Legal provisions of COM(2018)437 - Research and Training Programme of Euratom for the period 2021-2025 complementing Horizon Europe - the Framework Programme for Research and Innovation - Main contents
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| dossier | COM(2018)437 - Research and Training Programme of Euratom for the period 2021-2025 complementing Horizon Europe - the Framework Programme ... |
|---|---|
| document | COM(2018)437  |
| date | May 10, 2021 |
Contents
CHAPTER I - General provisions
Article 1
Subject matter
This Regulation establishes the Research and Training Programme of the European Atomic Energy Community for the period from 1 January 2021 to 31 December 2025 (the ‘Euratom Programme’) and the rules for participation and dissemination in indirect actions under the Euratom Programme, complementing Horizon Europe.
It lays down the objectives of the Euratom Programme, the budget for the period 2021-2025, the forms of funding and the rules for providing such funding.
Article 2
Definitions
For the purposes of this Regulation, the relevant definitions set out in Regulation (EU) 2021/695 apply. References in those definitions to the Union and Horizon Europe shall be construed as references to the European Atomic Energy Community (the ‘Community’) and the Euratom Programme, respectively. However, for the purposes of this Regulation, ‘work programme’ means the document adopted by the Commission for the implementation of the Euratom Programme in accordance with Article 16 of this Regulation.
All references in this Regulation to Regulation (EU) 2021/695 are to the version in force on 12 May 2021.
Article 3
Programme objectives
1. The general objective of the Euratom Programme is to pursue nuclear research and training activities, with an emphasis on the continuous improvement of nuclear safety, security and radiation protection, as well as to complement the achievement of Horizon Europe’s objectives inter alia in the context of the energy transition.
2. The Euratom Programme has the following specific objectives:
| (a) | improve and support nuclear safety, security, safeguards, radiation protection, safe spent fuel and radioactive waste management and decommissioning, including the safe and secure use of nuclear power and of non-power applications of ionizing radiation; |
| (b) | maintain and further develop expertise and competence in the nuclear field within the Community; |
| (c) | foster the development of fusion energy as a potential future energy source for electricity production and contribute to the implementation of the European fusion roadmap; |
| (d) | support the policy of the Union and its Member States on continuous improvement of nuclear safety, safeguards and security. |
3. The objectives listed in paragraphs 1 and 2 shall be implemented in accordance with Annex I. The implementation of those objectives may, if duly justified, include responses to emerging opportunities, crises and threats.
Article 4
Budget
1. The financial envelope for the implementation of the Euratom Programme for the period from 1 January 2021 to 31 December 2025 shall be EUR 1 382 000 000 in current prices.
2. The indicative distribution of the amount referred to in paragraph 1 shall be:
| (a) | EUR 583 273 000 for indirect actions in fusion research and development; |
| (b) | EUR 266 399 000 for indirect actions in nuclear fission, safety and radiation protection; |
| (c) | EUR 532 328 000 for direct actions undertaken by the Joint Research Centre. |
The Commission may not deviate from the amount referred to in point (c) of this paragraph.
3. The amount referred to in paragraph 1 may also be used to cover expenses for preparation, monitoring, control, audit, evaluation and other activities and expenditures necessary for managing and implementing the Euratom Programme, including all administrative expenditure, as well as evaluating the achievement of its objectives. The administrative expenses related to indirect actions shall not exceed 6 % of the amount distributed to indirect actions of the Euratom Programme referred to in points (a) and (b) of paragraph 2. In addition, the amount referred to in paragraph 1 may also cover:
| (a) | in so far as they are related to the objectives of the Euratom Programme, expenses relating to studies, meetings of experts, information and communication actions; |
| (b) | expenses linked to information technology networks focusing on information processing and exchange, including corporate information technology tools and other technical and administrative assistance needed in connection with the management of the Euratom Programme. |
4. If necessary to enable the management of actions not completed by 31 December 2025, appropriations may be entered in the budget beyond 2025 to cover the expenses provided for in paragraph 3.
5. Budgetary commitments for actions extending over more than one financial year may be broken down into annual instalments over several years.
6. Without prejudice to the Financial Regulation, expenditure for actions resulting from projects included in the first work programme may be eligible as from 1 January 2021.
7. Resources allocated to Member States under shared management may, at the request of the Member State concerned, be transferred to the Euratom Programme subject to the conditions set out in the relevant provisions of a Regulation of the European Parliament and of the Council laying down common provisions on the European Regional Development Fund, the European Social Fund Plus, the Cohesion Fund, the Just Transition Fund and the European Maritime, Fisheries and Aquaculture Fund and financial rules for those and for the Asylum, Migration and Integration Fund, the Internal Security Fund and the Instrument for Financial Support for Border Management and Visa Policy (the ‘Common Provisions Regulation for 2021-2027’). The Commission shall implement those resources directly in accordance with point (a) of the first subparagraph of Article 62(1) of the Financial Regulation or indirectly in accordance with point (c) of that subparagraph. Those resources shall be used for the benefit of the Member State concerned.
Article 5
Third countries associated to the Euratom Programme
1. The Euratom Programme shall be open to association of the following third countries:
| (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 Community programmes established in the respective framework agreements and Association Council decisions or similar agreements and in accordance with the specific conditions laid down in agreements between the Community and those countries; |
| (b) | European Neighbourhood Policy countries, in accordance with the general principles and general terms and conditions for the participation of those countries in Community programmes established in the respective framework agreements and Association Council decisions or in similar agreements and in accordance with the specific conditions laid down in agreements between the Community and those countries; |
| (c) | third countries and territories that fulfil all of the following criteria:
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2. Association to the Euratom Programme of each of the third countries under point (c) of paragraph 1 shall be in accordance with the conditions laid down in a specific agreement covering the participation of the third country to any Community or Union programme, provided that the agreement:
| (a) | ensures a fair balance as regards the contributions and benefits of the third country participating in the Community or Union programmes; |
| (b) | lays down the conditions of participation in the Community or Union programmes, including the calculation of financial contributions to the individual programmes and their administrative costs; |
| (c) | does not confer to the third country a decisional power in respect of the Euratom Programme; |
| (d) | guarantees the rights of the Union to ensure sound financial management and to protect the Union’s financial interests. |
The contributions referred to in point (b) of the first subparagraph of this paragraph shall constitute assigned revenues in accordance with Article 21(5) of the Financial Regulation.
3. The scope of association of each third country to the Euratom Programme shall take into account the objective of driving economic growth in the Union through innovation. Accordingly, with the exception of acceding countries, candidate countries and potential candidates, parts of the Euratom Programme may be excluded from an association agreement for a specific country.
4. The association agreement shall, where appropriate, provide for the reciprocal participation of legal entities established in the Union in equivalent programmes of associated countries in accordance with the conditions laid down in those programmes.
5. Where appropriate, the conditions determining the level of financial contribution shall ensure an automatic correction of any significant imbalance compared to the amount that entities established in the associated country receive through participation in the Euratom Programme, taking into account the costs in the management, execution and operation of the Euratom Programme.
Article 6
Implementation and forms of funding
1. The Euratom Programme shall be implemented by means of direct management in accordance with the Financial Regulation or by means of indirect management by funding bodies referred to in point (c) of the first subparagraph of Article 62(1) of the Financial Regulation.
2. Funding under the Euratom Programme may be provided in any of the forms laid down in the Financial Regulation, however, grants shall be the main form of support for indirect actions under the Euratom Programme. Funding under the Euratom Programme may also be provided through prizes, procurement and financial instruments within blending operations.
3. The main types of action to be used under the Euratom Programme are set out and defined in Article 2 of Regulation (EU) 2021/695, such as research and innovation actions, innovation actions, innovation and market deployment actions, training and mobility actions, programme co-fund actions, pre-commercial procurement actions, public procurement of innovative solutions actions, coordination and support actions, inducement prizes and recognition prizes.
The forms of funding, referred to in paragraph 2 of this Article, shall be used in a flexible manner across all objectives of the Euratom Programme with their use being determined on the basis of the needs and the characteristics of the particular objectives.
4. The Euratom Programme shall also support direct actions undertaken by the JRC.
Article 7
European Partnerships
1. Parts of the Euratom Programme may be implemented through European Partnerships.
2. The involvement of the Community in European Partnerships may take any of the following forms:
| (a) | participation in partnerships set up on the basis of memoranda of understanding or contractual arrangements between the Commission and public or private partners specifying the objectives of the European Partnership, related commitments from all involved sides regarding their financial or in-kind contributions, key performance and impact indicators, the results to be delivered and reporting arrangements; they include the identification of complementary research and innovation activities that are implemented by the partners and by the Euratom Programme (Co-programmed European Partnerships); |
| (b) | participation in and financial contribution to a programme of research and innovation activities, specifying the objectives, key performance and impact indicators, and the results to be delivered, based on the commitment of the partners regarding their financial or in-kind contributions and the integration of their relevant activities using a Euratom Programme co-fund action (Co-funded European Partnerships). |
3. European Partnerships shall:
| (a) | be established in cases where the objectives of the Euratom Programme would be achieved more effectively than by the Community alone when compared to other forms of support under the Euratom Programme; an appropriate share of the budget of the Euratom Programme shall be allocated to those parts; |
| (b) | adhere to the principles of Union added value, transparency and openness, and to having impact within and for Europe, strong leverage effect on sufficient scale, long-term commitments of all involved parties, flexibility in implementation, coherence, coordination and complementarity with Union, local, regional, national and, where relevant, international initiatives or other European Partnerships; |
| (c) | have a clear life-cycle approach, be limited in time and include conditions for phasing-out the Euratom Programme funding. |
4. Provisions and criteria for the selection, implementation, monitoring, evaluation and phasing-out of European Partnerships are set out in Annex III to Regulation (EU) 2021/695.
Article 8
Open Science
The provisions on open science set out in Regulation (EU) 2021/695 apply to the Euratom Programme.
Article 9
Eligible actions and rules for participation and dissemination of research results
1. Only actions implementing the objectives referred to in Article 3 are eligible for funding.
2. Subject to the paragraphs 3 and 4 of this Article, Title II on rules for participation and dissemination of Regulation (EU) 2021/695 applies to actions supported under the Euratom Programme. References in Regulation (EU) 2021/695 to the Union and Horizon Europe shall be construed as references to the Community and the Euratom Programme, where appropriate. References in Regulation (EU) 2021/695 to ‘security rules’ shall be construed to include the defence interests of the Member States within the meaning of Article 24 of the Euratom Treaty.
3. By way of derogation from Article 40(4) of Regulation (EU) 2021/695, the right to object to transfers of ownership of results, or to grants of an exclusive licence regarding results, may extend to grants of non-exclusive licenses.
4. By way of derogation from Article 41(9) of Regulation (EU) 2021/695, a beneficiary that has received Community funding shall grant access to its results on a royalty-free basis to the Community institutions, funding bodies or the European Joint Undertaking for ITER and the Development of Fusion Energy (Fusion for Energy) established by Decision 2007/198/Euratom (the ‘Joint Undertaking Fusion for Energy’), for the purpose of developing, implementing and monitoring Community policies and programmes or obligations under international cooperation with third countries and international organisations. Such access rights shall include the right to authorise third parties to use the results in public procurement and the right to sub-license. Access rights shall be limited to non-commercial and non-competitive use.
5. The mutual insurance mechanism established pursuant to Regulation (EU) 2021/695 shall cover the risk associated with non-recovery of sums due by beneficiaries to the Commission or funding bodies under this Regulation.
Article 10
Cumulative, alternative and combined funding
1. The Euratom Programme shall be implemented in synergy with Horizon Europe and with other Union programmes.
2. In order to achieve the objectives of the Euratom Programme and to address challenges common to the Euratom Programme and to Horizon Europe, activities cutting across the objectives set out in the Euratom Programme or those implementing Horizon Europe, or both, may benefit from the Community financial contribution, subject to Article 9. In particular, the Euratom Programme may provide a financial contribution to the Marie Skłodowska-Curie Actions (MSCA) in order to support activities relevant for nuclear research.
3. An action that has received a contribution from another Union programme may also receive a contribution under the Euratom Programme, provided that the contributions do not cover the same costs. The rules of the relevant programme shall apply to the corresponding contribution to the action. The cumulative funding shall not exceed the total eligible costs of the action. The support from the different programmes may be calculated on a pro-rata basis in accordance with the documents setting out the conditions for support.
4. Actions may receive support from the European Regional Development Fund or the European Social Fund Plus in accordance with the relevant provisions of the Common Provisions Regulation for 2021-2027, where they have been awarded a Seal of Excellence label under the Euratom Programme by virtue of complying with the following cumulative conditions:
| (a) | they have been assessed in a call for proposals under the Euratom Programme; |
| (b) | they comply with the minimum quality requirements of that call for proposals; |
| (c) | they may not be financed under that call for proposals due to budgetary constraints. |
CHAPTER II - Programming, monitoring, evaluation and control
Article 11
Work programmes
1. The indirect actions of the Euratom Programme shall be implemented by work programmes as referred to in Article 110 of the Financial Regulation. Work programmes shall set out, where applicable, the overall amount reserved for blending operations. The Commission shall adopt work programmes by means of implementing acts. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 16(4).
2. In addition to the requirements of Article 110 of the Financial Regulation, the work programmes shall include the following, as appropriate:
| (a) | an indication of the amount allocated to each action and an indicative implementation timetable; |
| (b) | for grants, the priorities, the selection and award criteria, the relative weight of the different award criteria and the maximum rate of funding of the total eligible costs; |
| (c) | any additional obligations on beneficiaries, in accordance with Articles 39 and 41 of Regulation (EU) 2021/695; |
| (d) | a multiannual approach and strategic orientations for the following years of implementation. |
3. The Commission shall draw up a multi-annual work programme on direct actions undertaken by the JRC in accordance with Decision 96/282/Euratom.
Article 12
Monitoring and reporting
1. The Commission shall monitor continuously the management and implementation of the Euratom Programme. In order to enhance transparency, those data shall be made publicly available in an accessible manner on the Commission’s webpage in accordance with the latest update of those data.
Indicators to report on an annual basis on the progress of the Euratom Programme towards the achievement of the objectives laid down in Article 3 are set out in Annex II along impact pathways.
2. To ensure the effective assessment of the Euratom Programme’s progress towards the achievement of its objectives, the Commission shall adopt implementing acts concerning the implementation of the monitoring and evaluation framework, in particular by setting baselines and targets in accordance with Annex II. Those implementing acts shall be adopted in accordance with the advisory procedure pursuant to Article 16(3).
3. The performance reporting system shall ensure that data for monitoring the implementation and the results of the Euratom Programme are collected efficiently, effectively and in a timely manner without increasing the administrative burden on beneficiaries. To that end, proportionate reporting requirements shall be imposed on recipients of Community funds and, where appropriate, on Member States.
Article 13
Information, communication, publicity and dissemination and exploitation
1. The recipients of the Euratom Programme funding shall acknowledge the origin of those funds and ensure the visibility of the Community funding, in particular when promoting the actions and their results, by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public.
2. The Commission shall implement information and communication actions relating to the Euratom Programme, to actions under the Euratom Programme and to the results obtained. In addition, it shall provide timely and thorough information to Member States and beneficiaries. Evidence-based matchmaking services informed by analytics and network affinities shall be provided to interested entities in order to form consortia for collaborative projects, with particular attention to identifying networking opportunities for legal entities from low research and innovation performing Member States. On the basis of such analysis, targeted matchmaking events may be organised in function of specific calls for proposals.
3. The Commission shall also establish a dissemination and exploitation strategy for increasing the availability and diffusion of the Euratom Programme’s research and innovation results and knowledge to accelerate exploitation towards market uptake and boost the impact of the Euratom Programme.
4. Financial resources allocated to the Euratom Programme shall also contribute to the corporate communication of the political priorities of the Community as well as information, communication, publicity, dissemination and exploitation activities as far as they are related to the objectives referred to in Article 3.
Article 14
Evaluation
1. Euratom Programme evaluations shall be carried out in a timely manner to feed into the decision-making process on the Euratom Programme, its successor and other initiatives relevant to research and innovation.
2. The interim evaluation of the Euratom Programme shall be carried out with the assistance of independent experts selected on the basis of a transparent process once there is sufficient information available about the implementation of the Euratom Programme, but no later than three years after the start of the Euratom Programme implementation. It shall include an assessment of the long-term impact of previous Euratom Research and Training Programmes and shall form the basis to adjust the Euratom Programme implementation or review the Euratom Programme, as appropriate. It shall assess the Euratom Programme’s effectiveness, efficiency, relevance, coherence, and Community added value.
3. At the end of the implementation of the Euratom Programme, but no later than four years after the end of the period specified in Article 1, a final evaluation of the Euratom Programme shall be carried out by the Commission. It shall include an assessment of the long-term impact of previous Euratom Research and Training Programmes.
4. The Commission shall publish and communicate the conclusions of the evaluations accompanied by its observations to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
Article 15
Audits
1. The control system for the Euratom Programme shall ensure an appropriate balance between trust and control, taking into account administrative and other costs of controls at all levels, especially for beneficiaries. Audit rules shall be clear, consistent and coherent throughout the Euratom Programme.
2. Actions that receive joint funding from different Union programmes shall be audited only once, covering all involved programmes and their respective applicable rules.
3. In addition, the Commission or the relevant funding body may rely on combined systems reviews at beneficiary level. Those combined reviews shall be optional for certain types of beneficiaries and shall consist in a systems and process audit, complemented by an audit of transactions. Such audits of transactions shall be carried out by a competent independent auditor qualified to carry out statutory audits of accounting documents in accordance with Directive 2006/43/EC of the European Parliament and of the Council (18). The system and processes audits may be used by the Commission or the relevant funding body to determine overall assurance on the sound financial management of expenditure and for reconsideration of the level of ex-post audits and certificates on financial statements.
4. In accordance with Article 127 of the Financial Regulation, the Commission or the funding body may rely on audits on the use of Community contributions carried out by other independent and competent persons or entities, including by other than those mandated by the Union institutions or bodies.
5. Audits may be carried out up to two years after the payment of the balance.
6. The Commission shall publish audit guidelines, aiming to ensure a reliable and uniform application and interpretation of the audit procedures and rules throughout the duration of the Euratom Programme.
Article 16
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 the fission related aspects and fusion related aspects of the Euratom Programme.
With a view to facilitating the implementation of the Euratom Programme, for each meeting of the Committee as defined in the agenda, the Commission will reimburse the expenses of one representative per Member State, as well as one expert or adviser per Member State for those agenda items where a Member State requires specific expertise, in accordance with Commission’s established guidelines.
3. Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 shall apply.
4. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
5. Where the opinion of the Committee is to be obtained by written procedure, that procedure shall be terminated without result where the chair of the Committee so decides or a simple majority of Committee members so requests within the time-limit for delivery of the opinion.
6. The Commission shall regularly inform the Committee of the overall progress of the implementation of the Euratom Programme and shall provide the Committee with timely information on all actions proposed or funded under the Euratom Programme.
Article 17
Protection of financial interests of the Union
Where a third country participates in the Euratom Programme by means of a decision adopted pursuant to an international agreement or on the basis of any other legal instrument, the third country shall grant the necessary rights and access required for the authorising officer responsible, OLAF and the Court of Auditors to comprehensively exercise their respective competences. In the case of OLAF, such rights shall include the right to carry out investigations, including on-the-spot checks and inspections, as provided for in Regulation (EU, Euratom) No 883/2013.
CHAPTER III - Transitional and final provisions
Article 18
Repeal
Regulation (Euratom) 2018/1563 is repealed.
Article 19
Transitional provisions
1. This Regulation shall not affect the continuation of or modification of actions initiated pursuant to Regulation (Euratom) 2018/1563, which shall continue to apply to those actions until their closure.
2. Where necessary, any remaining tasks of the Committee established by Regulation (Euratom) 2018/1563 shall be undertaken by the Committee referred to in Article 16 of this Regulation.
3. The financial envelope for the Euratom Programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the Euratom Programme and the measures adopted pursuant to Regulation (Euratom) 2018/1563.
Article 20
Entry into force
This Regulation shall enter into force on the day of its publication in the Official Journal of the European Union.
It shall apply from 1 January 2021.
This Regulation shall be binding in its entirety and directly applicable in all Member States.