CELEX: 52011PC0812
Language: en
Date: 2011-11-30
Title: Proposal for a COUNCIL REGULATION on the Research and Training Programme of the European Atomic Energy Community (2014-2018) complementing the Horizon 2020 – The Framework Programme for Research and Innovation

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		52011PC0812
		
			Proposal for a COUNCIL REGULATION on the Research and Training Programme of the European Atomic Energy Community (2014-2018) complementing the Horizon 2020 – The Framework Programme for Research and Innovation /* COM/2011/0812 final - 2011/0400 (NLE) */
			
				
		
		
			
			   	EXPLANATORY MEMORANDUM
1.                      
CONTEXT OF THE PROPOSAL
The proposed Euratom Research and Training
Programme (2014-2018), hereinafter the ‘Euratom Programme’, concerns research
activities in nuclear energy (fusion and fission) and radiation protection. The
proposal is an integral part of Horizon 2020, the Framework Programme for
Research and Innovation. It determines the overall budget for direct and
indirect actions, sets the objectives of R&D activities and specifies the
instruments for supporting them. 
The proposal takes the form of a single
Regulation covering all relevant aspects for the implementation of research
activities in the above fields, setting the scientific and technological
objectives and laying down appropriate rules for the participation of research
organisations, universities and industry. It will cover the fusion energy
research and development programme, the fission and radiation protection
research activities, and the JRC direct actions in nuclear security and safety.
The proposal will therefore ensure that Union-funded
research and training activities in nuclear science and technology are
continued over the years 2014-18, thereby maintaining the effective and
efficient programmes that currently catalyse and coordinate activities in
Member States, in order to maximise Union added value. 
By supporting the above priorities, the
Euratom Programme (2014-2018) will contribute to the three strategic objectives
outlined in the Horizon 2020 Framework Programme for Research and Innovation,
namely: excellent science, industrial leadership and societal challenges. .
Accordingly, appropriate links and interfaces between the Euratom Programme
and the Horizon 2020 Framework Programme will be maintained.
The proposed
Euratom Programme is clearly linked to the objectives of the Europe 2020 and
Energy 2020 strategies. The programme will contribute to the ‘Innovation Union’
flagship initiative by supporting pre-commercial and policy-relevant research
and facilitating technology transfer between academia and industry. By putting
emphasis on training in all its activities, boosting competitiveness in the
existing nuclear industry and creating a new sector of high-tech industry for
fusion energy in particular, the Euratom Programme will lead to growth and new
jobs in a wide range of disciplines. 
The Euratom Treaty limits the duration of
research programmes in the nuclear field to 5 years.[1] The proposed legislation will
therefore expire at the end of 2018. 
ITER is addressed in a separate Decision,
as the funding for this project will be outside the Multiannual Financial
Framework, in line with the Communication ‘A Budget for
Europe 2020’ (COM(2011)500 of
29.6.2011). 
The Euratom Programme (2014-2018) is
implemented through a single Regulation, laying down all the necessary
provisions for the implementation of nuclear research activities. This new
approach is in contrast with the previous programming periods, where the
content of the present Regulation used to be covered by four different
legislative acts (three Decisions respectively on the Framework Programme, the
Specific Programme for indirect actions and the Specific Programme for the JRC
direct actions, as well as a Regulation laying down the Rules for the
Participation of undertakings, research centres and universities and for the
dissemination of research results).
The Regulation equally addresses the
objective of simplification by referring to the same participant guarantee fund
as in the Horizon 2020 Framework Programme. 
Furthermore, the Euratom Programme (2014-2018)
puts forward a major simplification of funding rules as well as a revised
control strategy, thereby supporting the overall simplification objective.
2.                      
RESULTS OF CONSULTATIONS WITH THE
INTERESTED PARTIES AND IMPACT ASSESSMENTS
The preparation of the Euratom Programme
proposal took full account of the responses to an extensive public consultation
based on the Green Paper 'From Challenges to Opportunities: Towards a Common
Strategic Framework for Union research and innovation funding'[2]. Additional consultations were
organised with the objective of discussing the energy challenge in the future
research programme with representatives of governments and a wide range of
stakeholders from industry, academia and civil society, covering both nuclear
and non-nuclear issues. The Commission has also taken into account the results
of the discussions that took place in the Council, the European Parliament and
the European Economic and Social Committee on the proposal for the Euratom
Framework Programme for 2012-2013.
The proposal also relies on an in-depth
impact assessment, drawing on stakeholder consultations and internal and
external evaluations. The assessment found that the challenges of nuclear
safety and diminishing nuclear skills in Europe can be tackled effectively by
exploiting synergies between the research efforts of Member States and the
private sector, and between scientific disciplines and technological sectors.
Action at Union-level can strengthen the research and innovation framework in
the nuclear field and coordinate Member States’ research efforts thereby
avoiding duplication, retaining critical mass in key areas and ensuring that
public funding is used to best effect. An Union-level programme can also
undertake the high risk and long-term R&D programme in fusion energy,
thereby sharing the risk and generating a breadth of scope and economies of
scale that could not otherwise be achieved.
3.                      
LEGAL ELEMENTS OF THE PROPOSAL
The legal basis for this Framework
Programme is provided for by Article 7 of the Euratom Treaty. 
4.                      
BUDGETARY IMPLICATION
The budget of the proposal is presented in current
prices. The 'legislative financial statement' attached to this proposal sets
out the budgetary , human and administrative resource implications.
2011/0400 (NLE)
Proposal for a
COUNCIL REGULATION
on the Research and Training Programme of
the European Atomic Energy Community (2014-2018) complementing the Horizon 2020
– The Framework Programme for Research and Innovation
THE COUNCIL OF THE EUROPEAN UNION,
Having regard
to the Treaty establishing the European Atomic Energy Community, (hereinafter
the ‘Euratom Treaty’), and in particular the first paragraph of Article 7
thereof,
Having regard to the proposal from the
European Commission,
Having regard to the opinion of the European
Parliament[3],
Having regard to the opinion of the
European Economic and Social Committee[4],

Whereas:
(1)              
One of the aims of the European Atomic Energy
Community (hereinafter the ‘Community’) is to contribute to the raising of the
standard of living in the Member States by, inter alia, promoting and
facilitating nuclear research in the Member States and complementing it by
carrying out a Community research and training programme.
(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
contribution of nuclear research to the long-term decarbonisation of the energy
system in a safe, efficient and secure way. 
(3)              
By supporting nuclear research the Research and
Training Programme of the Community (hereinafter the ‘Euratom Programme’) will
contribute to achieving objectives of the ‘Horizon 2020’ Framework Programme
for Research and Innovation established by Regulation (EU XX/XXXX of [….][5] (hereinafter ‘Horizon 2020
Framework Programme’) and facilitate implementation of the Europe 2020 strategy
and the creation and operation of the European Research Area. 
(4)              
Notwithstanding the potential impact of nuclear
energy on energy supply and economic development, severe nuclear accidents may
have the potential to endanger human health. Therefore, nuclear safety and,
where appropriate, security aspects should be given the greatest possible
attention in the Euratom Research and Training Programme.
(5)              
As all Member States have nuclear installations
or make use of radioactive materials particularly for medical purposes, the
Council has recognised in its conclusions of 2 December 2008[6] the continuing need for skills
in the nuclear field, in particular through appropriate education and training
linked with research and coordinated at Community level.
(6)              
By signing the Agreement on the Establishment of
the ITER International Fusion Energy Organisation for the Joint Implementation
of the ITER Project[7],
the Community has undertaken to participate in ITER construction and its future
exploitation. The Community contribution is managed through the ‘European Joint
Undertaking for ITER and the Development of Fusion Energy’ (hereinafter ‘Fusion
for Energy’), established by Council Decision of 27 March 2007[8]. The activities of Fusion
for Energy, including ITER, are to be regulated by a separate legislative act. 
(7)              
For fusion to become a credible option for
commercial energy production, it is, firstly, necessary to successfully and
timely complete the construction of ITER and start its operation. Secondly it
is necessary to establish an ambitious, yet realistic roadmap towards the production
of electricity by 2050. Reaching those goals requires the European fusion
programme to be redirected. A stronger focus should be placed on the activities
in support to ITER. Such rationalisation should be achieved without
jeopardising the European leadership of the fusion scientific community.
(8)              
The Joint Research Centre (JRC) should continue
to provide independent customer-driven scientific and technological support for
the formulation, development, implementation and monitoring of Community
policies, in particular in the field of nuclear safety and security research
and training.
(9)              
The Joint Research Centre should continue to
generate additional resources through competitive activities, including
participation to the indirect actions of the Euratom Programme, third party
work and, to a lesser extent, the exploitation of intellectual property
(10)          
While it is for each Member State to choose
whether or not to make use of nuclear power, the role of the Union is to
develop, in the interest of all its Member States, a framework to support joint
cutting-edge research, knowledge creation and knowledge preservation on nuclear
fission technologies, with special emphasis on safety, security, radiation
protection and non-proliferation. That requires independent scientific
evidence, to which the JRC can make a key contribution. That has been
recognised in the Commission Communication ‘Europe 2020 Flagship Initiative
Innovation Union’[9],
in which the Commission stated its intention to strengthen scientific evidence
for policy making through the JRC. The JRC proposes to respond to that
challenge by focusing its nuclear safety and security research on the Union's
policy priorities.
(11)          
With the aim of deepening the relationship
between science and society and reinforcing public confidence in science, the
Euratom Programme should favour an informed engagement of citizens and civil
society on research and innovation matters by promoting science education, by
making scientific knowledge more accessible, by developing responsible research
and innovation agendas that meet citizens' and civil society's concerns and
expectations and by facilitating their participation in the Euratom programme
activities. 
(12)          
The implementation of the Euratom Programme
should respond to the evolving opportunities and needs from science and
technology, industry, policies and society. As such, the agendas should be set
in close liaison with stakeholders from all sectors concerned, and sufficient
flexibility should be allowed for new developments. External advice should be
sought on a continuous basis during the Euratom Programme, also making use of
relevant structures such as European Technology Platforms.
(13)          
The Euratom Programme should contribute to the
attractiveness of the research profession in the Union. Adequate attention
should be paid to the European Charter for Researchers and Code of Conduct for
the Recruitment of Researchers[10],
together with other relevant reference frameworks defined in the context of the
European Research Area, while respecting their voluntary nature. 
(14)          
The activities developed under the Euratom
Programme should aim at promoting equality between men and women in research
and innovation, by addressing in particular the underlying causes of gender
imbalance, by exploiting the full potential of both female and male researchers,
and by integrating the gender dimension into the content of projects in order
to improve the quality of research and stimulate innovation. Activities should
also aim at the implementation of the principles relating to the equality
between women and men as laid down in Articles 2 and 3 of the Treaty on
European Union and Article 8 of the Treaty on the Functioning of the European
Union (TFEU).
(15)          
Research and innovation activities supported by
the Euratom Programme should respect fundamental ethical principles. The
opinions of the European Group on Ethics in Science and New Technologies should
be taken into account. Research activities should also take into account
Article 13 of the TFEU and reduce the use of animals in research and testing,
with a view to ultimately replacing animal use. All
activities should be carried out ensuring a high level of human health
protection.
(16)          
A greater impact should also be achieved by
combining the Euratom Programme and private sector funds within public-private
partnerships in key areas where research and innovation could contribute to
Union’s wider competitiveness goals. Particular attention should be given to
the involvement of small and medium-sized enterprises.
(17)          
The Euratom Programme should promote
cooperation, in particular in the field of safety, with third countries based
on common interest and mutual benefit.
(18)          
In order to maintain a level playing field for
all undertakings active in the internal market, funding provided by the Euratom
Programme should be designed in accordance with state aid rules so as to ensure
the effectiveness of public spending and prevent market distortions such as
crowding-out of private funding, creating ineffective market structures or
preserving inefficient firms.
(19)          
The need for a new approach to control and risk
management in Union research funding was recognised by the European Council of
4 February 2011, asking for a new balance between trust and control and between
risk-taking and risk avoidance. The European Parliament, in its Resolution of
11 November 2010 on simplifying the implementation of the Research Framework
Programmes[11],
called for a pragmatic shift towards administrative and financial
simplification and stated that the management of Union research funding should
be more trust-based and risk-tolerant towards participants.
(20)          
The financial interests of the Union should be
protected through proportionate measures throughout the expenditure cycle,
including the prevention, detection and investigation of irregularities, the
recovery of funds lost, wrongly paid or incorrectly used and, where
appropriate, penalties. A revised control strategy, shifting focus from
minimisation of error rates towards risk-based control and fraud detection,
should reduce the control burden for participants.
(21)          
It is important to ensure sound financial
management of the Euratom Programme and its implementation in the most
effective and user-friendly manner possible, while also ensuring legal
certainty and accessibility of the programme to all participants. It is
necessary to ensure compliance with Council Regulation (EU) No XXXX/2012 [New Financial
Regulation][12]
and with the requirements of simplification and better regulation. 
(22)          
To ensure the most efficient implementation
possible, and easy access for all participants through simplified procedures,
and to achieve a coherent, comprehensive and transparent framework for
participants, the participation in the Euratom Programme and the dissemination
of research results should be subject to the rules applicable to the ‘Horizon
2020’ Framework Programme, as set out in Regulation (EU) No XX/XXXX [Rules for
participation] with certain adaptations. 
(23)          
It is important to continue to facilitate the
exploitation of intellectual property developed by participants while
protecting the legitimate interests of other participants and the Community in
accordance with Chapter 2 of the Euratom Treaty.
(24)          
The Participant guarantee funds, managed by the
Commission and established pursuant to Council Regulation (Euratom) No
1908/2006 of 19 December 2006 laying down the rules for the participation of
undertakings, research centres and universities in action under the Seventh
Framework Programme of the European Atomic Energy Community and for the
dissemination of research results (2007 to 2011)[13] and Regulation (Euratom) No
XX/XX of [...] laying down the rules for participation of undertakings,
research centres and universities in indirect actions under the Framework
Programme of the European Atomic Energy Community and for the dissemination of
research results (2012-2013)[14]
have proved to be an important safeguard mechanism which mitigates the risks
associated to the amounts due and not reimbursed by defaulting participants. The
Participant guarantee fund established pursuant to Regulation (EU) No XX/2012
[Rules for participation and dissemination] should also cover actions under
Regulation (Euratom) No 1908/2006, Regulation (Euratom) No XX/XX [Euratom Rules
for participation (2012-2013)] and this Regulation.
(25)          
Article 7 of the Euratom Treaty entrusts the
Commission with the responsibility of carrying out the Euratom Programme. For the purposes of implementing the Euratom Programme, except its
direct actions, the Commission should be assisted by a consultative committee
of Member States to ensure appropriate coordination
with national policies in the areas covered by this research and training
programme.
(26)          
Achievement of the Euratom Programme’s
objectives in relevant areas requires support for cross-cutting activities,
both within the Euratom Programme and jointly with the activities of the ‘Horizon
2020’ Framework Programme. 
(27)          
Effective performance management, including
evaluation and monitoring, requires development of specific performance
indicators which can be measured over time; are both realistic and reflect the
logic of the intervention; and relevant to the appropriate hierarchy of
objectives and activities. Appropriate coordination mechanisms should be put in
place between the implementation and monitoring of the Euratom Programme, and
the monitoring of progress, achievements and functioning of the European
Research Area.
(28)          
The Board of Governors of the Joint Research
Centre, set up by Commission Decision 96/282/Euratom of 10 April 1996 on the
reorganisation of the Joint Research Centre[15],
has been consulted on the scientific and technological content of on the direct
actions of the JRC.
(29)          
For reasons of legal certainty, Council Decision
2006/970/Euratom of 18 December 2006 concerning the Seventh Framework Programme
of the European Atomic Energy Community (Euratom) for nuclear research and
training activities (2007 to 2011)[16],
Regulation (Euratom) No 1908/2006, Council Decision 2006/976/Euratom of 19
December 2006 concerning the Specific Programme implementing the Seventh
Framework Programme of the European Atomic Energy Community (Euratom) for
nuclear research and training activities (2007 to 2011)[17], Council Decision
2006/977/Euratom of 19 December 2006 concerning the Specific Programme to be
carried out by means of direct actions by the Joint Research Centre
implementing the Seventh Framework Programme of the European Atomic Energy Community
(Euratom) for nuclear research and training activities (2007 to 2011)[18], Council Decision XXXX/XXXX of
[...] concerning the Framework Programme of the European Atomic Energy
Community for nuclear research and training activities (2012-2013)[19], Regulation (Euratom) No
XXX/XXXX [Euratom Rules for participation (2012-2013)], Council Decision
XXXX/XXXX/Euratom of [...] concerning the Specific Programme, to be carried out
by means of indirect actions, implementing the Framework Programme of the
European Atomic Energy Community for nuclear research and training activities
(2012-2013)[20]
and Council Decision XXXX/XXXX/Euratom of [...] concerning the Specific Programme,
to be carried out by means of direct actions by the Joint Research Centre,
implementing the Framework Programme of the European Atomic Energy Community
for nuclear research and training activities (2012 to 2013)[21] should be repealed.
(30)          
The Commission has consulted the Euratom
Scientific and Technical Committee,
HAS ADOPTED THIS REGULATION: 
TITLE I 
ESTABLISHMENT
Article 1
Establishment 
This Regulation establishes the Research
and Training Programme for the period from 1 January 2014 to 31 December 2018,
hereinafter the ‘Euratom Programme’, and lays down the rules for participation
in that programme, including the participation in programmes of funding bodies
managing the funds granted in accordance with this Regulation and in activities
conducted jointly under this Regulation and under the ‘Horizon 2020’ Framework Programme
established in Regulation (EU) XX/XXX (hereinafter ‘Horizon 2020’).
Article 2
Definitions
For the purposes of this Regulation the
following definitions apply:
(a)                   
‘research and
innovation activities’
means the whole spectrum of activities of research, technological development,
demonstration and innovation, including the promotion of cooperation with third
countries and international organisations, dissemination and optimisation of
results and stimulation of the training and mobility of researchers in the European
Atomic Energy Community (hereinafter ‘the Community’);
(b)                   
‘direct actions’ means research and innovation activities
undertaken by the Commission through its Joint Research Centre;
(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, commit to jointly support the development and
implementation of a research and innovation programme or activities which are
of strategic importance;
(e)                   
‘public-public
partnership’ means a
partnership where public sector bodies or bodies with a public service mission
at regional, national or international commit with the Community to jointly
support the development and implementation of a research and innovation
programme or activities.
Article 3
Objectives 
1.                      
The general objective of the Euratom Programme is
to improve nuclear safety, security and radiation protection, and to contribute
to the long-term decarbonisation of the energy system in a safe, efficient and
secure way. The general objective shall be implemented through the activities
specified in Annex I in the form of direct and indirect actions which pursue
the specific objectives set out in paragraphs 2 and 3 of this Article.
2.                      
The Euratom Programme indirect actions shall
have the following specific objectives:
(a)         
support safe operation of nuclear systems;
(b)         
contribute to the development of solutions for
the management of ultimate nuclear waste;
(c)         
support the development and sustainability of nuclear
competences at Union level
(d)         
foster radiation protection;
(e)         
move toward demonstration of feasibility of
fusion as a power source by exploiting existing and future fusion facilities;
(f)           
lay the foundations for future fusion power
plants by developing materials, technologies and conceptual design;
(g)         
promote innovation and industrial
competitiveness;
(h)         
ensure availability and use of research
infrastructures of pan-European relevance; 
3.                      
The Euratom Programme direct actions shall have
the following specific objectives:
(a)         
improve nuclear safety including: fuel and
reactor safety, waste management and decommissioning, and emergency
preparedness;
(b)         
improve nuclear security including: nuclear
safeguards, non-proliferation, combating illicit trafficking and nuclear
forensics;
(c)         
raising excellence in the nuclear science base
for standardisation;
(d)         
foster knowledge management, education and
training;
(e)         
support the policy of the Union on nuclear
safety and security and the related evolving Union legislation.
4.                      
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.
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, including
responses to emerging opportunities, crises and threats, to needs relating to
the development of new Union policies, and to the steering of actions envisaged
for support under future programmes. 
Article 4
Budget
1.                      
The financial envelope for the implementation of
the Euratom Programme shall be EUR 1 788.889 million. That amount shall be
distributed as follows:
(a)         
indirect actions for the fusion research and
development programme, EUR 709.713 million;
(b)         
indirect actions for nuclear fission, safety and
radiation protection, EUR 354.857 million;
(c)         
direct actions, EUR 724.319 million.
For the implementation of indirect actions of
the Euratom Programme, no more than 13.5 % shall be for the Commission’s
administrative expenditure.
2.                      
The financial envelope of the Euratom Programme
may cover expenses pertaining to preparatory, monitoring, control, audit and
evaluation activities which are required for the management of the Programme
and the achievement of its objectives, in particular studies and meetings of experts,
as far as they are related to the general objectives of this Regulation,
expenses linked to information technology networks focusing on information
processing and exchange, together with all other technical and administrative
assistance expenses incurred by the Commission for the management of the
Euratom Programme.
3.                      
Where necessary, appropriations may be entered
in the budget beyond 2018 to cover technical and administrative assistance expenses,
in order to enable the management of actions not yet completed by 31 December
2018.
4.                      
Where the direct actions contribute to
initiatives established by entities entrusted with implementation of tasks by
the Commission in accordance with Article 6(2) and Article 15, such contribution
shall not be considered as part of the financial contribution allocated to
these initiatives. 
Article 5 
Association
of third countries
1.                      
The Euratom Programme shall be open to the
association of:
(a)         
acceding countries, candidate countries and
potential candidates, in accordance with the general principles and general
terms and conditions for the participation of those countries in Union
programmes established in the respective framework agreements and decisions of
association councils or similar agreements;
(b)         
selected third countries that fulfil all of the
following criteria : 
(i)      have a good capacity in science,
technology and innovation;
(ii)      have a good track record of
participation in Union research and innovation programmes;
(iii)     have close economic and geographical
links to the Union; 
(iv)     are European Free Trade Association
(EFTA) members or countries or territories listed in Annex to Regulation
XX/2012 of the European Parliament and the Council [22].
2.                      
Specific terms and conditions regarding the
participation of associated countries in the Euratom Programme, including the
financial contribution, based on the gross domestic product of the associated
country shall be determined by international agreements between the Union and
the associated countries. 
TITLE II 
IMPLEMENTATION
CHAPTER I
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 financial support provided for by Regulation
(EU) No XXX/2012 [New Financial Regulation],
including grants, prizes, procurement,
financial instruments and financial contributions. The Community support shall
also consist of direct actions in the form of research and innovation activities
undertaken by the Joint Research Centre (JRC). 
2.                      
Without prejudice to
Article 10 of the Euratom Treaty, the Commission may entrust part of the implementation of the
Euratom Programme to the funding bodies referred to in Article [55(1)(b)] of
Regulation (EU) No XXX/2012 [New Financial Regulation].
The Commission may also entrust the
implementation of indirect action under the Euratom Programme to bodies created
under or referred to in the 'Horizon 2020' Framework Programme.
Article 7 
Rules
for participation and dissemination of research results
1.                      
The participation of any legal entity in
indirect actions undertaken under the Euratom Programme shall be governed by
the rules laid down in Regulation (EU) No XX/2012 [the Rules for participation
and dissemination], subject to paragraphs 2 and 3 of this Article. 
2.                      
For the purposes of the Euratom Programme, ‘the security
rules’ referred to in the first subparagraph of Article 40(2) of Regulation (XX)
[the Rules for participation and dissemination] shall include the defence
interests of the Member States within the meaning of Article 24 of the Euratom
Treaty.
By way of derogation from the first
subparagraph of Article 41(3) of that Regulation, the Commission or the funding
body may, with regard to results which are generated by participants having
received Community financial contribution, object to transfers of ownership or
to grants of both an exclusive and a non-exclusive licence, to third parties
established in a third country not associated to the Euratom Programme where it
considers that the grant or transfer is not in accordance with the interest of
developing the competitiveness of the Union economy or is inconsistent with
ethical principles or security considerations. ‘Security considerations’ shall
include the defence interests of the Member States within the meaning of
Article 24 of Euratom Treaty. 
By way of derogation from the first subparagraph
of Article 46(1) of that Regulation the Community and its joint undertakings
shall, for the purpose of developing, implementing and monitoring Community policies
and programmes or obligations assumed through international cooperation with
third countries and international organisations, enjoy access rights to the
results of a participant having received a Community financial contribution.
Such access rights shall include the right to authorise third parties to use
the results in public procurement and the right to sub-license and shall be limited
to non-commercial and non-competitive use and shall be granted on a
royalty-free basis.
3.                      
The ‘Participant guarantee fund’ established
pursuant to Regulation (EU) No XX/2012 [Rules for participation and
dissemination] shall replace and succeed the Participant guarantee funds
established pursuant to Regulation (Euratom) No 1908/2006 and Regulation (Euratom)
No XX/XX [Euratom Rules for participation 2012-2013].
Any sums from the Participant guarantee funds
established pursuant to Regulations (Euratom) No 1908/2006 and (Euratom) No
XX/XX [Euratom Rules for participation (2012-2013)] shall be transferred to the
Participant guarantee fund as of 31 December 2013. The participants in actions
under Decision XX/XX [Euratom Programme 2012-2013] signing grant agreements
after 31 December 2013 shall make their contribution to the Participant guarantee
fund. 
Article 8 
Cross-cutting activities 
1.                      
In order to achieve the objectives of the
Euratom Programme and to address challenges common to the Euratom Programme and
Horizon 2020, activities cutting across the indirect actions set out in Annex I
and/or those implementing the Specific Programme of the Horizon 2020 Framework
Programme, as established by Council Decision XX/XXXX/EU[23], 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 XX/XXXX [establishing Horizon 2020], and implemented through
a single funding scheme. 
Article 9

Gender equality 
The Euratom Programme shall ensure the
effective promotion of gender equality and the gender dimension in research and
innovation content. 
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 work programmes for
the implementation of the indirect actions. The work programmes shall allow for
bottom up approaches that address the objectives in innovative ways. 
The work programmes shall set out the essential
elements for implementing the actions in accordance with Regulation XX/2012
[the Financial Regulation], including their detailed objectives, the associated
funding and the timetable, as well as a multi-annual approach and strategic
orientations for the following years of implementation.
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 detail the objectives and scientific and technological
priorities presented in Annex I, and the timetable for implementation.
That multi-annual work programme shall also
take account of relevant research activities carried out by the Member States,
associated countries and European and international organisations. It shall be
updated as and where appropriate.
3.                      
The work programmes shall take account of the
state of science, technology and innovation at national, Union and
international level and of relevant policy, market and societal developments.
They shall be updated as and where appropriate.
4.                      
The work programmes shall contain a section
which identifies the cross-cutting activities as referred to in Article 8. 
Article 12 
Governance
of the programme 
1.                      
For the purpose of implementing the indirect
actions of the Euratom Programme, the Commission shall be assisted by the
following consultative committees:
(a)     for fission-related aspects, the
consultative committee referred to in points 5 and 6 of the Annex to Council
Decision 84/338/Euratom, ECSC, EEC[24];
(b)     for the fusion-related aspects, by the
consultative committee for the fusion programme established in accordance with
Council Decision of 16 December 1980[25].
By way of derogation from Article 3(3) of
Decision 84/338/Euratom, ECSC, EEC and from point 9 of Council Decision of 16
December 1980 respectively, the consultative committees shall be chaired by the
Commission. 
2.                      
The Commission shall regularly inform the
respective committee referred to in paragraph 1 of overall progress in
implementing the Euratom Programme, and shall provide it with timely
information on all indirect actions proposed or funded under the Euratom
Programme.
Article 13 
External advice and societal engagement
1.                      
For the implementation of the Euratom Programme,
account shall be taken of advice and inputs provided by, where appropriate: the
Euratom Scientific and Technical Committee pursuant to Article 134 of the
Euratom Treaty; advisory groups of independent, high level experts set up by
the Commission; the dialogue structures created under international science and
technology agreements; forward-looking activities; targeted public
consultations; and transparent and interactive processes that ensure
responsible research and innovation is supported
2.                      
Full account shall also be taken of relevant
aspects of the research and innovation agendas established by European
Technology Platforms, Joint Programming Initiatives and European Innovation
Partnerships. 
CHAPTER
II
SPECIFIC
FIELDS OF ACTION
Article 14
Small and
medium-sized enterprises 
Particular attention shall be paid to
ensuring the adequate participation of, and innovation impact on, small and
medium-sized enterprises (SME) in the Euratom Programme. Quantitative and
qualitative assessments of SME participation shall be undertaken as part of the
evaluation and monitoring arrangements. 
Article 15 
Public-private
and public-public partnerships 
To attain the objectives set out in Article
3, specific activities of the Euratom Programme may be implemented through:
(a)         
Joint Undertakings established on the basis of
Chapter 5 of the Euratom Treaty;
(b)         
Public-public partnerships based on the funding
scheme ‘Programme co-fund actions';
(c)         
Contractual public-private partnerships, as
referred in Article 19 of Regulation (EU) No xxx/201x.
Article 16 
International
cooperation with third countries and international organisations
1.                      
Entities established in third countries and international
organisations shall be eligible to participate in indirect actions of the
Euratom Programme under the conditions set out in Regulation (EU) XX/XXX [Rules
for Participation]. Exceptions to the general principle are set out in Article 7.
International cooperation with third countries and
international organisations shall be promoted by the Euratom Programme with a
view to:
(a)         
strengthen the Union’s excellence and
attractiveness in research and innovation as well as its economic and
industrial competitiveness;
(b)         
tackle effectively global societal challenges; 
(c)         
support the Union's external policy objectives,
complementing external programmes. 
2.                      
Targeted actions with the objective of promoting
cooperation with specific third countries or groups of third countries shall be
implemented on the basis of common interest and mutual benefit, taking into
account their scientific and technological capabilities and market
opportunities, and the expected impact. 
Reciprocal access to third country programmes
should be encouraged. In order to maximise impact, coordination and synergies
with initiatives of Member States and associated countries shall be promoted. 
Cooperation priorities shall take into account
developments in Union policy and opportunities for cooperation with third
countries, as well as possible deficiencies in third
country intellectual property systems. 
Article 17 
Communication
and dissemination
1.                      
When implementing the Euratom Programme,
dissemination and communication activities shall be considered an integral part
of the actions supported by the Euratom Programme. 
2.                      
Communication activities may include:
(a)         
initiatives aimed at widening awareness and
facilitating access to funding under the Euratom Programme, in particular for
those regions or types of participant that are underrepresented;
(b)         
targeted assistance to projects and consortia to
provide them with access to the necessary skills to optimise the communication
and dissemination of results;
(c)         
initiatives to foster dialogue and debate on
scientific, technological and innovation-related issues with the public, and
take advantage of social media and other innovative technologies and
methodologies;
(d)         
communication of the Union's political
priorities provided that they are related to the aims of this Regulation.
3.                      
Subject to the applicable provisions of the
Euratom Treaty and relevant Union legislation, dissemination activities may
include:
(a)         
activities which bring together results from a
range of projects, including those that may be funded from other sources, to
provide user-friendly databases and reports that summarise key findings;
(b)         
dissemination of results to policy makers,
including standardisation bodies, to promote the use of policy-relevant results
by the appropriate bodies at international, Union, national and regional level.
CHAPTER
III 
CONTROL

Article
18
Control
and audit 
1.                      
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, 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 minimize the audit burden of the participants.
Article 19
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 deterrent 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 checks and inspections, over all grant
beneficiaries, contractors, subcontractors and other third parties who have
received Union funds under this Regulation.
Without prejudice to paragraph 3, audits by the
Commission may be carried out up to four years after the final payment.
3.           The European Anti-Fraud
Office (OLAF) may carry out on-the-spot checks and inspections on economic
operators concerned directly or indirectly by such funding in accordance with
the procedures laid down in Council Regulation (Euratom, EC) No 2185/96 [26] with a view to establishing
whether there has been fraud, corruption or any other illegal activity
affecting the financial interests of the Union in connection with a grant
agreement or grant decision or a contract concerning Union funding.
4.           Without prejudice to the
paragraphs 1, 2 and 3, cooperation agreements with third countries and
international organisations, grant agreements, grant decisions and contracts
resulting from the implementation of this Regulation shall expressly empower
the Commission, the Court of Auditors and the OLAF to conduct audits,
on-the-spot checks and inspections.
CHAPTER IV
MONITORING AND EVALUATION
Article 20 
Monitoring
1.                      
The Commission shall annually monitor the
implementation, including progress and achievements, of the Euratom Programme.
2.                      
The Commission shall report and disseminate the
results of that monitoring.
Article 21 
Evaluation
1.                      
Evaluations shall be carried out in a
sufficiently timely manner to feed into the decision-making process.
By 31 May 2017, and taking into account the
ex-post evaluation of the Euratom 7th Framework Programme established
by Decision 2006/970/Euratom and of the Euratom Programme (2012-2013) established
by Decision 20XX/XX/Euratom to be completed by the end of 2015, the Commission
shall carry out, with the assistance of independent experts, an interim
evaluation of the Euratom Programme on the achievements, at the level of
results and progress towards impacts, of the objectives and continued relevance
of all the measures, the efficiency and use of resources, the scope for further
simplification, and European added value. The evaluation shall additionally
take into account the contribution of the measures to the Union priorities of
smart, sustainable and inclusive growth and results on the long-term impact of
the predecessor measures.
By 31 December 2022, the Commission shall carry
out, with the assistance of independent experts, an ex-post evaluation of the
Euratom Programme. That shall cover the rationale,
implementation and achievements, as well as the longer-term impacts and
sustainability of the measures, to feed into a decision on a possible renewal,
modification or suspension of a subsequent measure.
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 established in Article 3,
taking into account, the relevant performance indicators defined in Annex II. 
4.                      
Member States shall provide the Commission with
data and information necessary for the monitoring and evaluation of the
measures concerned.
5.                      
The Commission shall communicate the conclusions
of the evaluations referred to in paragraphs 1 and 2, accompanied by its
observations, to the European Parliament, the Council, the European Economic
and Social Committee.
TITLE III
FINAL AND TRANSITIONAL PROVISIONS
Article 22 
Repeal and
transitional provisions 
1.                      
Decision 2006/970/Euratom, Regulation (Euratom)
No 1908/2006, Decision 2006/976/Euratom, Decision 2006/977/Euratom, Decision
XXXX/XXXX [Euratom Framework Programme (2012-2013)], Regulation (Euratom) No
XXX/XXXX [Euratom Rules for participation (2012-2013)], Decision
XXXX/XXXX/Euratom [Specific programme (2012-2013)] and Decision XXXX/XXXX/Euratom
[Specific programme – direct actions (2012-2013)] are repealed with effect from
1 January 2014
2.                      
Activities benefiting from the Community
financial contribution under programmes established by the Decisions referred
to in paragraph 1 and the related financial obligations shall continue to be
governed by the rules applicable to those programmes until their completion. 
3.                      
The financial allocation referred to in Article 4
may also cover the technical and administrative assistance expenses necessary
to ensure the transition between that programme and the measures adopted under
Decision XX/XX/Euratom [ Euratom Framework Programme (2012-2013)], Decision
XXXX/XXXX/Euratom [Specific programme (2012-2013)] and Decision
XXXX/XXXX/Euratom [Specific programme – direct actions (2012-2013)].
Article 23 
Entry
into force
This Regulation shall enter into force on
the third day following that of its publication in the Official Journal of
the European Union.
This Regulation shall be binding in its
entirety and directly applicable in all Member States.
Done at Brussels,
                                                                       For
the Council
                                                                       The
President
ANNEX I — ACTIVITIES

1.                      
Rationale for the Euratom Programme —paving the way
to 2020

By achieving the objectives set out in Article
3, the Euratom Programme shall reinforce outcomes under the three priorities of
the ´Horizon 2020` Framework Programme: excellent science, industrial
leadership, and societal challenges. The Euratom Programme shall in
particular support the transition to a reliable, sustainable and competitive energy
system in the future, in the face of increasing resource scarcity, growing
energy needs and climate change.
The Euratom Programme shall strengthen the
research and innovation framework in the nuclear field and coordinate Member
States’ research efforts, thereby avoiding duplication, retaining critical mass
in key areas and ensuring that public funding is used in an optimal way.
The strategy to develop fusion as a
credible option for commercial carbon-free energy production shall follow a
roadmap with milestones towards the goal of electricity production by 2050. To
implement that strategy, a radical restructuring of fusion-related work in the
Union, including governance, funding and management, shall be carried out to
ensure a shift of emphasis from pure research to designing, building and
operating future facilities such as ITER, DEMO and beyond. That shall require a
close cooperation between the entire Union fusion community, the Commission and
the national funding agencies.
In order to maintain the Union expertise
necessary for achieving those goals, the programme shall further enhance its
role in training through the establishment of training facilities of
pan-European interest that shall deliver dedicated programmes. That shall
continue to promote the European Research Area and the further integration of
new Member States and associated countries.

2.                      
Activities necessary to achieve the programme
objectives
2.1.                
Indirect actions

(a)                   
Support safe operation of nuclear systems
(Societal challenges)
In line with
the general objective, support to joint research activities concerning the safe
operation of reactor systems (including fuel cycle facilities) in use in
the Union or, to the extent necessary in order to maintain broad nuclear safety
expertise in the Union, those reactor types which may be used in the future,
focusing exclusively on safety aspects, including all aspects of the fuel
cycle such as partitioning and transmutation.
(b)                   
Contribute to the development of
solutions for the management of ultimate nuclear waste (Excellent science;
Societal challenges)
Joint and/or
coordinated research activities on remaining key aspects of geological disposal
of spent fuel and long-lived radioactive waste with, as appropriate,
demonstration of technologies and safety. Those activities shall promote the
development of a common Union view on the main issues related to waste
management from discharge of fuel to disposal. Research activities related to
management of other radioactive waste streams for which industrially mature
processes currently do not exist.
(c)                   
Support the development and sustainability
of nuclear competences at Union level (Excellent science)
Promotion of joint
training and mobility activities between research centres and industry, and between
different Member and Associated States, as well as support for maintaining multi-disciplinary
nuclear competences in order to guarantee the availability of suitably
qualified researchers, engineers and employees in the nuclear sector in the
Union in the long term. 
(d)                   
Foster radiation protection (Excellent science; Societal
challenges)
Joint and/or
coordinated research activities, in particular on the risks from low doses from
industrial, medical or environmental exposure and on emergency management in
relation to accidents involving radiation, to provide a pan-European scientific
and technological basis for a robust, equitable and socially acceptable system
of protection. 
(e)                   
Move toward demonstration of feasibility
of fusion as a power source by exploiting existing and future fusion facilities
(Industrial leadership; Societal challenges)
Support common
research activities undertaken by members of the European Fusion Development
Agreement to ensure the swift start of high performance operation of ITER
including the use of relevant facilities (including JET, the Joint European
Torus), of integrated modelling using high performance computers, and training
activities to prepare the next generation of researchers and engineers. 
(f)                    
Lay the foundations for future fusion
power plants by developing materials, technologies and conceptual design (Industrial
leadership; Societal challenges)
Support to
joint activities undertaken by members of the European Fusion Development
Agreement to develop and qualify materials for a demonstration power plant requiring,
inter alia, preparatory work for an appropriate material test facility and
negotiations for the Union's participation in a suitable international
framework for that facility.
Support to
joint research activities undertaken by members of the European Fusion
Development Agreement that shall address reactor operation issues and shall
develop and demonstrate all relevant technologies for a fusion demonstration
power plant. Those activities include the preparation of a complete
demonstration power plant conceptual design(s) and exploration of the potential
of stellarators as a power plant technology.
(g)                   
Promote innovation and industry
competitiveness (Industrial leadership) 
Implementing or supporting knowledge
management and technology transfer from the research co-funded by this
programme to industry exploiting all innovative aspects of the research. 
Promoting innovation through, inter alia,
open access to scientific publications, a database for knowledge management and
dissemination and promoting technology topics in educational programmes. 
In the long
term, the Euratom Programme shall support the preparation and development of a
competitive nuclear fusion industrial sector, in particular through the
implementation of a technology road map to a fusion power plant with active
industrial involvement in the design and development projects.
(h)                   
Ensure availability and use of research
infrastructures of pan-European relevance (Excellent science)
Activities supporting
the construction, refurbishment, use and continued availability of key research
infrastructures under the Euratom Programme, as well as appropriate access to
those infrastructures and cooperation between them.
(i)           European Fusion Development
Agreement
A grant (Programme co-fund action) shall be
awarded to the legal entity that shall be established or designated by
members of the European Fusion Development Agreement in order to
implement and coordinate their activities. That grant may include
resources in kind from the
Community, such as scientific and technical exploitation of the JET
facility in accordance with Article 10 of the Euratom Treaty, or the secondment
of Commission staff.

2.2.                
JRC direct actions

The nuclear activities of the JRC shall aim
to support the implementation of Council Directives 2009/71/Euratom[27] and 2011/70/Euratom[28], as well as Council
Conclusions giving priority to the highest standards for nuclear safety and
security in the Union and internationally. The JRC shall notably mobilise the
necessary capacity and expertise in order to contribute to assess and improve
the safety of nuclear installations and the peaceful use of nuclear energy and
other non fission applications, to provide a scientific basis to relevant Union
legisation and, where necessary, to react within the limits of its mission and
competence to nuclear incidents and accidents. To that effect, the JRC shall
carry out research and assessments, provide references and standards and
deliver dedicated training and education. Synergies with the Sustainable
Nuclear Energy Technology Platform (SNETP) and other cross-cutting initiatives
will be sought as appropriate.
(a)                   
Improve nuclear safety including: fuel
and reactor safety, waste management and decommissioning, and emergency
preparedness
The JRC shall contribute to the development
of tools and methods to achieve high safety standards for nuclear power
reactors and fuel cycles relevant to Europe. Those tools and methods shall
include: 
(1)                   
severe accident analyses modelling and
methodologies for assessment of nuclear installations operational safety
margins; support to the establishment of a commonEuropean approach to the
evaluation of advanced fuel cycles and designs; and investigation and
dissemination of the lessons learnt from the operational experience. The JRC shall further reinforce its 'European Clearinghouse on NPP Operational Experience Feedback' to respond to the
emerging post-Fukushima nuclear safety challenges.
(2)                   
minimisation of the scientific uncertainties in
the prediction of long-term behaviour of nuclear waste and of the dispersion of
radionuclides in the environment; and key aspects of research on
decommissioning of nuclear installations.
(3)                   
strengthening Union capacity to respond to
nuclear accidents and incidents by further development
of alert systems and models for radiological dispersion in the air, and by
mobilising resources and expertise for analysing and modelling nuclear
accidents and providing relevant technical support. 
(b)                   
Improve nuclear security including:
nuclear safeguards, non-proliferation, combating illicit trafficking, and
nuclear forensics
The area of non proliferation shall receive
the greatest possible attention. The JRC will:
(1)                   
develop enhanced methodologies and
detection/verification methods and technologies to support the Community
safeguards and strengthen international safeguards. 
(2)                   
develop and apply enhanced methods and
technology to prevent, detect and respond to nuclear and radioactive incidents,
including qualification of detection technology and development of nuclear
forensics methods and techniques for fight against
illicit trafficking in synergies with the global CBRN (Chemical, Biological,
Radiological, Nuclear) framework. 
(3)                   
support the implementation of the Treaty on the
Non-Proliferation of Nuclear Weapons and Union-related strategies through
analysis studies and follow-up of the technical evolution of export control
regimes to support relevant Commission and Union services. 
(c)                   
Raising Excellence in the nuclear science
base for standardisation
The JRC shall further develop the
scientific basis for nuclear safety and security. Emphasis shall be given to
research on fundamental properties and behaviour of actinides, structural and
nuclear materials. In support to Union standardisation, the JRC shall provide
state-of-the-art nuclear standards, reference data and measurements, including
the development and implementation of relevant databases and assessment tools.
The JRC shall support the further development of medical applications, namely
new cancer therapies based on alpha irradiation.
(d)                   
Foster knowledge management, education
and training
The JRC shall stay abreast of new
developments in research and instrumentation, safety and environmental
regulations. To that effect, a rolling investment plan for the scientific
infrastructures shall be implemented. 
In order to maintain the Union at the
forefront of nuclear safety and security, the JRC shall develop knowledge
management tools, monitor Union trends in human resources through its Nuclear
Human Resources Observatory and deliver dedicated training and education
programmes, covering also decommissioning aspects.
(e)                   
Support the policy of the Union on
nuclear safety and security and the related evolving Union legislation
JRC shall foster its competence in
order to provide the independent scientific and technical evidence necessary to
support the evolving Union legislation on nuclear safety and security.
As the Euratom Implementing Agent for the
Generation IV International Forum (GIF), the JRC shall continue to coordinate
the Community contribution to GIF. The JRC shall pursue and further develop
international research cooperation with key partner countries and international
organizations (IAEA, OECD/NEA) in order to promote Union's nuclear safety and
security policies.

3.                      
Cross-cutting activities within the Euratom Programme

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

4.                      
Cross-cutting activities and interfaces with the
'Horizon 2020' Framework Programme for Research and Innovation 

In order to achieve the objectives of the
Euratom Programme, appropriate links and interfaces, such as joint calls, shall
be ensured with the Specific Programme of the 'Horizon 2020' Framework
Programme. 
The Euratom Programme may contribute to the
Debt facility and Equity facility developed under the 'Horizon 2020' Framework
Programme that shall be widened to cover the objectives referred to in Article 3.

5.                      
Priority setting

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

6.                      
International cooperation with third countries and
international organisations

International cooperation in nuclear
research and innovation, based on shared goals and mutual trust, shall
continue, with the aim of providing clear and significant benefits for the
Union. As a contribution to the achievement of the specific objectives set out
in Article 3, the Community shall seek to reinforce the Union's scientific and
technical expertise through international cooperation agreements and to promote
the access of the Union nuclear industry to new emerging markets. 
International cooperation activities shall
be promoted through multilateral frameworks (such as IAEA, OECD, ITER, GIF),
and by the existing or new bilateral cooperation with countries having strong
R&D and industrial bases and research installations under operation, design
or construction. 
 ANNEX II — PERFORMANCE INDICATORS 
This Annex presents for each specific
objectives of the Euratom Programme a limited number of performance indicators
for assessing results and impacts. 
1.                      
Indicators for indirect actions
(a)         
Support safe operation of nuclear systems
–              
Percentage of funded projects (joint research
and/or coordinated actions) likely to lead to a demonstrable improvement in
nuclear safety practice in Europe.
(b)         
Contribute to the development of solutions for
the management of ultimate nuclear waste
–              
Number of geological repositories for spent
nuclear fuel and/or high-level waste that are planned in Europe and for which the
Community supported the preparation of a safety case and the possible pre-construction
phase.
(c)         
Support the development and sustainability of
nuclear competences at Union level
–              
Training through research - number of PhD
students and Post-Doc researchers supported through the Euratom fission
projects
–              
Number of fellows and trainees in the Euratom
fusion programme.
(d)         
Foster radiation protection
–              
Percentage of funded projects likely to have a
demonstrable impact on regulatory practice regarding radiation protection.
(e)         
Move toward demonstration of feasibility of
fusion as a power source by exploiting existing and future fusion facilities
–              
Number of publications in high impact journals. 
(f)           
Lay the foundations for future fusion power
plants by developing materials, technologies and conceptual design
–              
Percentage of the Fusion Roadmap's milestones
established for a period 2014-2018 reached by the Euratom Programme
(g)         
Promote innovation and industrial
competitiveness
–              
Number of spin-offs from the fusion research
under Euratom Programme 
–              
Patents applications generated by European
fusion laboratories 
(h)         
Ensure availability and use of research infrastructures
of pan-European relevance 
–              
Number of research infrastructures supported at Community
level and of researchers using research infrastructures through mobility and
access support.
2.                      
Indicators for direct actions
(a)         
Impact indicator for JRC policy support 
–              
Number of occurrences of tangible specific
impacts on Union policies resulting from technical and scientific policy
support provided by the JRC.
(b)         
JRC scientific productivity indicator 
–              
Number of peer reviewed publications
The indicators referred to in points (a)
and (b) may be represented according to the following Community objectives of
direct actions: 
·              
Improve nuclear safety including: fuel and
reactor safety, waste management and decommission; and emergency preparedness;
·              
Improve nuclear security including: nuclear
safeguards, non-proliferation, combating illicit trafficking and nuclear
forensics;
·              
Raising excellence in the nuclear science base
for standardisation;
·              
Foster knowledge management, education and
training;
·              
Support the policy of the Union on nuclear
safety and security and the related evolving Union legislation.
LEGISLATIVE FINANCIAL STATEMENT
1.           FRAMEWORK OF THE PROPOSAL/INITIATIVE 
              1.1.    Title of the proposal/initiative 
              1.2.    Policy
area(s) concerned in the ABM/ABB structure
              1.3.    Nature
of the proposal/initiative 
              1.4.    Objective(s)

              1.5.    Grounds
for the proposal/initiative 
              1.6.    Duration
and financial impact 
              1.7.    Management
method(s) envisaged 
2.           MANAGEMENT MEASURES 
              2.1.    Monitoring
and reporting rules 
              2.2.    Management
and control system 
              2.3.    Measures
to prevent fraud and irregularities 
3.           ESTIMATED FINANCIAL IMPACT OF THE
PROPOSAL/INITIATIVE 
              3.1.    Heading(s)
of the multiannual financial framework and expenditure budget line(s) affected 
              3.2.    Estimated
impact on expenditure 
              3.2.1. Summary of
estimated impact on expenditure 
              3.2.2. Estimated impact
on operational appropriations 
              3.2.3. Estimated impact
on appropriations of an administrative nature
              3.2.4. Compatibility
with the current multiannual financial framework
              3.2.5. Third-party
participation in financing 
              3.3.    Estimated impact on revenue
LEGISLATIVE FINANCIAL STATEMENT

1.                      
FRAMEWORK OF THE PROPOSAL/INITIATIVE 
1.1.                
Title of the proposal/initiative 

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

1.2.                
Policy area(s) concerned in the ABM/ABB
structure[29] 

- 08 Research and Innovation
- 10 Joint Research Centre

1.3.                
Nature of the proposal/initiative 

ý The
proposal/initiative relates to a new action 
¨ The
proposal/initiative relates to a new action following a pilot
project/preparatory action[30]

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

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

1.4.2.          
Specific objective(s) and ABM/ABB activity(ies)
concerned for indirect actions

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

Specific objective No.2 - Contribute to the development of solutions
for the management of ultimate nuclear waste;
Specific objective No.3 – Support the development and sustainability
of nuclear competences at Union level; 
Specific objective No. 4 – Foster radiation protection
Specific objective No. 5 – Move toward demonstration of feasibility
of fusion as a power source by exploiting existing and future fusion
facilities;
Specific objective No. 6 - Lay the foundations for future fusion
power plants by developing materials, technologies and conceptual design;
Specific objective No. 7 - Promote innovation and industrial
competitiveness;
Specific objective No. 8 – Ensure availability and use of research
infrastructures of pan-European relevance;
ABM/ABB activity(ies) concerned: 08 Research and Innovation.

1.4.3.          
Specific objective(s) and ABM/ABB activity(ies)
concerned for JRC Direct Actions 

Specific objective No.1 – Improve nuclear safety including, fuel and
reactor safety, waste management and decommissioning, and emergency
preparedness
Specific objective No.2 – Improve nuclear security including:
nuclear safeguards, non-proliferation, combating illicit trafficking and
nuclear forensics
Specific objective No.3 – Raising excellence in the science base for
standardisation
Specific objective No. 4 – Foster knowledge management, education
and training
Specific objective No. 5 – Support the policy of the Union on
nuclear safety and security and the related evolving Union legislation.
ABM/ABB activity(ies) concerned: 10 Joint Research Centre. 

1.4.4.          
Expected result(s) and impact

Specify the effects
which the proposal/initiative should have on the beneficiaries/groups targeted.
1) The Euratom
Programme's impacts can be expected in its Community added value for improving
the safe exploitation of existing and future nuclear power plants, in taking
further significant steps towards safe implementation of geological disposal of
high-level and long-lived nuclear waste, and ensuring more robust regulation of
industrial and medical practices involving the use of ionising radiation. 
2) The Euratom
Programme will lead to the strengthened nuclear security through research on
nuclear safeguards and implementation of enhanced verification and detection
technologies, as concerns both nuclear materials and nuclear fuel cycle.
3) The Euratom
Programme will contribute to the development of nuclear skills and expertise in
the Union through research, training and mobility actions, and better access to
and use of research facilities. 
4) Through supporting
fusion research the Euratom Programme will ensure a rapid start-up of operation
of ITER, develop and qualify materials for a demonstration power plant, and
will develop and demonstrate relevant technologies for a fusion demonstration
power plant. Activities of the programme will include preparation of complete
demonstration power plant conceptual design(s) and exploration of the potential
of stellarators as a power plant technology.

1.4.5.          
Indicators of results and impact 

Specify the
indicators for monitoring implementation of the proposal/initiative.
The following section specifies for the specific objectives of the
Euratom Programme a number of key indicators for assessing results and impacts.

Indicators for indirect actions
1) Support safe operation of nuclear
systems
Indicator: Percentage of funded projects (joint research and/or
coordinated actions) likely to lead to a demonstrable improvement in nuclear
safety practice in Europe.
Current: 90% (2011); Target: 100% (2018)
2) Contribute to the development of solutions for the management of
ultimate nuclear waste;
Indicator: Number of geological repositories for spent nuclear fuel
and/or high-level waste that are planned in Europe and for which the Union supported
the preparation of a safety case and the possible pre-construction phase. 
Current: 0 (2011); Target: 3 (2018),
3) Support the development and sustainability of nuclear competences
at Union level;
Indicator: Training through research - number of PhD students and
Post-Doc researchers involved in Euratom fission projects
Current: ca. 200 (total for 2007-2011); Target: 300 (total for
2014-2018) 
Indicator: Number of fellows and trainees in the Euratom fusion
programme
Current: on average 27 per year (2011); Target: 40 per year (2018)
4) Foster radiation protection
Indicator: Percentage of funded projects likely to have a
demonstrable impact on regulatory practice regarding radiation protection.
Current: 90% (2011); Target: 100% (2018) 
5) Move toward demonstration of feasibility of fusion as a power
source by exploiting existing and future fusion facilities
Indicator: Number of publications in high impact journals 
Current: ca. 800 (2010); Target: Maintain current levels (2018). 
Description of the indicator: Source of data – Scopus database.
Please note that with the Euratom fusion programme's emphasis shifting from
research to technology development this indicator may be lower in the future.
Indicator concerns articles where at least one contributing author is from the
European fusion laboratory participating in the Euratom Programme. It is
calculated on the basis of 5 international peer reviewed journals: Nuclear
Fusion, Plasma Physics and Controlled Fusion, Fusion Engineering and Design,
Fusion Science and Technology, Journal of Fusion Energy. 
6) Lay the foundations for future fusion power plants by developing
materials, technologies and conceptual design;
Indicator: Percentage of the Fusion Roadmap's milestones established
for a period 2014-2018 reached by the Euratom Programme;
Current: new indicator, 0% 
Target: 90%, including Report on Fusion Power Plant Conceptual
design activities (2018); 
Description of the indicator: new indicator which will be based on
the roadmap for the fusion programme to be developed before 2014. 
7) Promote innovation and industrial competitiveness 
Indicator: Number of spin-offs from the fusion research under
Euratom Programme 
Current: 33% of contracts resulted in spinoffs (2011); Target: 50%
(2018)
Description of the indicator: new products or services developed by
companies involved in the fusion research. 
Indicator: Patents applications generated by European fusion
laboratories 
Current: 2-3 new patents per year (2011); Target: on average 4-5 new
patents per year (2018);
8) Ensure availability and use of research infrastructures of
pan-European relevance;
Indicator: Number of research infrastructures supported at Community
level and of researchers using research infrastructures through mobility and
access support 
Current: ca. 800 (2008), Target: 1200 (2018);
Description of the indicator: mobility scheme under fusion programme
supports short term visits of European scientists to the fusion facilities such
as JET.
Indicators for direct actions
1) Impact indicator for JRC policy support 
Number of occurrences of tangible specific impacts on Union policies
resulting from technical and scientific policy support provided by the JRC.
Current: 39 (2010), Target: 45 (2018)
2) JRC scientific productivity indicator 
Number of peer reviewed publications
Current: 190 (2010), Target: 210 (2018)
The indicators referred to in points (1) and (2) above may be
represented according to the following Community objectives of direct actions: 
- Improve nuclear safety including: fuel and reactor safety, waste
management and decommission; and emergency preparedness;
- Improve nuclear security including: nuclear safeguards,
non-proliferation, combating illicit trafficking and nuclear forensics;
- Raising excellence in the nuclear science base for standardisation;
- Foster knowledge management, education and training;
- Support the policy of the Union on nuclear safety and security and
the related evolving Union legislation.

1.5.                
Grounds for the proposal/initiative 
1.5.1.          
Requirement(s) to be met in the short or long
term 

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

1.5.2.          
Added value of Union involvement

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

1.5.3.          
Lessons learned from similar experiences in the
past

The Euratom programme builds on the experience accumulated from past
Euratom Framework Programmes. Over a period spanning several decades, Euratom
programmes have:
–              
succeeded in involving Europe’s best researchers
and institutes in nuclear field; 
–              
made a major contribution to Europe’s knowledge
base in nuclear field and had an important impact on networking and
cooperation, with a significant restructuring effect on European nuclear
research.
Together with the successes, there are important lessons to be
learned from the past:
–              
Research, innovation and education should be
addressed in a more coordinated manner;
–              
Research results better disseminated and
valorised into new products, processes and services;
–              
The intervention logic should be more focused,
concrete, detailed and transparent;
–              
Monitoring and evaluation need to be
strengthened.
The recommendations for direct actions in recent evaluation reports
note that the JRC can
–              
promote stronger integration in the production
of knowledge in the Union; 
–              
introduce impact analyses and cost-benefit
studies of specific work as part of the new JRC programme; 
–              
enhance cooperation with industry in order to
strengthen effects for the benefit of the competitiveness of the European
economy.

1.5.4.          
Coherence and possible synergy with other
relevant instruments

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

1.6.                
Duration and financial impact 

ý Proposal/initiative of limited
duration 
–     
ý  Proposal/initiative in effect from 01/01/2014 to 31/12/2018 
–     
ý  Financial impact from 2014 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) envisaged[31] 

ý Centralised direct management by the Commission 
ý Centralised indirect management with the delegation of implementation tasks to:
–     
ý  executive agencies 
–     
ý  bodies set up by the Communities[32]

–     
ý national public-sector bodies/bodies with public-service mission 
–     
¨  persons entrusted with the implementation of specific actions
pursuant to Title V of the Treaty on European Union and identified in the
relevant basic act within the meaning of Article 49 of the Financial Regulation

ý Shared management with the Member States (whenever
appropriate)
¨ Decentralised management with third countries 
¨ Joint management with international organisations (to be specified)
If more than one
management mode is indicated, please provide details in the ‘Comments’ section.
Comments 
The Commission intends to use a variety of management modes to
implement this activity building on the management modes used under the current
financial perspectives. Management will be through the services of the
Commission and through the existing Executive Agencies of the Commission renewing
and extending their mandates in a balanced manner. 
Externalisation of further activities of the Euratom Programme, in
particular through recourse to existing agencies, is foreseen as long as it is
compatible with keeping core policy competences within Commission services. The
externalisation means retained to implement these activities will be selected
on the basis of their proven effectiveness and efficiency. At the same time,
the staff assigned to the Executive Agencies of the Commission will have to
increase in proportion to the part of the budget corresponding to the
externalised activities and taking into account the commitment on staffing
made by the Commission (A Budget for Europe 2020 COM (2011) 500). 

2.                      
MANAGEMENT MEASURES 

Simplification
The Euratom Programme must attract the most excellent researchers
and the most innovative European enterprises. This can only be reached by a
programme with the least possible administrative burden for participants and by
appropriate funding conditions. Simplification of the Euratom Programme is part
of the broader simplification process proposed for 'Horizon 2020'. Like for
'Horizon 2020', simplification in the Euratom Programme will therefore target
three overarching goals: to reduce the administrative costs of the
participants; to accelerate all processes of proposal and grant management and
to decrease the financial error rate. 
Simplification in the Euratom Programme will be achieved along
several dimensions. 
1) Structural simplification: 'Horizon
2020' rules will be used also for the Euratom Programme.
2) Major simplification of funding rules
will make the preparation of proposals and the management of projects easier.
At the same time, they will reduce the number of financial errors. The
following approach is proposed:
Main funding model for grants:
–              
Simplified reimbursement of real direct costs,
with a broader acceptance of beneficiaries’ usual accounting, including the
eligibility of certain taxes and charges;
–              
The possibility of using unit personnel costs
(average personnel costs) for beneficiaries for which this is their usual
accounting method, and for SME owners without a salary;
–              
Simplification of time-recording by providing a
clear and simple set of minimum conditions, in particular abolition of
time-recording obligations for staff working exclusively on Union project;
–              
One single reimbursement rate for all
participants instead of 3 different rates by type of participant;
–              
One single flat rate covering indirect costs, instead
of 4 methods to calculate indirect costs, as a general rule;
–              
Output-based funding with lump sums for whole
projects in specific areas.
3) A revised control strategy, as
described in section 2.2.2, achieving a new balance between trust and control
will further reduce the administrative burden for participants. 
Beyond the simpler rules and controls, all procedures and
processes for project implementation will be rationalised. This includes
the detailed provisions on the content and shape of proposals, the processes
for turning proposals into projects, the requirements for reporting and monitoring,
as well as the related guidance documents and support services. A major
contribution to reduced administrative costs for participation will come from a
single user-friendly IT platform, based on the Union’s Seventh Framework
Programme for R&D (2007-2013) (‘FP7’) Participant Portal.

2.1.                
Monitoring and reporting rules 

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

2.2.                
Management and control system 

A 2 % error limit was adopted as chief indicator in the area of
legality and regularity concerning the area of research. However, this has
caused a number of unexpected or undesirable side-effects. There has been a
strong feeling, amongst the beneficiaries as well as amongst the legislative
authority, that the control burden has become too great. This runs the risk of
lowering the attractiveness of the Union research programmes including the
Euratom Programme, and so negatively affecting Union research and innovation.
The European Council of February 4th 2011 concluded that
‘it is crucial that EU instruments aimed at fostering R&D&I be
simplified in order to facilitate their take-up by the best scientists and the
most innovative companies, in particular by agreeing between the relevant
institutions a new balance between trust and control and between risk taking
and risk avoidance’ (see EUCO 2/1/11 REV1, Brussels 8 March 2011).
The European Parliament, in its Resolution of 11 November 2010
(P7_TA(2010)0401) on simplifying the implementation of the Research Framework
Programmes explicitly supports a higher risk of errors for research funding and
"expresses its concern that the current system and the practice of FP7
management are excessively control-oriented, thus leading to waste of
resources, lower participation and less attractive research landscapes; notes
with concern that the current management system of ‘zero risk tolerance’ seems
to avoid, rather than to manage, risks". 
The sharp increase in the number of audits and the subsequent
extrapolation of results has also provoked a wave of complaints from the world
of research (e.g. the Trust Researchers initiative[33], with over 13,800 signatures
so far).
There is therefore an acceptance among stakeholders and Institutions
that the current approach needs to be reviewed. There are other objectives and
interests, especially the success of the Research policy, international
competitiveness and scientific excellence, which should also be considered. At
the same time, there is a clear need to manage the budget in an efficient and
effective manner, and to prevent fraud and waste. These are common challenges
for the 'Horizon 2020' and the Euratom Programme.
It remains the ultimate objective of the Commission to achieve a
residual error rate of less than 2% of total expenditure over the lifetime of
the programme, and to that end, it has introduced a number of simplification
measures. However, other objectives such as the attractiveness and the success
of the Union research policy, international competitiveness, scientific excellent
and in particular the costs of controls (see point 2.2.2) need to be
considered.
Taking these elements in balance, it is proposed that the
Directorates General charged with the implementation of the research and
innovation budget will establish a cost-effective internal control system that
will give reasonable assurance that the risk of error over the course of the
multiannual expenditure period is, on an annual basis, within a range of 2-5%;
with the ultimate aim to achieve a residual level of error as close as possible
to 2% at the closure of the multiannual programmes, once the financial impact
of all audits, correction and recovery measures have been taken into account. 

2.2.1.          
Internal control framework 

The internal control framework for grants is built on:
–              
The implementation of the Commission's Internal
Control Standards;
–              
Procedures for selecting the best projects and
translating them into legal instruments;
–              
Project and contract management throughout the
lifetime of every project;
–              
Ex-ante checks on 100% of claims, including
receipt of audit certificates and ex-ante certification of cost methodologies; 
–              
Ex post audits on a sample of claims; and 
–              
Scientific evaluation of project results. 
For direct actions, financial circuits include ex-ante checks for
procurement and ex-post controls. Risks are assessed annually and progress in
the execution of work and the consumption of resources is monitored regularly,
based on defined objectives and indicators.

2.2.2.          
Costs and benefits of the controls 

The cost of the internal control system for the Commission's
Directorates General charged with the implementation of the research and
innovation budget (including Euratom) is estimated at €267m per year (based on
the 2009 Tolerable Risk of Error exercise). It has also led to a considerable
burden on beneficiaries and Commission services. There has been a strong
feeling, amongst the beneficiaries as well as amongst the legislative
authority, that the control burden has become too great. This runs the risk of
lowering the attractiveness of the Union Research programme, and so negatively
affecting Union research and innovation.
43 % of the total costs of control of the Commission services (not
including the costs of the beneficiary) are borne at the stage of project
management, 18 % on selection of proposals, and 16 % on negotiation of
contracts (16 %). Ex post audits and their resulting implementation amounted to
23 % (€61m) of the total.
However, this considerable control effort has not managed to fully
achieve its objective. The estimated "residual" error rate for FP6,
after taking account of all recoveries and corrections that have been or will
be implemented, remains over 2 %. The current rate of error from audits of FP7 carried
out by the Directorate General Research and Innovation is around 5 %, and
although this will be reduced due to the effects of the audits, and is somewhat
biased because it is concentrated on beneficiaries not previously audited, it
is unlikely whether the 2 % residual error will be attained. The rate of error
identified by the European Court of Auditors is in a similar range. 
2.2.3.     Expected level of risk of
non-compliance 
The starting point is the status quo, based on audits carried out in
FP7 so far. This preliminary representative error rate is close to 5 % (for the
Directorate General Research and Innovation). The majority of errors detected
arise because the present system of research funding is based on the
reimbursement of the actual costs of the research project declared by the
participant. This leads to considerable complexity regarding the assessment of
eligible costs.
An analysis of error rates has been carried out for the FP7 audits
so far performed in the Directorate General Research and Innovation shows that:

- Around 27% by number, and 35% by amount, relate to errors in the
charging of personnel costs. Regular problems identified are charging average
or budgeted costs (rather than actual costs), failure to keep adequate records
of time spent on the programme, charging of ineligible items.
- Around 40% by number, and 37% by value, relate to other direct
costs (not personnel). Regular errors identified are the inclusion of VAT, lack
of a clear link to the project, failure to provide invoices or proof of payment
and incorrect calculation of depreciation charging the full cost of equipment
rather than the depreciated amount, subcontracting without prior authorization,
or without respecting the rules of value for money, etc.
- Around 33% by number, and 28% by amount, relate to errors in
indirect costs. The same risks apply as for personnel costs, with the
additional risk of an inaccurate or unfair allocation of overheads to projects.
In a number of cases the indirect costs are a flat rate percentage
of direct costs, and so the error in indirect costs is proportional to the
error in direct costs.
'Horizon 2020' and the Euratom Programme introduces a significant
number of important simplification measures (see point 2 above) that will lower
the error rate in all the categories of error. However, the consultation of
stakeholders and the institutions on further simplification, and the Horizon
2020 impact assessment, clearly indicate that the continuation of a funding
model based on the reimbursement of actual costs is the favoured option. A
systematic resort to output based funding, flat rates or lump sums appears
premature at this stage as such a system has not been tested in previous
programmes . Retaining a system based on the reimbursement of actual costs does
however mean that errors will continue to occur.
An analysis of errors identified during audits of FP7 suggests that
around 25-35% of them would be avoided by the simplification measures proposed.
The error rate can then be expected to fall by 1.5%, i.e. from close to 5% to
around 3.5%, a figure that is referred to in the Commission Communication
striking the right balance between the administrative costs of control and the
risk of error.
The Commission considers therefore that, for research spending under
the Euratom Programme, a risk of error, on an annual basis, within a range
between 2-5% is a realistic objective taking into account the costs of
controls, the simplification measures proposed to reduce the complexity of
rules and the related inherent risk associated to the reimbursement of costs of
the research project. The ultimate aim for the residual level of error at the
closure of the programmes after the financial impact of all audits, correction
and recovery measures will have been taken into account is to achieve a level
as close as possible to 2% 
The ex-post audit strategy for expenditure under Horizon 2020 and the
Euratom Programme takes account of this target. It will be based on the
financial audit of a single representative sample of expenditure across the
whole programme, complemented by a sample compiled on the basis of risk
considerations. 
The overall number of ex-post audits will be limited to that
strictly necessary to the achievement of this target and the strategy. As a
guide, the Commission considers that a maximum of 7% of participants in Horizon
2020 and in the Euratom Programme would be subject to audit over the whole
programming period. Past experience shows that the expenditure subject to audit
would be considerably higher, a minimum of 40% coverage can be expected. 
The ex-post audit strategy regarding legality and regularity will be
complemented by reinforced scientific evaluation and the anti-fraud strategy
(see point 2.3 below).
This scenario is based on the assumption that the measures of
simplification are not subject to substantial modifications in the decision
making process.
Note: this section only concerns the process of grant management,
for administrative and operational expenditure implemented through public
procurement processes the 2% ceiling will apply as tolerable risk of error. 
2.3.        Measures to prevent fraud
and irregularities 
The Directorates General charged with the implementation of the
research and innovation budget are determined to fight against fraud at all
stages of the grant management process. They have developed, and are
implementing, anti-fraud strategies, including an enhanced use of intelligence,
especially using advanced IT tools, and training and information for staff.
Sanctions have been developed to provide deterrents to fraud, as well as
appropriate penalties if they are identified. These efforts will continue. The
proposals for Horizon 2020 and the Euratom Programme have been subject to fraud
proofing and an assessment of their impact. Overall the measures proposed
should have a positive impact on the fight against fraud, especially the
greater emphasis on risk based audit and reinforced scientific evaluation and
control.
It should be underlined that detected fraud has been very low in
proportion to total expenditure, nevertheless the Directorates General charged
with the implementation of the research budget remain committed to combat it.
The Commission shall take appropriate measures ensuring that, when
actions financed under this Regulation are implemented, the financial interests
of the Union are protected by the application of preventive measures against
fraud, corruption and any other illegal activities, by effective checks and, if
irregularities are detected, by the recovery of the amounts wrongly paid and,
where appropriate, by effective, proportionate and deterrent penalties.
The Commission or its representatives and the Court of Auditors
shall have the power of audit, on the basis of documents and on-the-spot, over
all grant beneficiaries, contractors and subcontractors who have received Union
funds under the Programme.
The European Anti-fraud Office (OLAF) may carry
out on-the-spot checks and inspections on economic operators concerned directly
or indirectly by such funding in accordance with the procedures laid down in
Regulation (Euratom, EC) No 2185/96 with a view to establishing whether
there has been fraud, corruption or any other illegal activity affecting the
financial interests of the Union in connection with a grant agreement or grant
decision or a contract concerning Union funding. 
Without prejudice to the paragraphs above,
cooperation agreements with third countries and international organisations and
grant agreements and grant decisions and contracts resulting from the
implementation of this Regulation shall expressly empower the Commission, the
Court of Auditors and OLAF to conduct such audits, on-the-spot checks and inspections.

3.         ESTIMATED
FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE 
3.1.        Heading(s) of the
multiannual financial framework and expenditure budget line(s) affected 
·     
Existing expenditure budget lines 
In order of multiannual financial framework headings and budget lines.
 Heading of multiannual financial framework || Budget line || Type of expenditure || Contribution 
 Number [Description………………………...……….] || DA/NDA ([34]) || from EFTA[35] countries || from candidate countries[36] || from third countries || within the meaning of Article 18(1)(aa) of the Financial Regulation 
 1 ||   || DA || NO || YES/NO * || YES || YES 
   ||   ||   ||   ||   ||   
·     
New budget lines requested 
 Heading of multiannual financial framework || Budget line || Type of expenditure || Contribution 
 Number Heading || Diff./non-diff. || from EFTA countries || from candidate countries || from third countries || within the meaning of Article 18(1)(aa) of the Financial Regulation 
 1 || 08 01 Administrative expenditure Research 08 01 05 01 Expenditure related to Research Staff 08 01 05 02 External staff for Research 08 01 05 03 Other management expenditure for Research   10 01 Expenditure of Direct Research policy area 10 01 05 Support expenditure for operations of Direct research policy area 10 01 05 01 Expenditure related to research staff 10 01 05 02 External staff for research 10 01 05 03 Other management expenditure for research 10 01 05 04 - Research infrastructures     08 03 02 01 Euratom Fusion Energy 08 03 02 02 Euratom Nuclear Fission and Radiation Protection 08 04 01 Appropriations accruing from contributions from third parties to research and technological development   10 03 Directly financed Research operational appropriations– Euratom 10 03 01 Nuclear action of the Joint Research Centre (JRC) 10 03 02 Appropriations accruing from contributions from third parties   || Non-Diff. || NO || YES/NO* || YES || NO 
* Discussions with
Turkey related to Association Agreements in the field of Nuclear Research are
ongoing
The JRC
requests a new budget line for infrastructure investments. Most of the
JRC facilities date from the 60's and 70's and are not state of the art
anymore. As a consequence, new facilities and the upgrading of the existing
infrastructure are necessary to carry out the JRC multi-annual work-programme
in compliance with EU safety and security standards as well as with the EU/20/20/20
environmental objectives. The JRC has established its "Infrastructure
Development plan 2014 – 2020"; identifying the investment needs till 2020
for all JRC sites that are reflected in the new budget line proposed.
The JRC is a
Commission DG spread over five different countries with 7 scientific Institutes
located in five EU Member States: Ispra (Italy), Geel (Belgium), Petten (the
Netherlands), Karlsruhe (Germany) and Seville (Spain). The research facilities
of the JRC include nuclear installations and a wide range of unique highly
specialised laboratories that need to comply with the nuclear, environmental
and safety regulations of each host country. The required specialised technical
services to maintain and operate these facilities are provided by JRC staff
(including safety and security, fire brigade, etc.) and have no equivalent in
other Commission services.
Budget line
10.01.05.01 is used to finance officials occupying a post in the JRC staff
table, whilst line 10.01.05.02 covers external personnel under temporary
contract (Contract Agents, Detached National Experts, Grantholders, Trainees,
etc.) to allow the JRC to remain at the forefront of research and cope with the
specific needs related to its mission as direct scientific support service to
the Commission.
These staff
credits are mainly devoted to finance scientists and technicians working in
scientific actions implementing the JRC work programme. The mere
"administrative" component of these lines is relatively low (below
20%), as confirmed by DG HR during its annual "screening" exercise.
Budget line
10.01.05.03 refers to the support of the nuclear and non nuclear scientific and
technical infrastructure. A major part of the credits under this line is
devoted to (1) ensure the normal operation of the JRC institutes (i.e.
maintenance, technical equipment, water/gas/electricity supply,
safety/security, radioprotection, IT, telecommunication, data processing,
etc.), and (2) non-recurrent operations (renovation works, modernisation of the
existing facilities, compliance to new standards, etc.).
3.2.        Estimated impact on
expenditure 
3.2.1.     Summary of estimated impact
on expenditure – Indirect Research           in current prices -EUR million (to 3 decimal places)
 Heading of multiannual financial framework: || 1 || Smart and Inclusive Growth 
 Indirect Research ||   ||   || Year || Year || Year || Year || Year || Year || TOTAL 
  Operational appropriations || 2014 || 2015 || 2016 || 2017 || 2018 || > 2018 ||   
 Number of budget line: 08 03 02 total || Commitments || (1) || 159.641 || 171.785 || 184.350 || 197.350 || 210.794 ||   || 923.920 
 Payments || (2) || 100.131 || 125.934 || 152.733 || 162.535 || 196.821 || 185.766 || 923.920 
 Number of budget line: 08 03 02 01 Number of budget line: 08 03 02 02 || Commitments || (1) || 108.073 || 116.201 || 124.612 || 133.312 || 142.309 ||   || 624.507 
 Payments || (2) || 80.065 || 94.967 || 104.867 || 107.771 || 128.659 || 108.178 || 624.507 
 Commitments || (1) || 51.568 || 55.584 || 59.739 || 64.038 || 68.485 ||   || 299.414 
 Payments || (2) || 20.066 || 30.967 || 47.867 || 54.764 || 68.162 || 77.589 || 299.415 
 Appropriations of an administrative nature financed from the envelope of the Euratom Programme[37] 08 01 05 01 Expenditure related to Research Staff 08 01 05 02 External staff for Research 08 01 05 03 Other management expenditure Research   ||     17.780 2.240 7.007   ||     18.136 2.285 7.147   ||     18.498 2.330 7.290   ||     18.868 2.377 7.436   ||     19.246 2.425 7.585   ||         ||     92.529 11.657 36.465   
 Number of budget line: 08 01 05 ||   || (3) || 27.027 || 27.568 || 28.119 || 28.681 || 29.255 ||   || 140.650 
 TOTAL appropriations for DG Research & Innovation || Commitments || =1+1a +3 || 186.668 || 199.353 || 212.469 || 226.031 || 240.049 ||   || 1064.570 
 Payments || =2+2a+3 || 127.158 || 153.502 || 180.852 || 191.216 || 226.076 || 185.766 || 1064.570 
  TOTAL operational appropriations || Commitments || (4) || 159.641 || 171.785 || 184.350 || 197.350 || 210.794 ||   || 923.920 
 Payments || (5) || 100.131 || 125.934 || 152.733 || 162.350 || 196.821 || 185.766 || 923.920 
  TOTAL appropriations of an administrative nature financed from the envelope of the Euratom Programme || (6) || 27.027 || 27.568 || 28.119 || 28.681 || 29.255 || 0 || 140.650 
 TOTAL appropriations under HEADING 1 of the multiannual financial framework || Commitments || =4+ 6 || 186.668 || 199.353 || 212.469 || 226.031 || 240.049 ||   || 1064.570 
 Payments || =5+ 6 || 127.158 || 153.502 || 180.852 || 191.216 || 226.076 || 185.766 || 1064.570 
If more than one heading is
affected by the proposal / initiative:
NA

 Heading of multiannual financial framework: || 5 || Administrative expenditure 
in current prices - EUR million (to 3 decimal places)
   ||   ||   || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || TOTAL 
 DG: Research / Direct Research || 
  Human resources ||   ||   ||   ||   ||   || 0 
  Other administrative expenditure ||   ||   ||   ||   ||   || 0 
 TOTAL DG <…….> || Appropriations ||   ||   ||   ||   ||   || 0 
 TOTAL appropriations under HEADING 5 of the multiannual financial framework || (Total commitments = Total payments) ||   ||   ||   ||   ||   || 0 
in current prices - EUR million (to 3 decimal places)
   ||   ||   || 2014 || 2015 || 2016 || 2017 || 2018 || > 2018 || TOTAL 
 TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework || Commitments || 186.668 || 199.353 || 212.469 || 226.031 || 240.049 ||   || 1064.570 
 Payments || 127.158 || 153.502 || 180.852 || 191.216 || 226.076 || 185.766 || 1064.570 
3.2.1. Summary of estimated impact on
expenditure – Direct Research
                                                                                                               in
current prices - EUR
million (to 3 decimal places)
 Heading of multiannual financial framework: || 1 || Smart and Inclusive Growth 
   DG JRC Direct Research ||   ||   || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year ≥ 2019 || TOTAL 
  Operational appropriations ||   ||   ||   ||   ||   ||   ||   
 Number of budget line: 10.03 || Commitments || (1a) || 10.457 || 10.666 || 10.879 || 11.097 || 11.319 || 0 || 54.417 
 Payments || (2a) || 4.706 || 8.982 || 10.208 || 10.935 || 11.153 || 8.434 || 54.417 
 Number of budget line: 10.03.01 || Commitments || (1a) || 10.457 || 10.666 || 10879 || 11.097 || 11.319 || 0 || 54.417 
 Payments || (2a) || 4.706 || 8.982 || 10.208 || 10.935 || 11.153 || 8.434 || 54.417 
 Appropriations of an administrative nature financed  from the envelope of the Euratom Programme[38] 10 01 05            10 01 05 01             10 01 05 02             10 01 05 03 10 01 05 04 ||     126.796 61.598 11.205 38.706 15.286 ||     130.284 63.754 11.457 39.481 15.592 ||     133.874 65.986 11.715 40.270 15.903 ||     137.571 68.295 11.979 41.076 16.222 ||     141.377 70.686 12.248 41.897 16.546 ||   ||     669.901 330.319 58.604 201.430 79.549 
 TOTAL appropriations for DG JRC / Direct Research || Commitments || =1+1a +3 || 137.253 || 140.950 || 144.753 || 148.668 || 152.695 ||   || 724.319 
 Payments || =2+2a+3 || 131.501 || 139.266 || 144.082 || 148.506 || 152.530 || 8.434 || 724.319 
  TOTAL operational appropriations || Commitments || (4) || 10.457 || 10.666 || 10.879 || 11.097 || 11.319 || 0 || 54.417 
 Payments || (5) || 4.706 || 8.982 || 10.208 || 10.935 || 11.153 || 8.434 || 54.417 
  TOTAL appropriations of an administrative nature financed from the envelope for the Euratom Programme || (6) || 126.796 || 130.284 || 133.874 || 137.571 || 141.377 || 0 || 669.901 
 TOTAL appropriations under HEADING 1 of the multiannual financial framework || Commitments || =4+ 6 || 137.253 || 140.950 || 144.753 || 148.668 || 152.695 || 0 || 724.319 
 Payments || =5+ 6 || 131.501 || 139.266 || 144.082 || 148.506 || 152.530 || 8.434 || 724.319 
If more than one heading is
affected by the proposal / initiative:
NA
 Heading of multiannual financial framework: || 5 || Administrative expenditure 
in current prices - EUR million (to 3 decimal places)
   ||   ||   || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || TOTAL 
 DG: Research / Direct Research || 
  Human resources ||   ||   ||   ||   ||   ||   
  Other administrative expenditure ||   ||   ||   ||   ||   ||   
 TOTAL DG <…….> || Appropriations ||   ||   ||   ||   ||   ||   
 TOTAL appropriations under HEADING 5 of the multiannual financial framework || (Total commitments = Total payments) ||   ||   ||   ||   ||   ||   
in current prices - EUR million (to 3 decimal places)
   ||   ||   || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || > 2018 || TOTAL 
 TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework || Commitments || 137.253 || 140.950 || 144.753 || 148.668 || 152.695 || 0 || 724.319 
 Payments || 131.501 || 139.266 || 144.082 || 148.506 || 152.530 || 8.434 || 724.319 
Summary of estimated impact on
expenditure Indirect Research + Direct Research in current prices - EUR million (to 3 decimal places)
 Heading of multiannual financial framework: || 1 || Smart and Inclusive Growth 
 Summary Indirect Research / Direct Research ||   ||   || Year || Year || Year || Year || Year || Year || TOTAL 
  Operational appropriations || 2014 || 2015 || 2016 || 2017 || 2018 || > 2018 ||   
 Number of budget line: 08 03 02 || Commitments || (1) || 159.641 || 171.785 || 184.350 || 197.350 || 210.794 ||   || 923.920 
 Payments || (2) || 100.131 || 125.934 || 152.733 || 162.535 || 196.821 || 185.766 || 923.920 
 Number of budget line: 10.03 || Commitments || (1a) || 10.457 || 10.666 || 10.879 || 11.097 || 11.319 || 0 || 54.417 
 Payments || (2a) || 4.706 || 8.982 || 10.208 || 10.935 || 11.153 || 8.434 || 54.417 
 Appropriations of an administrative nature financed  from the envelope of Euratom Programme[39] 08 01 05 10 01 05             || 27.027 || 27.568 || 28.119 || 28.681 || 29.255 || 0 || 140.650 
     137.252 ||   140.950 ||   144.753 ||   148.669 ||   152.696 ||   0 0 ||   724.320 
 Number of budget line: 08 01 05 / 10 01 05 ||   || (3) || 153.822 || 157.852 || 161.992 || 166.253 || 170.632 ||   || 810.551 
 TOTAL appropriations for DG Research & Innovation / Direct Research || Commitments || =1+1a +3 || 323.920 || 340.303 || 357.221 || 374.700 || 392.745 ||   || 1788.889 
 Payments || =2+2a+3 || 258.659 || 292.768 || 324.933 || 339.723 || 378.606 || 194.200 || 1788.889 
  TOTAL operational appropriations || Commitments || (4) || 170.098 || 182.451 || 195.229 || 208.447 || 222.113 ||   || 978.338 
 Payments || (5) || 104.837 || 134.916 || 162.941 || 173.470 || 207.974 || 194.200 || 978.338 
  TOTAL appropriations of an administrative nature financed from the envelope of Euratom Programme programs || (6) || 153.822 || 157.852 || 161.992 || 166.253 || 170.632 ||   || 810.551 
 TOTAL appropriations under HEADING 1 a of the multiannual financial framework || Commitments || =4+ 6 || 323.920 || 340.303 || 357.221 || 374.700 || 392.745 ||   || 1788.889 
 Payments || =5+ 6 || 258.659 || 292.768 || 324.933 || 339.723 || 378.606 || 194.200 || 1788.889 
If more than one heading is
affected by the proposal / initiative:
  TOTAL operational appropriations || Commitments || (4) ||   ||   ||   ||   ||   ||   ||   
 Payments || (5) ||   ||   ||   ||   ||   ||   ||   
  TOTAL appropriations of an administrative nature financed from the envelope of the Euratom Programme || (6) ||   ||   ||   ||   ||   ||   ||   
 TOTAL appropriations under HEADINGS 1 to 4 of the multiannual financial framework (Reference amount) || Commitments || =4+ 6 ||   ||   ||   ||   ||   ||   ||   
 Payments || =5+ 6 ||   ||   ||   ||   ||   ||   ||   
3.2.2.     Estimated impact on
operational appropriations 
–     
¨  The proposal/initiative does not require the use of operational
appropriations 
–     
X  The proposal/initiative requires the use of
operational appropriations, as explained below:
Commitment appropriations in EUR million
(to 3 decimal places)
 Indicate objectives and outputs   ò ||   ||   || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || TOTAL 
 OUTPUTS 
 Type of output[40] || Average cost of the output || Nr of outputs || Cost || Nr of outputs || Cost || Nr of outputs || Cost || Nr of outputs || Cost || Nr of outputs || Cost || Total number of outputs || Total cost 
 SPECIFIC OBJECTIVES N° 1-8 for indirect actions[41] ||   ||   ||   ||   ||   ||   
 - Output – EURATOM Fusion || ** || ** || 100 || 108.073 || 100 || 116.201 || 100 || 124.612 || 100 || 133.312 || 100 || 142.309 || 500 || 624.507 
 - Output – EURATOM Fission ||   ||   || 25 || 51.568 || 25 || 55.584 || 25 || 59.739 || 25 || 64.038 || 25 || 68.485 || 125 || 299.414 
 Sub-total for specific objective N°1-8 for indirect actions ||   ||   ||   ||   ||   ||   
 SPECIFIC OBJECTIVES N° 1-5 for direct actions[42] ||   ||   ||   ||   ||   ||   
 - Output – EURATOM Direct research- JRC || *** || *** || 150 || 10.457 || 150 || 10.666 || 150 || 10.879 || 150 || 11.097 || 150 || 11.319 || 750 || 54.417 
 Sub-total for specific objective N°1-5 for direct actions || 150 || 10.457 || 150 || 10.666 || 150 || 10.879 || 150 || 11.097 || 150 || 11.319 || 750 || 54.417 
 TOTAL COST || 275 || 170.098 || 275 || 182.451 || 275 || 195.229 || 275 || 208.447 || 275 || 222.113 || 1,375 || 978.338 
(*)              estimated number of outputs
(**)            usual output of a research
grant is a report describing facts, findings and results. 
(***)          Type of output:
Products and services for EU policy makers. 
Average cost of the output: The cost of each output is very variable. For instance, a routine
deliverable (e.g. a periodical crop forecast bulletin) is not comparable to a
final report of a large and possibly expensive study for which a considerable
amount of credits may have led to a single study document. Both are relevant
and useful but serve very different purposes. The average cost indicated is
just a mathematical calculation dividing the budget by the estimated number of
outputs.
3.2.3.     Estimated impact on
appropriations of an administrative nature
3.2.3.1.  Summary 
–     
¨  The proposal/initiative does not require the use of administrative
appropriations 
–     
X  The proposal/initiative requires the use of
administrative appropriations, as explained below:
EUR million (to 3 decimal places)
   || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || TOTAL 
 HEADING 5 of the multiannual financial framework ||   ||   ||   ||   ||   ||   
 Human resources ||   ||   ||   ||   ||   ||   
 Other administrative expenditure ||   ||   ||   ||   ||   ||   
 Subtotal HEADING 5 of the multiannual financial framework ||   ||   ||   ||   ||   ||   
   || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 
 Outside HEADING 5[43] of the multiannual financial framework || Indirect Research || Direct Research || Indirect Research || Direct Research || Indirect Research || Direct Research || Indirect Research || Direct Research || Indirect Research || Direct Research 
 Human resources || 20.020 || 72.803 || 20.421 || 75.211 || 20.828 || 77.701 || 21.245 || 80.274 || 21.671 || 82.934 
 Other expenditure of an administrative nature || 7.007 || 53.992 || 7.147 || 55.072 || 7.290 || 56.174 || 7.436 || 57.297 || 7.585 || 58.443 
 Subtotal outside HEADING 5 of the multiannual financial framework || 27.027 || 126.796 || 27.568 || 130.284 || 28.118 || 133.874 || 28.681 || 137.571 || 29.256 || 141.377 
 TOTAL* || 27.027 || 126.796 || 27.568 || 130.284 || 28.118 || 133.874 || 28.681 || 137.571 || 29.256 || 141.377 
*These
figures might be adjusted as a result of the envisaged externalisation
procedure. 
3.2.3.2.  Estimated requirements of
human resources 
–      ¨  The proposal/initiative does not require the use of human
resources 
–      X  The proposal/initiative requires the use of
human resources, as explained below:
Estimate to be expressed in full amounts
(or at most to one decimal place)
   || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 
 ||  Establishment plan posts (officials and temporary agents) 
 || X 01 01 01 (Headquarters and Commission’s Representation Offices) ||   ||   ||   ||   ||   
 || xx 01 01 02 (Delegations) ||   ||   ||   ||   ||   
 || 08 01 05 01 (Indirect research)* || 140 || 140 || 140 || 140 || 140 
 || 10 01 05 01 (Direct research) || 566 || 566 || 566 || 566 || 566 
 ||  External personnel (in Full Time Equivalent unit: FTE)[44] 
 || XX 01 02 01 (CA, INT, SNE from the "global envelope") ||   ||   ||   ||   ||   
 || XX 01 02 02 (CA, INT, JED, LA and SNE in the delegations) ||   ||   ||   ||   ||   
 || 08 01 04 40 [45] || - at Headquarters[46] ||   ||   ||   ||   ||   
 ||   || - in delegations - officials and temporary agents - CA GFI-IV - SNE ||   ||   ||   ||   ||   
 || 08 01 05 02 (CA, INT, SNE - Indirect research)* || 35 || 35 || 35 || 35 || 35 
 || 10 01 05 02 (CA, INT, SNE - Direct research) || 194 || 194 || 194 || 194 || 194 
 || Other budget lines (specify) ||   ||   ||   ||   ||   
 || TOTAL || 935 || 935 || 935 || 935 || 935 
XX is the policy area or budget title concerned.
* from these totals
the officials, the temporary agents as well as the external staff managing the
ITER project in the Headquarters (Brussels) have been taken out. These staff
members have been mentioned in the Supplementary Research Programme for the
ITER project LFS. 
 
The human resources required
will be met by staff from the DG who are already assigned to management of the action
and/or have been redeployed within the DG, together if necessary with any
additional allocation which may be granted to the managing DG under the annual
allocation procedure and in the light of budgetary constraints.
Description of
tasks to be carried out:
 Officials and temporary agents || Tasks derived from the implementation of the Euratom Research and Training Programme (direct and indirect actions), in particular related to nuclear waste management, nuclear safety and nuclear safeguards and security. They will also carry out activities needed to decommission JRC Euratom Nuclear facilities 
 External personnel 
3.2.4.     Compatibility with the
current multiannual financial framework 
–      X Proposal/initiative is compatible the current
multiannual financial framework.
–      ¨  Proposal/initiative will entail reprogramming of the
relevant heading in the multiannual financial framework.
–     
¨  Proposal/initiative requires application of
the flexibility instrument or revision of the multiannual financial framework[47].
Not applicable
3.2.5.     Third-party contributions 
–     
¨  The proposal/initiative
does not provide for co-financing by third parties 
–     
X  The
proposal/initiative provides for the co-financing estimated below:
Appropriations in EUR million (to 3 decimal places)
   || Year 2014 - 2018 
 Specify the co-financing body || Third countries associated to the programme 
 TOTAL appropriations co-financed * || Pm the third party contribution will be added at a later stage 
* Third party
contributions are not fixed yet; they will be added at a later stage
3.3.        Estimated impact on
revenue 
–      ¨  Proposal/initiative has no financial impact on revenue.
–      X  Proposal/initiative has the following
financial impact:
–                   
¨         on own resources 
–                   
X          on miscellaneous
revenue
EUR million (to 3 decimal places)
 Budget revenue line: || Appropriations available for the ongoing budget exercise || Impact of the proposal/initiative[48] 
 2014 until 2018 
   Item 6011* Item 6012* Item 6013 Item 6031**   ||   ||   pm pm pm pm   
* The agreements on
the Swiss contribution as well as on the JET Joint Fund contribution are not
yet finalised. Discussions with Turkey related to cooperation in Nuclear
Research are ongoing.
For miscellaneous
assigned revenue, specify the budget expenditure line(s) affected.
08 04 01 Appropriations
accruing from contributions from (non-European Economic Area) third parties to
research, technological development and innovation.
10 03 02 Appropriations accruing from contributions from (non
European Economic Area) third parties to research and technological development
Specify the method for
calculating the impact on revenue.
Certain associated states may contribute to a supplementary funding
of the framework programme through Association Agreements. The method of calculation
will be agreed in these Association Agreements and is not necessarily the same
method in all agreements. Mostly the calculations are based on the GDP of the
Associated State compared to the total GDP of the Members States whilst
applying this percentage to the overall budget. 
[1]               Euratom
Treaty, Article 7
[2]               COM(2011)48
[3]               OJ
C , , p. .
[4]               OJ
C , , p. .
[5]               OJ
L […]
[6]               Council
Conclusions of 2 December 2008 on the need for skills in the nuclear field
(15406/08).
[7]               OJ
L358, 16.12.2006, p.62
[8]               OJ L 90, 30.03.2007
[9]               COM(2010) 546 final, 6.10.2010. 
[10]             C(2005)
576 final, 11.3.2005
[11]             INI/2010/2079

[12]             OJ
[…]
[13]             OJ
L 400, 30.12.2006, p. 1.
[14]             OJ
L [...]
[15]             OJ
L 107, 30.4.1996, p. 12.
[16]             OJ
L 400, 30.12.2006, p. 60.
[17]             OJ
L 400, 30.12.2006, p. 404.
[18]             OJ
L 400, 30.12.2006, p. 434.
[19]             OJ
L [...].
[20]             OJ
L [...].
[21]             OJ
L [...].
[22]             OJ
L [...]
[23]             OJ
L [...]
[24]             OJ L 177, 4.7.1984, p. 25.
[25]             Not
published in the Official Journal.
[26]             OJ
L 292, 15.11.1996, p. 2.
[27]             OJ
L 172, 2.7.2009, p.18.
[28]             OJ
L 199, 19.7.2011, p.1.
[29]             ABM:
Activity-Based Management – ABB: Activity-Based Budgeting.
[30]             As
referred to in Article 49(6)(a) or (b) of the Financial Regulation.
[31]             Details
of management modes and references to the Financial Regulation may be found on
the BudgWeb site: http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html
[32]             As
referred to in Article 185 of the Financial Regulation.
[33]             http://www.trust-researchers.eu/
[34]             DA=
Differentiated appropriations / DNA= Non-Differentiated Appropriations
[35]             EFTA:
European Free Trade Association. 
[36]             Candidate
countries and, where applicable, potential candidate countries from the Western
Balkans.
[37]             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.
[38]             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.
[39]             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.
[40]             Outputs
are products and services to be supplied (e.g.: number of student exchanges
financed, number of km of roads built, etc.).
[41]             As
described in Section 1.4.2. "Specific objectives for indirect actions"
[42]             As
described in Section 1.4.2. "Specific objectives for direct actions"
[43]             Technical
and/or administrative assistance and expenditure in support of the
implementation of EU programmes and/or actions (former "BA" lines),
indirect research, direct research.
[44]             CA=
Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune
Expert en Délégation" (Young Experts in Delegations); LA= Local Agent;
SNE= Seconded National Expert; 
[45]             Under the ceiling for external personnel from operational appropriations (former "BA"
lines).
[46]             Essentially
for Structural Funds, European Agricultural Fund for Rural Development (EAFRD) and European
Fisheries Fund (EFF).
[47]             See
points 19 and 24 of the Inter institutional Agreement.
[48]             As
regards traditional own resources (customs duties, sugar levies), the amounts
indicated must be net amounts, i.e. gross amounts after deduction of 25% for collection
costs.