Explanatory Memorandum to 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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This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2018)437 - Research and Training Programme of Euratom for the period 2021-2025 complementing Horizon Europe - the Framework Programme ... |
|---|---|
| source | COM(2018)437  |
| date | 07-06-2018 |
1. Context of the proposal
1.1.Reasons for and objectives of the proposal
This proposal is part of the legislative package for the ‘Horizon Europe’ Framework Programme for Research and Innovation. It is designed to implement the EU’s next long-term financial framework for 2021-2027, the priorities set out in the Commission's Agenda for Jobs, Growth, Fairness and Democratic Change, and the Commission’s overall policy priorities (Horizon Europe).
The proposal for the Euratom research and training programme deals with the key issue of the various applications of nuclear energy in Europe. Using the power and non-power applications of nuclear energy to benefit the general public in Europe calls for long-term efforts to reduce safety and security risks and support the development of safe nuclear technologies and optimal radiation protection. Public and private research at national level has a significant role to play in this effort. Euratom’s task is to complement the Member States’ contributions by means of a Community-based research and training programme.
In this proposal for a Euratom Research and Training Programme for 2021-2025 (referred to below as ‘the Programme’), the Commission seeks the Council’s agreement to a five-year programme 1 which will pursue the current programme’s key research activities 2 , expand research into non-power applications of ionising radiation, and make improvements in the areas of education, training and access to research infrastructure. The proposed programme will complement Horizon Europe using the same instruments and rules for participation. The proposal determines the budget and a common set of research objectives for both direct 3 and indirect 4 actions to be implemented in accordance with the work programmes agreed with Member States.
The Programme will support research into radiation protection in the context of both nuclear energy generation and non-power applications of ionising radiation. Research into the latter will be designed to reduce risks from low-dose exposure through the use of these technologies. Research into radiation protection has already benefited the medical sector. There is also significant potential for public benefit in sectors including industry, agriculture, environment and security. A provision allowing for cross-cutting activities and synergies with ‘Horizon Europe’ will also benefit further research into non-power applications of radiation. One of the Programme’s goals is to make nuclear technologies safer by developing a better understanding of the ageing of nuclear reactors and improving accident management strategies. The Programme will also support research into assessing and demonstrating the safety aspects of future fission technologies as far as is necessary to maintain safety expertise in the Community. The rapidly growing use of nuclear fission technologies worldwide makes this field of Euratom research all the more important. The Programme will include other equally important tasks: advancing possible ways of managing and disposing of spent fuel and radioactive waste, and supporting preparedness for emergencies involving radiation.
Given the substantial increase in the deployment of nuclear fission technologies worldwide, Euratom needs to pursue its research into developing techniques to support nuclear safeguards, security and non-proliferation efforts.
The Programme also focuses on developing fusion energy, one of the few possible future options for baseload, low-carbon electricity production. Research into the feasibility of this technology is needed for the sake of future generations’ wellbeing. While the deployment of fusion power plants that can contribute to the decarbonisation of the EU’s energy mix remains a distant prospect, the Programme has the aim of implementing the European fusion roadmap, with a view to meeting the goal of producing electricity through fusion. This includes demonstrating fusion’s feasibility as an energy source by exploiting existing and future fusion facilities, including ITER 5 , and preparing for future fusion power plants by developing designs, materials and technologies.
In its efforts to develop fusion energy, the Programme will increase involvement and role of industry, with specific focus on facilitating know-how transfer from fusion laboratories to industry that should take over the responsibility for the design of DEMO 6 at the appropriate time.
In addition to these research activities, the proposal provides for more specific research into decommissioning of nuclear installations. The programme will address issues, such as improving the necessary skills, sharing best practice, developing techniques and co-funding research into common issues in nuclear decommissioning.
As regards nuclear expertise and excellence in the Community, the proposed Euratom regulation and the proposal for Horizon Europe will now enable nuclear researchers to take part in education and training schemes, such as Marie Skłodowska-Curie Actions. This will help maintain the necessary skills within the Community.
As regards research infrastructure, the proposal offers financial support for providing, making available and giving appropriate access to European and international research infrastructures, including those of the JRC.
This proposal states that it is to apply from 1 January 2021. It covers a Union of 27 Member States, given the UK’s notification of its intention to withdraw from the European Atomic Energy Community under Article 50 of the Treaty on European Union, as applied by Article 106a of the Treaty establishing the European Atomic Energy Community and received by the European Council on 29 March 2017.
1.2.Consistency with existing policy provisions in the policy area
The Programme carries over the main objectives of the research activities of the 2014-20 Euratom programmes 7 , while implementing the changes explained above.
The Programme is also consistent with the proposals for ‘Horizon Europe’, as they are the only EU and Euratom programmes that support R&I and complement national funding. Most of the provisions on implementation, evaluation and governance are the same for both. Research areas supported by the Euratom Programme are not included in ‘Horizon Europe’, for both legal reasons (separate treaties) and managerial ones (avoiding duplication). However, there will be more focus on developing synergies with Horizon Europe.
1.3.Consistency with other Union policies
The proposal is fully consistent and compatible with existing EU policies. This initiative was developed taking into account the current Commission's priorities 8 , the Budget for Results initiative (which means that EU spending programmes must provide even better value for money than in the past), the implementation of the EU Global Strategy 9 and the Commission’s proposal on the next long-term EU financial framework.
Contents
The Programme is also consistent with EU policies on nuclear and safety aspects. It thus supports the implementation of:
–Council Directive 2009/71/Euratom establishing a Community framework for the nuclear safety of nuclear installations 10 , as amended by Council Directive 2014/87/Euratom 11 ;
–Council Directive 2011/70/Euratom establishing a Community framework for the responsible and safe management of spent fuel and radioactive waste 12 ;
–Council Directive 2013/59/Euratom laying down basic safety standards for protection against the dangers arising from exposure to ionising radiation 13 ;
–Chapter 7 of the Euratom Treaty concerning the EU’s nuclear safeguards system. The programme also contributes to the Community’s security agendas and strategies 14 .
The Programme's actions should be used to address market failures or sub-optimal investment situations, in a proportionate manner, without duplicating or crowding out private financing and have a clear European added value. This will ensure consistency between the actions of the programme and EU State aid rules, avoiding undue distortions of competition in the internal market.
2. LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY
2.1.Legal basis
The Euratom Treaty states that the Commission is responsible for promoting and facilitating nuclear research in the Member States and for complementing it by conducting a Community research and training programme (Article 4 of the Treaty). This programme is to be adopted by the Council, acting unanimously on a proposal from the Commission (Article 7 of the Treaty).
2.2.Subsidiarity
The problem addressed by the Euratom programme applies to the EU as a whole because nuclear safety and security issues transcend borders, and because developing fusion energy calls for research efforts on a very large scale. Though only half of Member States operate nuclear power plants as part of the national energy mix, many more operate reactors for research purposes or for radioisotope production. Given that a nuclear accident could affect several Member States, irrespective of borders, all EU countries have an interest in nuclear safety, even if they do not themselves operate reactors.
All Member States use radiation for medical purposes and in industrial applications (agriculture, food irradiation, metrology, etc.). While the relative importance of the issue may vary across the EU, all of them therefore have an interest in nuclear and radiation safety, and all of them produce varying quantities of radioactive waste which require processing and eventual disposal. The harmonised standards laid down by the various directives and the related research implications clearly underline the need to address technical and training issues uniformly across the EU.
Although nuclear security is a national responsibility, the Programme’s direct actions help respond to some of the security challenges facing the EU and to their global dimensions in the field of nuclear detection, nuclear forensics and related training.
2.3.Proportionality
Measures will be taken at EU level to strengthen the overall research and innovation framework and coordinate Member States' research efforts so as to avoid duplication, retaining critical mass in key areas and ensuring public funds are spent to best effect. Such measures may leverage additional public and private investments in research and innovation. They are also needed to support EU policy-making and to meet the objectives set out in EU policies. The proposed measures do not go beyond what is required to achieve the Community’s objectives.
2.4.Choice of instrument
The legal act takes the form of a regulation, as it creates rights and obligations for beneficiaries that are binding in their entirety and directly applicable in all EU Member States and countries associated with the programme.
3. Results of ex-post evaluations, stakeholder consultations and impact assessments
3.1.Ex-post evaluations/fitness checks of existing legislation
The interim evaluation of the 2014-2018 Euratom programme 15 concluded that it is very relevant as regards all the activities covered, including nuclear safety, security and safeguards, radioactive waste management, radiation protection and fusion energy. As regards its efficiency and effectiveness, the evaluation identified a number of areas requiring action by the Commission and/or beneficiaries. It concluded that the following action should be taken:
–continue supporting nuclear research, focusing on nuclear safety, safeguards, security, waste management, radiation protection and developing fusion;
–further improve, together with beneficiaries, the organisation and management of the European Joint Programmes in the nuclear field;
–continue and step up Euratom’s education and training measures, to develop relevant knowledge and skills underpinning all aspects of nuclear safety, security and radiation protection;
–further exploit synergies between the Euratom programme and other thematic areas of the Union Framework Programme, addressing cross-cutting aspects such as the medical applications of radiation, climate change, security and emergency preparedness, and the contribution to nuclear science;
–further exploit synergies between direct and indirect actions under the Euratom programme.
The Impact Assessment contains a more detailed explanation on how this proposal addresses these issues.
3.2.Stakeholder consultations
The Commission’s services have conducted the following consultations: a general consultation on the Multiannual Financial Framework (MFF) and the Competitiveness chapter including research (January - March 2018), a targeted consultation on some of the Programme's activities based on a web questionnaire (January - February 2018), and a workshop with research stakeholders held on 21 February 2018 in Brussels. The consultations covered the key areas relevant to the impact assessment, including relevance, effectiveness, efficiency, implementation and EU added value. Several research stakeholders also submitted position papers on different aspects of Euratom research to the Commission. The Impact Assessment summarizes the input received and how this was taken into account in the proposal.
3.3.Collection and use of expertise
In the course of drawing up its proposal, the Commission collected input and drew on expertise from a number of sources. In 2017, the Euratom Scientific and Technical Committee (STC) issued an opinion on the future Euratom programme, and two independent expert groups reported on the interim evaluation of direct and indirect actions implemented under the 2014-2018 Euratom programme 16 . In 2016, a separate panel of experts conducted a mid-term review of the European joint programme on fusion research, implemented by the EUROfusion consortium. The Impact Assessment contains details on the expertise received and how this was taken into account in the proposal.
3.4.Impact assessment
This proposal is supported by an impact assessment on which the Regulatory Scrutiny Board issued a positive opinion.
The impact assessment accompanying this proposal focuses on the outcome of the Euratom Programme’s interim evaluation and stakeholder consultation. It identifies the changes needed in the Programme’s scope, objectives and method of implementation and takes account of the new MFF’s cross-cutting objectives (flexibility; focus on performance, coherence and synergies; and simplification). It satisfies the requirements of the Financial Regulation as regards conducting an ex-ante evaluation for the proposed Council Regulation establishing the Euratom Research and Training Programme for 2021-2025.
3.5.Simplification
The Programme will be implemented using the instruments and rules of participation applicable to the Horizon Europe Framework Programme. Simplification measures proposed in Horizon Europe will be applicable to applicants to and beneficiaries of the Euratom programme. While ensuring the need for continuity, where appropriate, the proposed rules are expected to further reduce the administrative burden, continuing the simplification process pursued by the current programmes. The programme will be further simplified in that it will propose a single list of objectives for direct and indirect actions. Likely impacts on simplification and the administrative burden are explored in more detail in the impact assessment.
3.6.Fundamental rights
This Regulation respects fundamental rights and observes the principles recognised in the Charter of Fundamental Rights of the European Union.
4. Budgetary implications
The budget for this proposal uses current prices. The legislative financial statement attached to the proposal sets out the implications in terms of the budget and human and administrative resources.
5. Other aspects
5.1.Implementation plans and monitoring, evaluation and reporting arrangements
The Commission’s services will implement the Programme. However, the Commission may decide, if this seems appropriate, to delegate implementation of certain parts of the Programme, as provided for by Article 10 of the Euratom Treaty, to Member States, persons or undertakings, or to third countries, international organisations or nationals of third countries.
Evaluations will be carried out in line with paragraphs 22 and 23 of the Interinstitutional Agreement of 13 April 2016 17 , where the three institutions confirmed that evaluations of existing legislation and policy should provide the basis for impact assessments of options for further action. The evaluations will assess the programme's effects on the ground based on the programme indicators/targets and a detailed analysis of the degree to which the Programme can be deemed relevant, effective, efficient, provides enough EU added value and is coherent with other EU policies. They will include lessons learnt to identify any lacks/problems or any potential to further improve the actions or their results and to help maximise their exploitation/impact.
The monitoring and evaluation system, shared with Horizon Europe, provides for key impact pathways, which will help reporting on progress towards achieving the Programme objectives. These fall into four complementary impact categories (scientific, social, innovation and policy impacts), reflecting the nature of R&I investments. For each impact category, indicators will be used to report on progress in the short, medium and longer term. Direct and indirect actions will be subject to a common interim evaluation.
5.2.Detailed explanation of the specific provisions of the proposal
–Structure of specific objectives (Article 3 and Annex I): the basic act introduces a single set of specific objectives for both direct and indirect actions. This will enable the Commission, when drawing up work programmes, to propose combining instruments and assets such as its own research infrastructure and JRC’s knowledge base. This approach is designed to meet one of the MFF’s cross-cutting objectives: simplification and achieving synergies.
–Revision of specific objectives (Article 3 and Annex I):
·Reduction in the number of specific objectives from 13 in the 2014-18 programme to four, for both direct and indirect actions.
·Introduction of a specific objective on supporting EU policy on nuclear safety, safeguards and security.
·Definition of research support for decommissioning: eligible measures include research supporting the development and evaluation of technologies for decommissioning and environmental remediation of nuclear installations, and sharing best practice and knowledge. The focus on decommissioning reflects the increasing demand for such services, the principle of environmental remediation, and the many nuclear reactors that will be permanently shut down.
·Revision of the scope of research into radiation protection, which is intended to contribute to the safe use of the nuclear science and technology applications of ionising radiation, including the secure and safe supply and use of radioisotopes. Medical, industrial, space and research applications are some of the options.
·The single specific objective of fusion research reflects a shift towards the design of future fusion power plants. The new objective for fusion research combines three specific objectives from the current programme.
·Single specific objective for all measures needed to maintain and further develop expertise and excellence in the EU. It includes education and training measures, support for mobility, access to research infrastructure, technology transfer and knowledge management and dissemination (the current programme has separate objectives for these measures).
–Opening of ‘Marie Skłodowska-Curie Actions (MSCA)’ to nuclear researchers: new provisions proposed for Horizon Europe and the Euratom Programme will make students and researchers in the nuclear field eligible for MSCA. In using a well-established instrument for supporting education and training in Europe, the new Programme is designed to meet one of the MFF’s cross-cutting objectives: achieving synergies between funding instruments.
–Legal provisions facilitating synergies between the Euratom Programme and Horizon Europe (Annex 1 to the basic act for Horizon Europe): both basic acts will provide for synergies, the details of which will be decided in the work programmes, in consultation with the Member States.
For the new Euratom Programme, as for previous ones, the award criteria will be excellence, impact and the quality and efficiency of implementation.
Horizon Europe’s rules on participation and dissemination will also apply to the Euratom Programme.
In implementing the Programme, the Commission will be assisted by a Committee (see Article 16) within the meaning of Regulation (EU) No 182/2011. It would meet in two configurations (fission and fusion), depending on the subject matter to be discussed.