex-_
_ante_ impact assessment for the next Euratom programme under the new (post-2020)
multiannual financial framework.

**4.** **BUDGETARY IMPLICATIONS**

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

**5.** **OTHER** **ELEMENTS**

**•** **Implementation plans and monitoring, evaluation and reporting arrangements**

Programme performance will be monitored annually on the basis of a set of key performance
indicators (see Annex II) and an _ex post_ evaluation will be carried out by 2022. In addition,
performance will be assessed at the level of direct and indirect actions, as follows:

–
direct actions: the JRC’s performance is assessed internally by means of an annual
internal peer review (productivity and impact evaluation – PRIME) based on an
ISO-certified evaluation methodology, and externally through peer review by a
number of top-level experts selected in consultation with the JRC’s board of

governors;

9       http://ec.europa.eu/smart [regulation/roadmaps/docs/2016_rtd_008_euratom_extension_en.pdf](http://ec.europa.eu/smart-regulation/roadmaps/docs/2016_rtd_008_euratom_extension_en.pdf)
10 For the details on recommendations and Commission's response please refer to the Commission Report
on interim evaluation of the Euratom Research and Training Programme 2014-2018
11 Ibidem.

# EN 5 EN

–
indirect actions: individual projects are subject to a compulsory mid-term review.

**•** **Detailed explanation of the specific provisions of the proposal**

The following key changes have been introduced compared to the 2014-2018 Euratom

programme:

–
Article 4 the budget for direct and indirect actions was updated for 2019-2020.

–
Article 5 introduces the openness of the 2019-2020 Euratom programme to countries
and territories associated to the 2014-2018 Euratom programme.

–
Article 22 delete obsolete provisions concerning the evaluation of the programme.

–
Article 23 gives an update of the repeal and transitional provisions: these include
provisions allowing funds allocated to H2020 financial instruments to be reused by
the 2019-2020 Euratom programme (or its successor); the possibility to transfer
accumulated but non-committed assigned revenue (contributions from associated
countries) to the 2019-2020 Euratom programme; and the smooth continuation of
Programme Committee tasks.

–
Annex I on the activities to be supported by the 2019-2020 Euratom programme was
updated –the European Fusion Development Agreement (EFDA) is now replaced by
EUROfusion. The wording concerning the Joint European Torus (JET) in Annex 1
was revised in order not to prejudge the funding possibilities under the 2019-2020
Euratom programme which are likely to depend on the outcome of Brexit
negotiations.

# EN 6 EN

2017/0312 (NLE)

Proposal for a

**COUNCIL REGULATION**

**on the Research and Training Programme of the European Atomic Energy Community**
**(2019-2020) complementing the Horizon 2020 Framework Programme for Research and**
**Innovation**

THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the European Commission,

Having regard to the opinion of the European Parliament,

Having regard to the opinion of the European Economic and Social Committee [12],

Whereas:

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

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

(3) The interim evaluation of the Research and Training Programme of the Community
2014-2018 established by Council Regulation (Euratom) No 1314/2013 [13] (the '20142018 Programme') concluded that the action is relevant and continues to be
instrumental in addressing challenges in nuclear safety, security and safeguards,
radioactive waste management, radiation protection and fusion energy.

(4) In order to ensure continuity of nuclear research at Community level, it is necessary to
establish the Research and Training Programme of the Community for the period from
1 January 2019 to 31 December 2020 (the 'Euratom Programme'). The Euratom
Programme should have the same objectives as the 2014-2018 Programme, support the
same activities and use the same mode of implementation which proved to be efficient
and appropriate for the purpose of achieving the programme's objectives.

12 OJ C, p. .
13 Council Regulation (Euratom) No 1314/2013 of 16 December 2013 on the Research and Training
Programme of the European Atomic Energy Community (2014-2018) complementing the Horizon 2020
Framework Programme for Research and Innovation (OJ L 347, 20.12.2013, p. 948).

# EN 7 EN

(5) By supporting nuclear research, the Euratom Programme will contribute to achieving
the objectives of the Horizon 2020 Framework Programme for Research and
Innovation (the 'Horizon 2020 Framework Programme') established by Regulation
(EU) No 1291/2013 of the European Parliament and of the Council [14] and will facilitate
implementation of the Europe 2020 strategy and the creation and operation of the
European Research Area.

(6) Notwithstanding the potential impact of nuclear energy on energy supply and
economic development, severe nuclear accidents may endanger human health.
Therefore, nuclear safety and, where appropriate, security aspects dealt with by the
Joint Research Centre (the 'JRC') should be given the greatest possible attention in the
Euratom Programme.

(7) The European Strategic Energy Technology Plan (the 'SET Plan'), set out in the
conclusions of the Council meeting of 28 February 2008 in Brussels, is accelerating
the development of a portfolio of low carbon technologies. The European Council
agreed, at its meeting on 4 February 2011, that the Union and its Member States would
promote investment in renewables, and safe and sustainable low carbon technologies
and would focus on implementing the technology priorities established in the SET
Plan. Each Member State remains free to choose the type of technologies that it would
support.

(8) As all Member States have nuclear installations or make use of radioactive materials
particularly for medical purposes, the Council has recognised, in the conclusions of its
meeting in Brussels on 1 and 2 December 2008, the continuing need for skills in the
nuclear field, in particular through appropriate education and training linked with
research and coordinated at Community level.

(9) While it is for each Member State to choose whether or not to make use of nuclear
power, it is also acknowledged that nuclear energy plays different roles in different
Member States.

(10) By signing the Agreement on the Establishment of the ITER International Fusion
Energy Organisation for the Joint Implementation of the ITER Project [15], the
Community has undertaken to participate in the construction of the ITER Project
(ITER) and its future exploitation. The Community contribution is managed through
the 'European Joint Undertaking for ITER and the Development of Fusion Energy
(Fusion for Energy)', established by Council Decision 2007/198/Euratom [16] .

(11) For fusion to become a credible option for commercial energy production, it is, firstly,
necessary to successfully complete, in a timely manner, 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 directed towards a joint programme of activities

14 Regulation (EU) No 1291/2013 of the European Parliament and of the Council of 11 December 2013
establishing Horizon 2020 - the Framework Programme for Research and Innovation (2014-2020) and
repealing Decision No 1982/2006/EC (OJ L 347, 20.12.2013, p. 104).
15 OJ L 358, 16.12.2006, p. 62.
16 Council Decision 2007/198/Euratom of 27 March 2007 establishing the European Joint Undertaking for
ITER and the Development of Fusion Energy and conferring advantages upon it (OJ L 90, 30.3.2007, p.
58).

# EN 8 EN

implementing this roadmap. In order to secure the achievements of on-going fusion
research activities, as well as the long-term commitment of, and collaboration
between, the fusion stakeholders, continuity of the Community's support should be
ensured. A stronger focus should be placed primarily on the activities in support of
ITER but also on the developments towards the demonstration reactor, including the
stronger involvement, as appropriate, of the private sector. Such rationalisation and
refocusing should be achieved without jeopardising the European leadership of the
fusion scientific community.

(12) The 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. To optimize human resources and ensure no duplication
of research in the Union, any new activity carried out by the JRC should be analysed
to check its consistency with existing activities in the Member States. The security
aspects of the Horizon 2020 Framework Programme should be limited to the direct
actions of the JRC.

(13) The JRC should continue to generate additional resources through competitive
activities, including participation in indirect actions of the Euratom Programme, third
party work and, to a lesser extent, the exploitation of intellectual property.

(14) In the interest of all its Member States, the role of the Union is to develop 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
Communication from the Commission to the European Parliament, the Council, the
European Economic and Social Committee and the Committee of the Regions, dated 6
October 2010, entitled 'Europe 2020 Flagship Initiative Innovation Union', 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.

(15) 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 the concerns and
expectations of citizens and civil society, and by facilitating their participation in
activities under the Euratom Programme.

(16) The implementation of the Euratom Programme should respond to the evolving
opportunities and needs relating to 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 might be sought during the Euratom Programme, also making use of
relevant structures such as European Technology Platforms.

(17) The outcomes of the debates that took place at the Symposium on 'Benefits and
Limitations of Nuclear Fission Research for a Low Carbon Economy' prepared by an

# EN 9 EN

interdisciplinary study involving, among others, experts from the fields of energy,
economics and social sciences, co-organised by the Commission and the European
Economic and Social Committee in Brussels on 26 and 27 February 2013, recognised
the need to continue nuclear research at the European level.

(18) 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 Researchers [17], together with
other relevant reference frameworks defined in the context of the European Research
Area, while respecting their voluntary nature.

(19) The activities developed under the Euratom Programme should aim at promoting
equality between women and men 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).

(20) Research and innovation activities supported by the Euratom Programme should
respect fundamental ethical principles. The opinions on energy matters of the
European Group on Ethics in Science and New Technologies should be taken into
account as appropriate. 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.

(21) 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 the Union's wider competitiveness goals. Particular
attention should be given to the involvement of small and medium-sized enterprises.

(22) The Euratom Programme should promote cooperation, in particular in the field of
safety, with third countries based on common interest and mutual benefit notably to
promote continuous improvement of nuclear safety.

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

(24) The need for a new approach to control and risk management in Union research
funding was recognised by the European Council in its conclusions of 4 February
2011, which called for a new balance between trust and control and between risktaking and risk avoidance. The European Parliament, in its Resolution of 11 November

17 Commission Recommendation of 11 March 2005 on the European Charter for Researchers and on a
Code of Conduct for the Recruitment of Researchers (OJ L 75, 22.3.2005, p. 67).

# EN 10 EN

2010 on simplifying the implementation of the Research Framework Programmes [18],
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.

(25) 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.

(26) 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 its accessibility to all participants. It is necessary to ensure
compliance with the relevant provisions of Regulation (EU, Euratom) No 966/2012 of
the European Parliament and of the Council (the "Financial Regulation") [19] and with
the requirements of simplification and better regulation.

(27) 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, participation in the Euratom Programme
and dissemination of research results should be subject to the rules applicable to the
Horizon 2020 Framework Programme, as set out in Regulation (EU) No 1291/2013 of
the European Parliament and of the Council with certain adaptations or exceptions.

(28) In order to allow the most effective use of the debt and equity financial instruments set
up under the Horizon 2020 Framework Programme, while preserving the distinct
nature of actions under the Euratom Programme and making full use of the available
budget, repayments resulting from any of those financial instruments due to the
non-utilisation of funds made available under the Euratom Programme or the 20142018 Programme should directly benefit the Euratom Programme or its successor

programme.

(29) It is important to ensure the possibility to use the available external assigned revenue
accumulated at the end of the 2014-2018 Programme in light, in particular, of the
identical objectives and actions pursued by the Euratom Programme.

(30) 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 Treaty establishing the
European Atomic Energy Community ('the Treaty').

(31) The participant guarantee funds, managed by the Commission and established
pursuant to Council Regulation (Euratom) No 1908/2006 [20] and Council Regulation

18 OJ C 74E, 13.3.2012, p. 34.
19 Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the
financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No
1605/2002 (OJ L 298, 26.10.2012, p. 1).
20 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) (OJ L 400, 30.12.2006, p. 1).

# EN 11 EN

(Euratom) No 139/2012 [21], have proved to be an important safeguard mechanism
which mitigates the risks associated with the amounts due and not reimbursed by
defaulting participants. The participant guarantee fund established pursuant to
Regulation (EU) No 1290/2013 of the European Parliament and of the
Council [22] should also cover actions under this Regulation.

(32) In order to ensure uniform conditions for the implementation of the indirect actions
under the Euratom Programme, implementing powers should be conferred on the
Commission to adopt work programmes and the decision on the approval of the
funding of indirect actions. Those implementing powers should be exercised in
accordance with Regulation (EU) No 182/2011 of the European Parliament and of the
Council [23] .

(33) Achieving the objectives of the Euratom Programme 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.

(34) Effective performance management, including evaluation and monitoring, requires
development of specific performance indicators that can be measured over time, are
both realistic and reflect the logic of the intervention and are 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, on the one hand, and the monitoring of progress, achievements
and functioning of the European Research Area, on the other.

(35) The Board of Governors of the JRC, set up by Commission Decision
96/282/Euratom [24], has been consulted on the scientific and technological content of
the direct actions of the JRC.

(36) For reasons of legal certainty, Regulation (Euratom) No 1314/2013 should be
repealed.

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

HAS ADOPTED THIS REGULATION:

TITLE I

**ESTABLISHMENT**

21 Council Regulation (Euratom) No 139/2012 of 19 December 2011 laying down the rules for the 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) (OJ L 47, 18.2.2012, p. 1).
22 Regulation (EU) No 1290/2013 of the European Parliament and of the Council of 17 December 2013 laying down the
rules for participation and dissemination in "Horizon 2020 - the Framework Programme for Research and Innovation
(2014-2020)" and repealing Regulation (EC) No 1906/2006 (OJ L 347, 20.12.2013, p. 81).
23 Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011
laying down the rules and general principles concerning mechanisms for control by the Member States
of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011. p. 13).
24 Commission Decision 96/282/Euratom of 10 April 1996 on the reorganization of the Joint Research
Centre (OJ L 107, 30.4.1996, p. 12).

# EN 12 EN

_Article 1_

**Establishment**

This Regulation establishes the Research and Training Programme of the European Atomic
Energy Community for the period from 1 January 2019 to 31 December 2020 (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 for Research and Innovation (the 'Horizon 2020
Framework Programme') established by Regulation (EU) No 1291/2013 of the European
Parliament and of the Council.

_Article 2_

**Definitions**

For the purposes of this Regulation, the following definitions shall 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 (the 'JRC');

(c) '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;

(d) 'public-private partnership' means a partnership where private sector partners, the
Community and, where appropriate, other partners, such as public sector bodies,
commit to jointly support the development and implementation of a research and
innovation programme or activities;

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

Article 3

**Objectives**

1. The general objective of the Euratom Programme is to pursue nuclear research and
training activities with an emphasis on continuous improvement of nuclear safety,

# EN 13 EN

security and radiation protection, notably to potentially 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) supporting safety of nuclear systems;

(b) contributing to the development of safe, longer term solutions for the
management of ultimate nuclear waste, including final geological disposal as
well as partitioning and transmutation;

(c) supporting the development and sustainability of nuclear expertise and
excellence in the Union;

(d) supporting radiation protection and development of medical applications of
radiation, including, inter alia, the secure and safe supply and use of
radioisotopes;

(e) moving towards demonstration of feasibility of fusion as a power source by
exploiting existing and future fusion facilities;

(f) laying the foundations for future fusion power plants by developing materials,
technologies and conceptual design;

(g) promoting innovation and industrial competitiveness;

(h) ensuring availability and use of research infrastructures of pan-European
relevance.

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

(a) improving nuclear safety including: nuclear reactor and fuel safety, waste
management, including final geological disposal as well as partitioning and
transmutation; decommissioning, and emergency preparedness;

(b) improving nuclear security including: nuclear safeguards, non-proliferation,
combating illicit trafficking, and nuclear forensics;

(c) increasing excellence in the nuclear science base for standardisation;

(d) fostering knowledge management, education and training;

(e) supporting the policy of the Union on nuclear safety and security.

Any new attribution of activity to the JRC shall be analysed by the Board of
Governors of the JRC to check its consistency with existing activities in the Member
States.

4. 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, with the aim of optimizing human and financial resources, and to avoid
duplication on nuclear research and development in the Union.

# EN 14 EN

5. 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. This may, if duly justified, include responses to emerging
opportunities, crises and threats, to needs relating to the development of new Union
policies, and to the piloting of actions foreseen for support under future programmes.

_Article 4_

**Budget**

1. The financial envelope for the implementation of the Euratom Programme shall be
EUR 770 220 000. That amount shall be distributed as follows:

(a) indirect actions for the fusion research and development programme, EUR 349
834 000;

(b) indirect actions for nuclear fission, safety and radiation protection, EUR 151
579 000;

(c) direct actions, EUR 268 807 000.

For the implementation of indirect actions of the Euratom Programme, the
Commission's administrative expenditure shall account on average for no more than
6 % during the duration of the Euratom Programme.

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 that Programme and the achievement of its objectives, in
particular studies and meetings of experts, as far as they relate to the general
objectives of this Regulation, and 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. The expenses for continuous and repetitive
actions such as control, audit and IT networks will be covered within the limits of the
Commission's administrative expenditure specified in paragraph 1.

3. Where necessary and duly justified, appropriations may be entered in the budget
beyond 2020 to cover technical and administrative assistance expenses, in order to
enable the management of actions not yet completed by 31 December 2020.

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

5. Budgetary commitments may be divided into annual instalments. Each year the
Commission shall commit the annual instalments taking into account the progress of
the actions receiving financial support, the estimated needs and the budget available.

# EN 15 EN

_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) European Free Trade Association (EFTA) members, or countries or territories
covered by the European Neighbourhood Policy that fulfil all of the following
criteria:

(i) a good capacity in science, technology and innovation;

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

programmes;

(iii) fair and equitable dealing with intellectual property rights;

(c) countries or territories associated to the Seventh Euratom Framework
Programme or the Euratom Research and Training Programme 2014-2018.

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_

_**Implementation, management and forms of support**_

_Article 6_

**Management and forms of Community support**

1. The Euratom Programme shall be implemented through indirect actions using one or
several of the forms of funding provided for by the Financial Regulation, in
particular grants, prizes, procurement and financial instruments. The Community
support shall also consist of direct actions in the form of research and innovation
activities undertaken by the JRC.

2. Without prejudice to Article 10 of the Treaty, the Commission may entrust part of
the implementation of the Euratom Programme to the funding bodies referred to in
Article 58(1)(c) of the 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.

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3. The Commission shall adopt, by means of implementing acts, in accordance with the
examination procedure referred to in Article 12(3), the decision on the approval of
the funding of indirect actions.

_Article 7_

**Rules for participation and dissemination of research results**

1. Subject to paragraphs 2 and 3 of this Article, 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 1290/2013 of the European Parliament and of
the Council.

2. For the purposes of the Euratom Programme, 'the security rules' referred to in the
first subparagraph of Article 43(2) of Regulation (EU) No 1290/2013 shall include
the defence interests of the Member States within the meaning of Article 24 of the
Treaty.

By way of derogation from the first subparagraph of Article 44(3) of Regulation
(EU) No 1290/2013, 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 the Treaty.

By way of derogation from the first subparagraph of Article 49(1) of Regulation
(EU) No 1290/2013, the Community and its joint undertakings shall, for the purpose
of developing, implementing and monitoring Community policies and programmes
or obligations 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
1290/2013 shall cover the risk associated with non-recovery of sums due by
participants in actions financed through grants by the Commission or funding bodies
under this Regulation.

_Article 8_

**Cross-cutting activities**

1. In order to achieve the objectives of the Euratom Programme and to address
challenges common to the Euratom Programme and the Horizon 2020 Framework
Programme, activities cutting across the indirect actions set out in Annex I and/or
those implementing the Specific Programme of the Horizon 2020 Framework

# EN 17 EN

Programme, as established by Council Decision 2013/743/EU [25], may benefit from
the Union financial contribution.

2. 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 1291/2013, 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.

_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. The Commission shall adopt, by means of implementing acts, in accordance with the
examination procedure referred to in Article 12(3), work programmes for the
implementation of the indirect actions. Such 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 the Financial Regulation, including their detailed
objectives, the associated funding and a timetable, as well as a multi-annual approach
and strategic orientations for the following years of implementation.

2. For direct actions, the Commission shall, in accordance with Decision
96/282/Euratom, draw up a multi-annual work programme, setting out in greater

25 Council Decision 2013/743/EU of 3 December 2013 establishing the Specific Programme
Implementing Horizon 2020 - The Framework Programme for Research and Innovation (2014 - 2020)

# EN 18 EN

detail the objectives and scientific and technological priorities presented in Annex I,
and a 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 when appropriate.

3. The work programmes referred to in paragraphs 1 and 2 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.

4. The work programmes referred to in paragraphs 1 and 2 shall contain a section which
identifies the cross-cutting activities as referred to in Article 8.

_Article 12_

**Committee procedure**

1. The Commission shall be assisted by a Committee. That committee shall be a
committee within the meaning of Regulation (EU) No 182/2011.

2. The Committee [26] shall meet in two different configurations, dealing respectively
with fission related aspects and fusion related aspects of the Euratom Programme.

3. Where reference is made to this paragraph, the examination procedure in accordance
with Article 5 of Regulation (EU) No 182/2011 shall apply.

4. Where the opinion of the Committee is to be obtained by written procedure, that
procedure shall be terminated without result when, within the time-limit for delivery
of the opinion, the chair of the Committee so decides or a simple majority of
Committee members so requests.

_Article 13_

**Information to the Committee**

The Commission shall regularly inform the Committee referred to in Article 12 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 14_

**External advice and societal engagement**

1. For the implementation of the Euratom Programme, account shall be taken of advice
and inputs provided, where appropriate, by:

(a) the Euratom Scientific and Technical Committee pursuant to Article 134 of the
Treaty;

26 With a view to facilitating the implementation of the Euratom Programme, for each meeting of the
programme committee as defined in the agenda, the Commission will reimburse, in accordance with its
established guidelines, the expenses of one representative per Member State, as well as one
expert/adviser per Member State for those agenda items where a Member State requires specific
expertise.

# EN 19 EN

(b) independent advisory groups of high-level experts set up by the Commission;

(c) dialogue structures created under international science and technology
agreements;

(d) forward-looking activities;

(e) targeted public consultations (including, where appropriate, regional and
national authorities or stakeholders); and

(f) transparent and interactive processes that ensure support to responsible research
and innovation.

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

_CHAPTER II_

_**Specific fields of action**_

_Article 15_

**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 (SMEs) and the private sector in general in the
Euratom Programme. Quantitative and qualitative assessments of SME participation shall be
undertaken as part of the evaluation and monitoring arrangements.

_Article 16_

**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 Treaty;

(b) public-public partnerships based on the 'Programme co-fund actions' funding
scheme;

(c) contractual public-private partnerships, as referred in Article 25 of Regulation (EU)
No 1291/2013.

_Article 17_

**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) No 1290/2013. Exceptions to the general principle in that
regard are set out in Article 7 of this Regulation. International cooperation with third
countries and international organisations shall be promoted by the Euratom
Programme with a view to:

(a) strengthening the Union's excellence and attractiveness in research and
innovation as well as its economic and industrial competitiveness;

(b) tackling effectively common societal challenges;

# EN 20 EN

(c) supporting the Union's external and development policy objectives,
complementing external and development programmes. Synergies with other
Union policies shall be sought.

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 a strategic
approach as well as common interest, priorities 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. The nature of the cooperation may vary
according to the specific partner countries.

Cooperation priorities shall take into account developments in Union policy
opportunities for cooperation with third countries, and the fair and equitable
treatment of intellectual property rights.

_Article 18_

**Information, communication, exploitation 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) initiatives aimed at widening awareness and facilitating access to funding
under the Euratom Programme, in particular for those regions or types of
participant that have a relatively low participation;

(b) targeted assistance to projects and consortia to provide them with access to the
necessary skills to optimise the communication, exploitation and dissemination
of results;

(c) initiatives to foster dialogue and debate on scientific, technological and
innovation-related issues with the public, and to 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; in particular, the Commission shall provide
timely and thorough information to Member States.

3. Subject to the Treaty and relevant Union legislation, dissemination activities may
include:

(a) actions 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.

# EN 21 EN

_CHAPTER III_

_**Control**_

_Article 19_

**Control and audit**

1. 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.

2. The control system shall ensure an appropriate balance between trust and control,
taking into account administrative and other costs of controls at all levels, especially
for participants, so that the Euratom Programme objectives can be achieved and the
most excellent researchers and most innovative enterprises can be attracted to it.

3. 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 minimise the audit burden of the participants.

_Article 20_

**Protection of the financial interests of the Union**

1. 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 dissuasive administrative and financial penalties.

2. 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
this Regulation.

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

3. The European Anti-Fraud Office (OLAF) may carry out investigations, including onthe-spot checks and inspections in accordance with the provisions and procedures
laid down in Regulation (EU, Euratom) No 883/2013 of the European Parliament and
of the Council [27] and Council Regulation (Euratom, EC) No 2185/96 [28], with a view to

27 Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11
September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and

# EN 22 EN

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 funded under the Euratom Programme.

4. Without prejudice to paragraphs 1, 2 and 3, cooperation agreements with third
countries and with international organisations, contracts, grant agreements and grant
decisions resulting from the implementation of this Regulation shall contain
provisions expressly empowering the Commission, the Court of Auditors and the
OLAF to conduct such audits and investigations, according to their respective
competences.

CHAPTER IV

_**Monitoring and evaluation**_

_Article 21_

**Monitoring**

1. The Commission shall annually monitor the implementation, including progress and
achievements, of the Euratom Programme. The Commission shall provide the
Committee, referred to in Article 12, with information in this regard.

2. The Commission shall report and make publicly available the results of the
monitoring referred to in paragraph 1.

_Article 22_

**Evaluation**

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

By 31 December 2022, the Commission shall carry out, with the assistance of
independent experts selected on the basis of a transparent process, an ex-post
evaluation of the Euratom Programme. Such evaluation 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.

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

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

4. Where appropriate and available, Member States shall provide the Commission with
data and information necessary for the monitoring and evaluation of the measures
concerned.

repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council
Regulation (Euratom) No 1074/1999 (OJ L 248, 18.9.2013, p. 1)
28 Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks
and inspections carried out by the Commission in order to protect the European Communities' financial
interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).

# EN 23 EN

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 and the European Economic and Social Committee.

TITLE III

FINAL AND TRANSITIONAL PROVISIONS

Article 23

**Repeal and transitional provisions**

1. Regulation (Euratom) No 1314/2013 is repealed with effect from 1 January 2019.

2. Without prejudice to paragraph 1, activities or actions benefiting from the
Community financial support under Regulation (Euratom) No 1314/2013 shall
continue to be governed by the rules applicable to those activities or actions until
their termination, completion or closure. Where necessary, any remaining tasks of
the Committee established by the Regulation (Euratom) No 1314/2013 shall be
undertaken by the Committee referred to in Article 12 of this Regulation.

3. The financial envelope referred to in Article 4 may also cover the technical and
administrative assistance expenses necessary to ensure the transition between the
Euratom Programme and the measures adopted under Regulation (Euratom) No
1314/2013.

4. By way of derogation from Article 14(a) of the Financial Regulation, appropriations
not used and available at 31 December 2018 arising from external assigned revenue
relating to the Regulation (Euratom) 1314/2013 shall be carried over automatically
and used for the Euratom Programme.

5. By way of derogation from the third subparagraph of Article 140(6) of the Financial
Regulation, annual repayments generated by a financial instrument established under
Regulation (EU) No 1291/2013 and resulting from the non-utilisation of funds made
available under this Regulation or Regulation (Euratom) 1314/2013 shall be assigned
to the Euratom Programme or its successor programme.

Article 24

**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_

# EN 24 EN

**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 mode(s) planned

**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 contributions_

3.3. Estimated impact on revenue

# EN 25 EN

**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 (2019-2020) complementing the Horizon 2020 framework
programme for research and innovation

**1.2.** **Policy area(s) concerned**

         - 08 Research and Innovation

         - 10 Joint Research Centre

**1.3.** **Nature of the proposal/initiative**

 The proposal/initiative relates to **a new action**

 The proposal/initiative relates to **a new action following a pilot**
**project/preparatory action** **[29]**

 The proposal/initiative relates to **the extension of an existing action**

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

**1.4.** **Objective(s)**

_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.
The programme will contribute to the ‘Innovation Union’ flagship by supporting
policy-relevant, pre-commercial and crosscutting 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 hightech industry for fusion energy in particular, the Euratom Programme will lead to
growth and new jobs in a wide range of disciplines.

_1.4.2._ _Specific objectives for indirect actions_

Specific objectives:

29 As referred to in Article 54(2)(a) or (b) of the Financial Regulation.

# EN 26 EN

Specific objective No.1 – supporting safety of nuclear systems;

Specific objective No.2 – contributing to the development of safe, longer term
solutions for the management of ultimate nuclear waste, including final geological
disposal as well as partitioning and transmutation;

Specific objective No.3 – supporting the development and sustainability of nuclear
expertise and excellence in the Union;

Specific objective No. 4 – supporting radiation protection and development of
medical applications of radiation, including, inter alia, the secure and safe supply and
use of radioisotopes;

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

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

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

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

_1.4.3._ _Specific objectives for direct actions_

_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 improving the safe
exploitation of 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

# EN 27 EN

detection technologies, as concerns both nuclear materials and nuclear fuel cycle.
The programme includes nuclear forensics capabilities in support to MS globally.

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.

4) Through supporting fusion research the Euratom Programme will develop relevant
technologies and qualify materials for a demonstration power plant.

_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) Supporting safety of nuclear systems

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

Current: 21 (2017); Target: 33 (2020)

2) Contributing to the development of safe, longer term solutions for the
management of ultimate nuclear waste, including final geological disposal as well as
partitioning and transmutation;

Indicator: The number of projects contributing to the development of safe long term
solutions for the management of ultimate nuclear waste

Current: 10 (2017); Target: 11 (2020),

3) Supporting the development and sustainability of nuclear expertise and excellence
at Union level

Indicator: number of PhD students, Post-Doc researchers, trainees and fellows
supported by Euratom

Current: 745 (2017); Target: 1000 (total for 2014-2020)

4) Supporting radiation protection and development of medical applications of
radiation, including, inter alia, the secure and safe supply and use of radioisotopes;

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

Current: 2 (2017); Target: 3 (2020)

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

# EN 28 EN

Indicator: Number of publications in high impact journals

Current: ca. 350 (2016); Target: 350 (2020).

6) Laying 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
2014-2020 reached by the Euratom Programme;

Current: 28% (2015) Target: 90% (2020);

7) Promoting innovation and industrial competitiveness

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

Current: 3 (2015); Target: 12 (2020)

Indicator: Patents applications generated by European fusion laboratories

Current: 2 new patents per year (2015); Target: 8 (2020);

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

Indicator: Number of researchers using research infrastructures through Euratom
mobility and access support (per year)

Current: 958 (2015), Target: 1000 (2020);

Indicators for direct actions

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

**- JRC policy support indicator – Number of occurrences of tangible specific**
**impacts on Union policies resulting from technical and scientific policy support**
**provided by the JRC** . This indicator counts cases where JRC's support becomes
part or even the basis of European policy, i.e. cases where JRC’s work helped putting
Commission priorities on a solid and robust scientific evidence base. Impacts are
identified in the JRC's annual evaluation exercise performed by an internal peer
group of experts on the basis of an ISO certified evaluation methodology:

Current 15 (2016), Target 15 per year (2019-2020)

**- JRC scientific productivity indicator – Number of peer reviewed publications.**
This indicator counts the peer-reviewed articles published within a given year in (i)
journals, the titles of which are listed in the Thomson-Reuters Science Citation Index
Expanded (SCI-e) and/or Social Science Citation Index (SSCI). This indicator
reflects the degree to which JRC publishes the results of its research:

# EN 29 EN

Current 45 (2016), Target 50 per year (2019-2020)

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

         - JRC policy support indicator: Current 19 (2016), Target 22 (2019-2020)

         - JRC scientific productivity indicator: Current 21 (2016), Target 22 (2019-2020)

3) Raising excellence in the nuclear science base for standardisation.

         - JRC policy support indicator: Current 6 (2016), Target 12 (2019-2020)

         - JRC scientific productivity indicator: Current 50 (2016), Target 55 (2019-2020)

4) Foster knowledge management, education and training.

         - JRC policy support indicator: Current 9 (2016), Target 10 (2019-2020)

         - JRC scientific productivity indicator: Current 15 (2016), Target 18 (2019-2020)

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

         - JRC policy support indicator: Current 13 (2016), Target 18 (2019-2020)

         - JRC scientific productivity indicator: Current 7 (2016), Target 7 (2019-2020)

**1.5.** **Grounds for the proposal/initiative**

_1.5.1._ _Requirement(s) to be met in the short or long term_

The focus of the fission programme on safety-related issues addresses key societal
concerns regarding the use of current nuclear technology, such as operational safety
of nuclear power plants and safe disposal of the most hazardous forms of radioactive
waste (high-level waste and spent nuclear fuel).

Research on fusion can have an impact only in the longer term but energy and
climate change are at the top of the political agenda, and as a potential low-carbon,
secure and base-load source of electricity, fusion and related research are clearly
relevant in this context.

_1.5.2._ _Added value of Union involvement (it may result from different factors, e.g._
_coordination gains, legal certainty, greater effectiveness or complementarities). For_
_the purposes of this point 'added value of Union involvement' is the value resulting_
_from Union intervention which is additional to the value that would have been_
_otherwise created by Member States alone._

A key element of Euratom Programme added value is the ability to mobilise a wider
pool of excellence, competencies and multi-disciplinarity in the nuclear research
field than is possible at the level of individual Member States. The Euratom
Programme also enables a Europe-wide approach to the improvement, through

# EN 30 EN

cooperative research and innovation, of nuclear safety and radiation protection in all
areas of application, which complements the Euratom Directives on nuclear safety,
radioactive waste management and basic safety standards. This involves
demonstrable scientific and technological progress in all areas that would not have
been possible without a collaborative pan-European approach. In areas such as
education and training, use of research infrastructures and international cooperation,
the Euratom Programme also enables a much more broad-based coordination
throughout Europe. This is of particular benefit to smaller Member States, especially
with nuclear power programmes, which can then benefit from economies of scale
afforded by the Europe-wide pooling effect. In the broader energy context, in which
the European dimension is being championed through the Energy Union, the
Euratom Programme also has a key role to play under the 'research, innovation and
competitiveness pillar', in particular as part of the SET-Plan activities.

_1.5.3._ _Lessons learned from similar experiences in the past_

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

– 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 to ensure the relevance of the activities and the mutual synergy with national

programmes;

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

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

– The anticipated impact should be considered in the project planning process.

         - Monitoring and evaluation in the execution phase 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;

– improving the knowledge management enabling the transfer of knowledge and
skills in EU and worldwide

# EN 31 EN

– reinforce its education and training activities offering its experience and
infrastructure to the next generation of nuclear scientist

– create more synergy between its nuclear and non-nuclear activities exploiting the
potential for knowledge transfer in some areas.

_1.5.4._ _Compatibility and possible synergy with other appropriate instruments_

The Euratom Programme (2019-2020) 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 may be established by means of crosscutting actions. The programme contributes to the implementation of the chapter 7 of
the Euratom Treaty, related to the EU nuclear safeguards system. It also contributes
to the EU security agendas and strategies.

**1.6.** **Duration and financial impact**

 Proposal/initiative of **limited duration**

–  Proposal/initiative in effect from 01/01/2019 to 31/12/2020

–  Financial impact from 2019 to 2026

 Proposal/initiative of **unlimited duration**

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

–
followed by full-scale operation.

**1.7.** **Management mode(s) planned** **[30 ]**

 **Direct management** by the Commission

–  by its departments, including by its staff in the Union delegations;

–  by the executive agencies

 **Shared management** with the Member States

 **Indirect management** by entrusting budget implementation tasks to:

–  third countries or the bodies they have designated;

–  international organisations and their agencies (to be specified);

–  the EIB and the European Investment Fund;

–  bodies referred to in Articles 208 and 209 of the Financial Regulation;

30 Details of management modes and references to the Financial Regulation may be found on the
BudgWeb site:
[https://myintracomm.ec.europa.eu/budgweb/EN/man/budgmanag/Pages/budgmanag.aspx](https://myintracomm.ec.europa.eu/budgweb/EN/man/budgmanag/Pages/budgmanag.aspx)

# EN 32 EN

–  public law bodies;

–  bodies governed by private law with a public service mission to the extent that
they provide adequate financial guarantees;

–  bodies governed by the private law of a Member State that are entrusted with
the implementation of a public-private partnership and that provide adequate
financial guarantees;

–  persons entrusted with the implementation of specific actions in the CFSP
pursuant to Title V of the TEU, and identified in the relevant basic act.

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

Comments

Management of the Programme will be through the services of the Commission

# EN 33 EN

**2.** **MANAGEMENT** **MEASURES**

**2.1.** **Monitoring and reporting rules**

_Specify frequency and conditions._

On annual basis, performance of the Programme is monitored through a set of Key
Performance Indicators. Research and training activities are also reported in annual
reports prepared by DG RTD and JRC. Individual projects are subject to a
compulsory mid-term review.

**2.2.** **Management and control system**

_2.2.1._ _Risk(s) identified_

The Commission accepts the clear need to manage the budget in an efficient and
effective manner, and to prevent fraud and waste. 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 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. The Commission takes note of the European Parliament's opinion (in the
discharge 2014) that [the EP] "Remains convinced that the Commission must
continue to strive for an acceptable balance between the attractiveness of
programmes to participants and the legitimate necessity of accountability and
financial control". 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.

_2.2.2._ _Information concerning the internal control system set up_

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 exante certification of cost methodologies;

– Ex post audits on a sample of claims; and

# EN 34 EN

– Scientific evaluation of project results.

For direct actions, financial circuits include ex-ante checks for procurement and expost 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.

_2.2.3._ _Estimate of the costs and benefits of the controls and assessment of the expected level_
_of risk of error_

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) was 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. However, this
considerable control effort has not managed to fully achieve its objective. The
estimated "residual" error rate for FP7, 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 %, reduced to around 3% due to the effects of the audits. It is
unlikely that the 2 % residual error will be attained. The rate of error identified by the
European Court of Auditors is in a similar range.

**2.3.** **Measures to prevent fraud and irregularities**

_Specify existing or envisaged prevention and protection measures._

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. 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. 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

# EN 35 EN

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

# EN 36 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 budget lines

In order of multiannual financial framework headings and budget lines.

|Heading of<br>multiannual<br>financial<br>framework|Budget line|Type of<br>expenditure|Contribution|Col5|Col6|Col7|
|---|---|---|---|---|---|---|
|Heading of<br>multiannual<br>financial<br>framework|Number <br> <br>|Diff./Non-<br>diff.31|from<br>EFTA<br>countries<br>32 <br>|from<br>candidate<br>countries<br>33 <br>|from third<br>countries|within the<br>meaning of<br>Article 21(<br>2)(b) of the<br>Financial<br>Regulation|
|1|<br>**08 01**Administrative expenditure of the <br>‘Research and Innovation’ policy area <br> <br> <br>**08 01 05 11**Expenditure related to officials<br>and temporary staff implementing research<br>and innovation programmes— Euratom<br>Programme<br>**08 01 05 12**External personnel implementing<br>research and innovation programmes— <br>Euratom Programme<br>**08 01 05 13**Other management expenditure<br>for research and innovation programmes— <br>Euratom Programme<br>**10 01** Administrative expenditure of the <br>‘Direct research’ policy area<br> <br>**10 01 05** Support expenditure for research and<br>innovation programmes in the ‘Direct<br>research’ policy area<br>**10 01 05 11** Expenditure related to officials<br>and temporary staff implementing research<br>and innovation programmes — Euratom<br>Programme<br>**10 01 05 12** External personnel implementing<br>research and innovation programmes —<br>Euratom Programme<br>**10 01 05 13** Other management expenditure<br>for research and innovation programmes —<br>Euratom Programme<br>**10 01 05 14** Other expenditure for new major<br>research infrastructures — Euratom<br>Programme<br> <br>**08 03** Euratom Programme Indirect Research|<br> <br> <br> <br> <br> <br> <br> <br>Non-diff.<br> <br> <br> <br> <br> <br> <br> <br>|NO|YES|YES|NO|

31 Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations.
32 EFTA: European Free Trade Association.
33 Candidate countries and, where applicable, potential candidates from the Western Balkans.

# EN 37 EN

- New budget lines requested

In order of multiannual financial framework headings and budget lines.

Not applicable

# EN 38 EN

**3.2.** **Estimated impact on expenditure**

_3.2.1._ _Summary of estimated impact on expenditure_

3.2.1.1. Summary of estimated impact on expenditure - **Indirect Research**

EUR million (to three decimal places)

|DG: RTD (Indirect Research)|Col2|Col3|Col4|2019|2020|>2020|TOTAL|
|---|---|---|---|---|---|---|---|
| Operational appropriations| Operational appropriations| Operational appropriations| Operational appropriations|||||
|Number of budget line: 08 03 01 xx|Commitments|Commitments|(1)=<br>1a+1b|**228.353**|**242.976**|**- **|**471.328**|
|Number of budget line: 08 03 01 xx|Payments|Payments|(2)=<br>2a+2b|**60.000**|**244.080**|**167.248**|**471.328**|
|Number of budget line: 08 03 01 01|Commitments|Commitments|(1a)|159.321|169.523|**- **|**328.844**|
|Number of budget line: 08 03 01 01|Payments|Payments|(2a)|60.000|130.092|138.751|**328.844**|
|Number of budget line: 08 03 01 02|Commitments|Commitments|(1b)|69.032|73.452|-|**142.484**|
|Number of budget line: 08 03 01 02|Payments|Payments|(2b)|-|113.988|28.497|**142.484**|
|• Appropriations of an administrative nature financed from the<br>envelope of specific programmes34 <br>Number of budget line: 08 01 05 11<br>Number of budget line: 08 01 05 12<br>Number of budget line: 08 01 05 13|• Appropriations of an administrative nature financed from the<br>envelope of specific programmes34 <br>Number of budget line: 08 01 05 11<br>Number of budget line: 08 01 05 12<br>Number of budget line: 08 01 05 13|• Appropriations of an administrative nature financed from the<br>envelope of specific programmes34 <br>Number of budget line: 08 01 05 11<br>Number of budget line: 08 01 05 12<br>Number of budget line: 08 01 05 13|• Appropriations of an administrative nature financed from the<br>envelope of specific programmes34 <br>Number of budget line: 08 01 05 11<br>Number of budget line: 08 01 05 12<br>Number of budget line: 08 01 05 13|<br> <br>9.384<br>0.952<br>4.240|<br> <br>9.572<br>0.971<br>4.966||<br> <br>**18.956**<br>**1.923**<br>**9.206**|
|Number of budget line 08 01 05 xx||(3)|(3)|**14.576**|**15.509**|**- **|**30.085**|
|**TOTAL appropriations DG RTD**|Commitments|=(1)+(3)|=(1)+(3)|**242.928**|**258.485**|**- **|**501.413**|

34 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 39 EN

3.2.1.2. Summary of estimated impact on expenditure - **Direct Research**

EUR million (to three decimal places)

|DG: Joint Research Centre (Direct Research)|Col2|Col3|2019|2020|> 2021|TOTAL|
|---|---|---|---|---|---|---|
| Operational appropriations| Operational appropriations| Operational appropriations|||||
|Number of budget line:**10.03**|Commitments|(1)|**11.316**|**11.769**|**0 **|**23.085**|
|Number of budget line:**10.03**|Payments|(2)|**4.640**|**9.917**|**8.528**|**23.085**|
|Number of budget line: 10.03.01|Commitments|(1a)|11.316|11.769|0|**23.085**|
|Number of budget line: 10.03.01|Payments|(2a)|4.640|9.917|8.528|**23.085**|
| Appropriations of an administrative nature financed from the<br>envelope of specific programmes <br>Number of budget line: 10.01.05.11<br> <br> <br>Number of budget line: 10.01.05.12<br> <br> <br>Number of budget line: 10.01.05.13<br> <br> <br>Number of budget line: 10.01.05.14<br> <br>| Appropriations of an administrative nature financed from the<br>envelope of specific programmes <br>Number of budget line: 10.01.05.11<br> <br> <br>Number of budget line: 10.01.05.12<br> <br> <br>Number of budget line: 10.01.05.13<br> <br> <br>Number of budget line: 10.01.05.14<br> <br>| Appropriations of an administrative nature financed from the<br>envelope of specific programmes <br>Number of budget line: 10.01.05.11<br> <br> <br>Number of budget line: 10.01.05.12<br> <br> <br>Number of budget line: 10.01.05.13<br> <br> <br>Number of budget line: 10.01.05.14<br> <br>|<br>56.368<br>10.400<br>36.447<br>15.702|<br>58.623<br>10.816<br>37.905<br>19.461|<br>0 <br>0 <br>0 <br>0|<br>**114.991**<br>**21.216**<br>**74.352**<br>**35.163**|
|**Number of budget line: 10.01.05**||(3)|**118.917**|**126.804**|**0 **|**245.722**|
|**TOTAL appropriations** <br>**for DG JRC **|Commitments|=1+1a +3|**130.234**|**138.573**||**268.807**|
|**TOTAL appropriations** <br>**for DG JRC **|Payments|=2+2a<br>+3|**123.557**|**136.722**|**8.528**|**268.807**|

# EN 40 EN

EUR million (to three decimal places)

|Col1|Col2|2019|2020|>2020|TOTAL|
|---|---|---|---|---|---|
|DG:**RTD Indirect Research** +<br>**JRC Direct Research **<br>||||||
| Human resources| Human resources|0|0|**0 **|**0 **|
| Other administrative expenditure| Other administrative expenditure|**0 **|**0 **|**0 **|**0 **|
|**TOTAL DG RTD + JRC **|Appropriations|0|0|**0 **|**0 **|
|**TOTAL appropriations** <br>**under HEADING 5** <br>of the multiannual financial<br>framework|(Total<br>commitments<br>= <br>Total payments)|0|0|**0 **|**0 **|

EUR million (to three decimal places)

3.2.1.3. Summary of estimated impact on expenditure – **Indirect + Direct Research**

|DG: RTD + Joint Research Centre,|Col2|Col3|2019|2020|> 2020|TOTAL|
|---|---|---|---|---|---|---|
| Operational appropriations| Operational appropriations| Operational appropriations|||||
|Number of budget line: 08 03 01|Commitments|(1)|228.353|242.976|**- **|**471.328**|
|Number of budget line: 08 03 01|Payments|(2)|60.000|244.080|167.248|**471.328**|

# EN 41 EN

|Number of budget line: 10.03.01|Commitments|(1a)|11.316|11.769|0|23.085|
|---|---|---|---|---|---|---|
|Number of budget line: 10.03.01|Payments|(2a)|4.640|9.917|8.528|**23.085**|
|Appropriations of an administrative nature financed from the<br>envelope of specific programmes|Appropriations of an administrative nature financed from the<br>envelope of specific programmes|Appropriations of an administrative nature financed from the<br>envelope of specific programmes|||||
|**Number of budget line: 08.01.05.xx**||(3)|14.576|15.509||**30.085**|
|**Number of budget line: 10.01.05.xx**|||118.917|126.804|0|**245.722**|
|**TOTAL appropriations** <br>**for DG RTD + JRC **|Commitments|=1+1a +3|**373.161**|**397.057**|**0 **|**770.218**|
|**TOTAL appropriations** <br>**for DG RTD + JRC **|Payments|=2+2a<br>+3|**198.133**|**396.309**|**175.776**|**770.218**|

|Col1|Col2|2019|2020|>2020|TOTAL|
|---|---|---|---|---|---|
|**TOTAL appropriations** <br>**under HEADINGS 1 to 5** <br>of the multiannual financial<br>framework|Commitments|**373.161**|**397.057**|**0 **|**770.218**|
|**TOTAL appropriations** <br>**under HEADINGS 1 to 5** <br>of the multiannual financial<br>framework|Payments|**198.133**|**396.309**|**175.776**|**770.218**|

_3.2.2._ _Estimated impact on operational appropriations_

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

–  The proposal/initiative requires the use of operational appropriations, as explained below:

Commitment appropriations in EUR million (to three decimal places)

|Indicate objectives and outputs|Col2|Col3|2019|2020|TOTAL|
|---|---|---|---|---|---|
|**Indicate objectives and outputs**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|

# EN 42 EN

||Type35|Average<br>cost|No Cost|Col5|No Cost|Col7|Total No Total cost|Col9|
|---|---|---|---|---|---|---|---|---|
|SPECIFIC OBJECTIVE|SPECIFIC OBJECTIVE|SPECIFIC OBJECTIVE|<br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br>|
|- Output EURATOM Indirect Research Fusion|Reports describing<br>facts, findings and<br>results|NA*|34**<br>159.321|34**<br>159.321|34**|169.523|68**|**328.844**|
|- Output EURATOM Indirect Research Fission (estim.)|- Output EURATOM Indirect Research Fission (estim.)|3-5 M€|25<br>69.032|25<br>69.032|25|73.453|50|**142.484**|
|- Output EURATOM Direct Research JRC (***)|Products and Services<br>for EU policy makers|46 (****)|250|11.316|250|11.769|500|**23.085**|
|Total for specific objective|Total for specific objective|Total for specific objective|309|**239.669**|309|**254.745**|618|**494.413**|

    - the average cost calculation would not be reliable in this particular field with the signature of 1 grant and any contract under Article 10 of the Treaty

** the EUROfusion grant participants report on 33 work packages

(***) The outputs from Direct Research actions are mostly products and services for EU policy makers resulting from the JRC's Multi-annual Work Programme 2019-2020
which are planned to be released by the JRC as a result of its direct research nuclear activities. These refer to scientific and policy reports, reference materials, validated
methods, technical systems, scientific information systems, databases, etc. The JRC's Multi-annual Work Programme is a rolling work programme reflecting Commission
needs. In this sense, the number of planned deliverables from the work programme is subject to change, since they will have to take into account forthcoming requests from
the Commission. A reliable value for 2019-2020 planned deliverables can only be provided at the end of 2018, when the new work programme is finalized.

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

35 Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.).

# EN 43 EN

3.2.2.1. Summary

–  The proposal/initiative does not require the use of appropriations of an
administrative nature

–  The proposal/initiative requires the use of appropriations of an administrative
nature, as explained below:

EUR million (to three decimal places)

|HEADING 5<br>of the multiannual<br>financial framework|Col2|Col3|Col4|
|---|---|---|---|
|Human resources|0|0|0|
|Other administrative<br>expenditure|0|0|0|
|**Subtotal HEADING**<br>**5** <br>**of the multiannual**<br>**financial framework**|0|0|0|

|Outside HEADING<br>536<br>of the multiannual<br>financial framework|Indirect<br>Research|Direct Research|Indirect<br>Research|Direct Research|Indirect<br>Research|Direct<br>Research|
|---|---|---|---|---|---|---|
|Human resources|10.336|66.768|10.543|69.439|20.879|136.207|
|Other expenditure <br>of an administrative<br>nature|4.240|52.149|4.966|57.366|9.206|109.515|
|**Subtotal** <br>**outside HEADING 5** <br>**of the multiannual**<br>**financial framework**|14.576|118.917|15.509|126.805|30.085|245.722|

|TOTAL /DG|14.576|118.917|15.509|126.805|30.085|245.722|
|---|---|---|---|---|---|---|
|**TOTAL / year**|133.493|133.493|142.314|142.314|275.807|275.807|

The appropriations required for human resources and other expenditure of an administrative nature will be met by
appropriations from the DG that 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.

36 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 44 EN

3.2.2.2. Estimated requirements of human resources

–  The proposal/initiative does not require the use of human resources.

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

_Estimate to be expressed in full time equivalent units_

|Col1|Col2|2019|2020|TOTAL|
|---|---|---|---|---|
|** Establishment plan posts (officials and temporary staff)**|** Establishment plan posts (officials and temporary staff)**|** Establishment plan posts (officials and temporary staff)**|** Establishment plan posts (officials and temporary staff)**|** Establishment plan posts (officials and temporary staff)**|
|XX 01 01 01 (Headquarters and Commission’s<br>Representation Offices)|XX 01 01 01 (Headquarters and Commission’s<br>Representation Offices)||||
|XX 01 01 02 (Delegations)|XX 01 01 02 (Delegations)||||
|08 01 05 01 (Indirect research)|08 01 05 01 (Indirect research)|68|68||
|10 01 05 01 (Direct research)|10 01 05 01 (Direct research)|493|493||
|** External staff (in Full Time Equivalent unit: FTE)37 **<br>|** External staff (in Full Time Equivalent unit: FTE)37 **<br>|** External staff (in Full Time Equivalent unit: FTE)37 **<br>|** External staff (in Full Time Equivalent unit: FTE)37 **<br>|** External staff (in Full Time Equivalent unit: FTE)37 **<br>|
|XX 01 02 01 (AC, END, INT from the ‘global<br>envelope’)|XX 01 02 01 (AC, END, INT from the ‘global<br>envelope’)||||
|XX 01 02 02 (AC, AL, END, INT and JED in the<br>delegations)|XX 01 02 02 (AC, AL, END, INT and JED in the<br>delegations)||||
|**XX** 01 04**yy** **_38_ **<br>|- at Headquarters <br>||||
|**XX** 01 04**yy** **_38_ **<br>|- in Delegations||||
|**08** 01 05 02 (AC, END, INT - Indirect research)|**08** 01 05 02 (AC, END, INT - Indirect research)|14|14||
|10 01 05 02 (AC, END, INT - Direct research)|10 01 05 02 (AC, END, INT - Direct research)|176|176||
|Other budget lines (specify)|Other budget lines (specify)||||
|**TOTAL**|**TOTAL**|**751**|**751**||

**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 staff|Tasks derived from the nuclear research /direct and indirect research specific<br>programme, in particular related to nuclear waste management, nuclear safety<br>and nuclear safeguards, security and to nuclear fusion.|
|---|---|
|External staff|External staff|

37 AC= Contract Staff; AL = Local Staff; END= Seconded National Expert; INT = agency staff;
JED= Junior Experts in Delegations.
38 Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines).

# EN 45 EN

# EN 46 EN

_3.2.3._ _Compatibility with the current multiannual financial framework_

–  The proposal/initiative is compatible the current multiannual financial
framework.

–  The proposal/initiative will entail reprogramming of the relevant heading in the
multiannual financial framework.

–  The proposal/initiative requires application of the flexibility instrument or
revision of the multiannual financial framework.

_3.2.4._ _Third-party contributions_

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

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

Appropriations in EUR million (to three decimal places)

|Col1|Year<br>2019|Year<br>2020|Total|
|---|---|---|---|
|Specify<br>the<br>co-<br>financing body|Third Countries associated to the programme|Third Countries associated to the programme|Third Countries associated to the programme|
|TOTAL<br>appropriations co-<br>financed|pm*|pm*|pm*|

- to be added at a later stage

**3.3.** **Estimated impact on revenue**

–  The proposal/initiative has no financial impact on revenue.

–  The proposal/initiative has the following financial impact:

–  on own resources

–  on miscellaneous revenue

EUR million (to three decimal places)

|Budget revenue<br>line:|Appropriations available<br>for the current financial<br>year|Impact of the proposal/initiative39|Col4|
|---|---|---|---|
|Budget revenue<br>line:|Appropriations available<br>for the current financial<br>year|**2019**|**2020**|
|Item 6011<br>Item 6013<br>Item 6031<br>||pm<br>pm<br>Pm|pm<br>pm<br>pm|

39 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 47 EN

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

**08 03 50** : Appropriations accruing from contributions from (non-European Economic
Area) third parties to research and technological development

**10 03 50** 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 Associated States contribute to a supplementary funding of the Euratom
Programme through Association Agreements. The method of calculation has been
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.

# EN 48 EN