Legal provisions of COM(2017)698 - Annex to the proposal for the Research and Training Programme of Euratom (2019-2020) complementing the Horizon 2020 Framework Programme

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dossier COM(2017)698 - Annex to the proposal for the Research and Training Programme of Euratom (2019-2020) complementing the Horizon 2020 ...
document COM(2017)698 EN
date October 15, 2018

Contents

TITLE I - ESTABLISHMENT

Article 1 - Establishment

This Regulation establishes the Research and Training Programme of the European Atomic Energy Community for the period from 1 January 2019 to 31 December 2020 (the ‘2019–2020 Programme’), and lays down the rules for participation in that Programme, including participation in programmes of funding bodies managing the funds granted in accordance with this Regulation and in activities conducted jointly under this Regulation and under the Horizon 2020 Framework Programme for Research and Innovation (the ‘Horizon 2020 Framework Programme’) established by Regulation (EU) No 1291/2013.

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 (the ‘Community’);

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

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

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

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

Article 3 - Objectives

1. The general objective of the 2019–2020 Programme is to pursue nuclear research and training activities with an emphasis on the continuous improvement of nuclear safety, security and radiation protection, in particular to potentially contribute to the long-term decarbonisation of the energy system in a safe, efficient and secure way. The general objective shall be implemented through the activities specified in Annex I in the form of direct and indirect actions which pursue the specific objectives set out in paragraphs 2 and 3 of this Article.

2. The 2019–2020 Programme indirect actions shall have the following specific objectives:

(a)supporting the safety of nuclear systems;

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

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

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

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

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

(g)promoting innovation and industrial competitiveness;

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

3. The 2019–2020 Programme direct actions shall have the following specific objectives:

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

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

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

(d)fostering knowledge management, education and training;

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

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

4. The 2019–2020 Programme shall be implemented in such a way as to ensure that the priorities and activities supported are relevant to changing needs and take account of the evolving nature of science, technology, innovation, policy-making, markets and society, with the aim of optimizing human and financial resources, and to avoid duplication on nuclear research and development in the Union.

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 2019–2020 Programme. This may, if duly justified, include responses to emerging opportunities, crises and threats, to needs relating to the development of new Union policies, and to the piloting of actions foreseen for support under future programmes.

Article 4 - Budget

1. The financial envelope for the implementation of the 2019–2020 Programme shall be EUR 770 220 000. That amount shall be distributed as follows:

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

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

(c)for direct actions, EUR 268 807 000.

For the implementation of indirect actions of the 2019–2020 Programme, the Commission's administrative expenditure shall account on average for no more than 6 % of the combined total of the amounts set out in points (a) and (b) of the first subparagraph during the duration of the 2019–2020 Programme.

2. The financial envelope of the 2019–2020 Programme may cover expenses pertaining to preparatory, monitoring, control, audit and evaluation activities which are required for the management of that Programme and the achievement of its objectives, in particular studies and meetings of experts, in so far as they relate to the general objectives of this Regulation, and expenses linked to information technology networks focusing on information processing and exchange, together with all other technical and administrative assistance expenses incurred by the Commission for the management of the 2019–2020 Programme. The expenses for continuous and repetitive actions such as control, audit and IT networks will be covered within the limits of the Commission's administrative expenditure specified in paragraph 1.

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

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

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

Article 5 - Association of third countries

1. The 2019–2020 Programme shall be open to the association of:

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

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

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

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

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

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

2. Specific terms and conditions regarding the participation of associated countries in the 2019–2020 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 2019–2020 Programme shall be implemented through indirect actions using one or several of the forms of funding provided for by the Financial Regulation, in particular grants, prizes, procurement and financial instruments. The Community support shall also consist of direct actions in the form of research and innovation activities undertaken by the JRC.

2. Without prejudice to Article 10 of the Euratom Treaty, the Commission may entrust part of the implementation of the 2019–2020 Programme to the funding bodies referred to in point (c) of Article 62(1) of the Financial Regulation.

The Commission may also entrust the implementation of indirect actions under the 2019–2020 Programme to bodies created under, or referred to in, the Horizon 2020 Framework Programme.

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

Article 7 - Rules for participation and dissemination of research results

1. Subject to paragraphs 2 and 3 of this Article, the participation of any legal entity in indirect actions undertaken under the 2019–2020 Programme shall be governed by the rules laid down in Regulation (EU) No 1290/2013.

2. For the purposes of the 2019–2020 Programme, the ‘security rules’ referred to in the first subparagraph of Article 43(2) of Regulation (EU) No 1290/2013 shall include the defence interests of the Member States within the meaning of Article 24 of the Euratom Treaty.

By way of derogation from the first subparagraph of Article 44(3) of Regulation (EU) No 1290/2013, the Commission or the funding body may, with regard to results which are generated by participants having received Community financial contribution, object to transfers of ownership, or to grants of an exclusive or non-exclusive licence, to third parties established in a third country not associated with the 2019–2020 Programme where it considers that the transfer or grant is not in accordance with the interest of developing the competitiveness of the Union economy or is inconsistent with ethical principles or security considerations. ‘Security considerations’ shall include the defence interests of the Member States within the meaning of Article 24 of the Euratom Treaty.

By way of derogation from the first subparagraph of Article 49(1) of Regulation (EU) No 1290/2013, the Community and its joint undertakings shall, for the purpose of developing, implementing and monitoring Community policies and programmes or obligations assumed through international cooperation with third countries and international organisations, enjoy access rights to the results of a participant having received a Community financial contribution. Such access rights shall include the right to authorise third parties to use the results in public procurement and the right to sublicense, shall be limited to non-commercial and non-competitive use and shall be granted on a royalty-free basis.

3. The participant guarantee fund established pursuant to Regulation (EU) No 1290/2013 shall cover the risk associated with non-recovery of sums due by participants in actions financed through grants by the Commission or funding bodies under this Regulation.

Article 8 - Cross-cutting activities

1. In order to achieve the objectives of the 2019–2020 Programme and to address challenges common to the 2019–2020 Programme and the Horizon 2020 Framework Programme, activities cutting across the indirect actions set out in Annex I and the indirect actions implementing the Specific Programme of the Horizon 2020 Framework Programme, as established by Council Decision 2013/743/EU (15), may benefit from the Union financial contribution.

2. The financial contribution referred to in paragraph 1 of this Article may be combined from the financial contributions for indirect actions set out in Article 4 of this Regulation and in Article 6 of Regulation (EU) No 1291/2013, and implemented through a single funding scheme.

Article 9 - Gender equality

The 2019–2020 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 2019–2020 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 2019–2020 Programme shall have an exclusive focus on civil applications.

Article 11 - Work programmes

1. The Commission shall adopt, by means of implementing acts, in accordance with the examination procedure referred to in Article 12(3), work programmes for the implementation of the indirect actions. Such work programmes shall allow for bottom-up approaches that address the objectives in innovative ways.

The work programmes shall set out the essential elements for implementing the actions in accordance with the Financial Regulation, including their detailed objectives, the associated funding and a timetable, as well as a multiannual 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 multiannual work programme, setting out in greater detail the objectives and scientific and technological priorities presented in Annex I, and a timetable for implementation.

The multiannual work programme referred to in the first subparagraph shall also take account of relevant research activities carried out by the Member States, associated countries and European and international organisations. It shall be updated as and when appropriate.

3. The work programmes referred to in paragraphs 1 and 2 shall take account of the state of science, technology and innovation at national, Union and international level and of relevant policy, market and societal developments. They shall be updated as and where appropriate.

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

Article 12 - Committee procedure

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

2. The Committee shall meet in two different configurations, dealing respectively with fission-related aspects and fusion-related aspects of the 2019–2020 Programme.

With a view to facilitating the implementation of the 2019–2020 Programme, for each meeting of the Committee as defined in the agenda, the Commission shall reimburse, in accordance with its established guidelines, the expenses of one representative per Member State, as well as one expert/adviser per Member State for those agenda items where a Member State requires specific expertise.

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

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

Article 13 - Provision of information to the Committee

The Commission shall regularly inform the Committee referred to in Article 12 of the overall progress made in implementing the 2019–2020 Programme, and shall provide it with timely information on all indirect actions proposed or funded under the 2019–2020 Programme.

Article 14 - External advice and societal engagement

1. For the implementation of the 2019–2020 Programme, account shall be taken of advice and inputs provided, where appropriate, by:

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

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

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

(d)forward-looking activities;

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

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

2. Full account shall also be taken of the research and innovation agendas established by, inter alia, European technology platforms, joint programming initiatives and European innovation partnerships.

CHAPTER II - Specific fields of action

Article 15 - Small and medium-sized enterprises

Particular attention shall be paid to ensuring the adequate participation of, and innovation impact on, small and medium-sized enterprises (SMEs) and the private sector in general in the 2019–2020 Programme. Quantitative and qualitative assessments of SME participation shall be undertaken as part of the evaluation and monitoring arrangements.

Article 16 - Public-private and public-public partnerships

To attain the objectives set out in Article 3 of this Regulation, specific activities of the 2019–2020 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 ‘Programme co-fund actions’ funding scheme;

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

Article 17 - International cooperation with third countries and international organisations

1. Entities established in third countries and international organisations shall be eligible to participate in indirect actions of the 2019–2020 Programme under the conditions set out in Regulation (EU) No 1290/2013. Exceptions to the general principle in that regard are set out in Article 7 of this Regulation. International cooperation with third countries and international organisations shall be promoted by the 2019–2020 Programme with a view to:

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

(b)effectively tackling common societal challenges;

(c)supporting the Union's external and development policy objectives, complementing external and development programmes and seeking synergies with other Union policies.

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

Reciprocal access to third-country programmes should be encouraged. In order to maximise impact, coordination and synergies with initiatives of Member States and associated countries shall be promoted. The nature of the cooperation may vary according to the specific partner countries.

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

Article 18 - Information, communication, exploitation and dissemination

1. When implementing the 2019–2020 Programme, communication and dissemination activities shall be considered an integral part of the actions supported by the 2019–2020 Programme.

2. The communication activities referred to in paragraph 1 may include:

(a)initiatives aimed at increasing awareness and facilitating access to funding under the 2019–2020 Programme, in particular for those regions or types of participant that have a relatively low participation;

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

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

(d)communication of the Union's political priorities, provided that they are related to the aims of this Regulation, in particular the provision by the Commission of timely and thorough information to Member States.

3. Subject to the Euratom Treaty and relevant Union legislation, the dissemination activities referred to in paragraph 1 may include:

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

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

CHAPTER III - Control

Article 19 - Control and audit

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

2. The control system referred to in paragraph 1 shall ensure an appropriate balance between trust and control, taking into account administrative and other costs of controls at all levels, especially for participants, so that the 2019–2020 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 referred to in paragraph 1, the audit strategy for expenditure in the indirect actions under the 2019–2020 Programme shall be based on the financial audit of a representative sample of expenditure across the whole 2019–2020 Programme. That 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 2019–2020 Programme shall be carried out in a coherent manner in accordance with the principles of economy, efficiency and effectiveness in order to minimise the audit burden of the participants.

Article 20 - Protection of the financial interests of the Union

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

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

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

3. The European Anti-Fraud Office (OLAF) may carry out investigations, including on-the-spot checks and inspections in accordance with the provisions and procedures laid down in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (16) and Council Regulation (Euratom, EC) No 2185/96 (17), 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 funded under the 2019–2020 Programme.

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

CHAPTER IV - Monitoring and evaluation

Article 21 - Monitoring

1. The Commission shall annually monitor the implementation, including the progress and achievements, of the 2019–2020 Programme. The Commission shall provide the Committee referred to in Article 12 with information in that regard.

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

Article 22 - Evaluation

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

By 31 December 2022, the Commission shall carry out, with the assistance of independent experts selected on the basis of a transparent process, an ex post evaluation of the 2019–2020 Programme. That evaluation shall cover the rationale, implementation and achievements, as well as the longer-term impacts and sustainability, of the measures, to feed into a decision on a possible renewal, modification or suspension of a subsequent measure.

2. Without prejudice to paragraph 1, direct and indirect actions of the 2019–2020 Programme shall be subject to separate evaluations.

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

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

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

TITLE III - FINAL AND TRANSITIONAL PROVISIONS

Article 23 - Repeal and transitional provisions

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

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

3. The financial envelope referred to in Article 4 may also cover the technical and administrative assistance expenses necessary to ensure the transition between the 2019–2020 Programme and the measures adopted under Regulation (Euratom) No 1314/2013.

4. By way of derogation from the second subparagraph of Article 209(3) of the Financial Regulation, annual repayments generated by a financial instrument established under Regulation (EU) No 1291/2013 and resulting from the non-utilisation of funds made available under this Regulation or Regulation (Euratom) No 1314/2013 shall be assigned to the 2019–2020 Programme.

Article 24 - Entry into force

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

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