52001PC0094(02)

Proposal for a COUNCIL DECISION CONCERNING THE MULTIANNUAL FRAMEWORK PROGRAMME 2002-2006 OF THE EUROPEAN ATOMIC ENERGY COMMUNITY (EURATOM) FOR RESEARCH AND TRAINING ACTIVITIES AIMED AT CONTRIBUTING TOWARDS THE CREATION OF THE EUROPEAN RESEARCH AREA

(Presented by the Commission)

EXPLANATORY MEMORANDUM

1. The European Research Area: Reality in the making

In the space of just over a year, the European Research Area (ERA) has become the reference framework for research policy issues in Europe.

Proposed by the Commission in January 2000, this project was endorsed by the Lisbon European Council in March 2000 as a central component of the process of developing a knowledge-based economy and society in the EU to promote innovation, competitiveness and employment, sustainable economic growth and social cohesion.

The conclusions of the June 2000 Feira European Council also referred to it, as do the conclusions of the November 2000 Nice European Council, which called for a progress report on its implementation for the Spring European Council in Stockholm.

The ERA is more necessary and urgent than ever:

- The EU's major technological rivals are not resting on their laurels. On the contrary, they are stepping up their efforts. In the US, public spending on research will grow by over 9% in 2001 in the context of a steady increase in industrial efforts over the last decade.

- Following on from the breakthroughs in recent years, the prospects in life sciences and technologies are promising. At the dawn of the 21st century, the immediate challenge facing science is to make use of the advances achieved in the analysis of the human genome and other living organisms, heralding the advent of the post-genomic era with all its spin-offs in terms of public health and the competitiveness of the biotechnology industries.

- Information and communication sciences and technologies are playing a growing role in strengthening the competitiveness of the European economy as a whole, improving living conditions in Europe and preserving the European model of society.

- As highlighted in particular by the BSE crisis and other recent developments in the area of food safety, the EU is now facing, and will in all probability have to face in the future more and more, problems significantly affecting the economy, society and citizens for which science holds the key to a large extent.

- Sustainable development, in all its various dimensions, has become a major political objective on the EU's agenda. Implementing it will generate constantly growing needs for specific research in many areas and on themes often necessitating recourse to interdisciplinary approaches.

The issues at stake and the challenges associated, generally speaking, with the prospects opened up by the technologies of the future, require European research efforts and capacities that are integrated to a far greater extent than at present. This process must fully involve the candidate countries which need to be encouraged to join forces in the European research effort to get research to play its proper role in the dynamics of EU enlargement.

The first concrete steps have been taken in this direction with the first stages in the implementation of the ERA project. Following on from the Research Council resolutions of 15 June and 16 November, work has started on the benchmarking of research and innovation policies, the mapping of excellence and the identification of obstacles to researcher mobility.

The report in preparation for the Stockholm European Council on progress towards making a reality of the European Research Area will take stock of what has been achieved, what remains to be done and the additional steps to be taken to make this concept more concrete.

The European Research Area will by definition be the product of a joint effort by the EU and its Member States, which have a clear responsibility in the implementation of the project, as well as the other European countries, especially the candidate countries.

However, the EU has a specific role to play through its legal instruments, such as, for example, the Community patent and also its financial instrument for promoting research and European cooperation in this area, namely the framework programme.

2. A reconsidered design for the framework programme

As stressed in the Commission's January 2000 Communication "Towards a European Research Area" [1], the EU's framework programme for Research and Technological Development (RTD) needs to be thoroughly re-thought out in the light of the ERA project.

[1] COM (2000) 6.

The Commission's October 2000 communication setting out guidelines for future EU research activities [2] made suggestions as to how this should be done, and launched a debate on the subject.

[2] COM (2000) 612.

The present proposal makes these suggestions more concrete. Following on from the guidelines set out, it is based on the preliminary conclusions of the debate in the European Parliament, the Council and the other institutions, and also takes into account the views expressed by the Member States, the scientific community and industry as part of a very wide-ranging consultation, notably involving an electronic forum [3].

[3] http://europa.eu.int/comm/research/area_en.htm.

The EU's framework programme for research has so far been an instrument to promote cooperation and support collaboration.

This proposal is designed to enable it to step up its contribution to the development of scientific and technical excellence in Europe, in EU countries and non-EU countries, especially candidate countries, both in universities and in industry. It should also have the effect of increasing its impact on the innovation process in Europe and reinforcing its contribution to the efforts to integrate European research.

The raison d'être of this new framework programme is to help to make a reality of the European Research Area with a view to stepping up innovation in Europe, in conjunction with all the efforts made to this end at national, regional and European level.

The relationship between the EU's research efforts and the national research efforts is changing. Implementing the framework programme (2002-2006) will require a genuine partnership between the EU and its Member States and with other European scientific cooperation organisations, a partnership which will, in turn, be enhanced through it.

The new framework programme will be based on the following main principles:

- concentrating on a selected number of priority research areas in which EU action can add the greatest possible value;

- defining the various activities in such a way as to enable them to exert a more structuring effect on the research activities conducted in Europe thanks to a stronger link with national, regional and other European initiatives;

- simplifying and streamlining the implementation arrangements, on the basis of the intervention methods defined and the decentralised management procedures envisaged.

In the framework programme as a whole, and especially in research activities specifically geared to helping implement Community policies, a special effort will be made to maximise the dissemination of results and to express them in terms that are readily understandable to decision-makers, so as to help them implement public policies.

Two fundamental aspects of this new framework programme are the opportunity for the candidate countries to participate fully in all the activities as countries associated with its implementation [4], and the fact that to a large extent it opens up EU research activities to the rest of the world, more particularly on account of the possibility of third country [5] researchers and organisations having access to a substantial proportion of the activities.

[4] The countries associated with implementation of the Framework Programme are the European Economic Area countries, Switzerland and Israel.

[5] Throughout this document, the term "third country" refers to countries that are not members of the EU and not associated with the Framework Programme.

In the spirit of the Commission Communication "Towards a European Research Area" [6], the regional dimension of European research will be fully taken into account in the implementation of the framework programme, by encouraging interregional cooperation, by taking into consideration specific regional economic and social situations and by supporting regional technological dynamics.

[6] COM(2000) 6.

In accordance with the objectives and guidelines of the Action Plan being implemented following the Commission Communication "Women and Science" [7] and the resolutions adopted by the Council [8] and the European Parliament [9] on this theme, a special effort will be made to increase the participation of women in all the activities of the framework programme and boost, through these activities, the place and role of women in science and research in Europe.

[7] COM(1999) 76.

[8] Resolution of 20 May 1999, OJ C 201, 16 July 1999.

[9] Resolution of 3 February 2000, PE 284.656.

3. Focusing efforts

The priority thematic areas of research proposed have been defined on the basis of the "European added value" criteria set out in the Commission's communication of October 2000, e.g. the need to assemble a critical mass of financial and human resources to combine the complementary areas of expertise found in the different countries or to undertake comparative studies at a European level; links with EU priorities and interests; and the necessarily transnational nature of the research in question.

These criteria have been applied in accordance with the two relevant principles: ranking the foreseeable priorities as a function of objectives and excluding possible areas in which an EU contribution would have less impact.

The October 2000 communication gave examples of a number of topics that met these criteria at first glance. The suggestions made gave rise to considerable comment and were discussed widely by the scientific community, industry and national research authorities through the intermediary of an electronic forum.

The list has been developed and refined and the approach defined has been followed as regards the choice of both the priority thematic areas and the specific subjects within each of them. Seven thematic areas have been selected as have, within each of them, a number of subjects linked to economic and societal issues that are especially important to the EU and where its action adds specific value for reasons which may vary according to the themes in question.

To ensure the focusing of efforts in these priority thematic areas, EU action will be exclusively implemented through three major instruments capable of exerting a particularly significant impact on account of their integrating effect and the scale of the human and financial resources mobilised.

The scientific and technological needs connected with the implementation of EU policies also have a high priority. They will be the subject of a special effort in addition to the contribution made in this respect by activities carried out in the priority thematic areas.

However, making a reality of the European Research Area will, for some themes, require intervention across the whole field of science and technology.

In this spirit, several categories of activities, particularly those intended to help structure the European Research Area, will be opened up to all themes and areas.

4. Three main avenues of approach in implementing the European Research Area

The overall organisation of the framework programme reflects the broad avenues of approach in the implementation of the European Research Area. The framework programme comprises three main blocks of activities.

4.1. Integrating research

4.1.1. In the priority thematic areas

The arrangements proposed to implement the activities carried out in the priority research areas of the framework programme have been defined in such a way as to maximise the impact of the efforts made in tShese areas in Europe.

Each of them corresponds to a type of need in terms of the organisation of research in Europe.

The three main instruments used in these areas are the networks of excellence, integrated projects and the participation of the EU in programmes carried out jointly by several Member States pursuant to Article 169 of the Treaty.

Using these instruments will help mobilise financial resources well in excess of those harnessed so far for joint activities and will result in more marked cross-linkage of national activities between themselves and with EU activities.

The objective of networks of excellence is to boost European excellence by putting together, in a way that will last, research capacities present in the various European regions in a series of areas of key importance by helping research entities come together to carry out "common programmes of activities". Setting up and operating these networks should result in the creation of veritable "virtual centres of excellence" of very significant dimensions.

Designed as large-scale activities and preferably conducted as public/private partnerships, integrated projects will help mobilise significant resources around precisely defined objectives in terms of products and processes but also, in many cases, in terms of scientific and technological knowledge.

The arrangements for operating the networks and integrated projects, which will be set up following calls for proposals, will be defined to ensure a large measure of managerial autonomy for the consortia which implement them. Aspects relating to innovation, infrastructure, human resources and science/society will be included in the way these two categories of actions are implemented.

The EU's participation in the research programmes of the Member States carried out jointly is one of the possibilities offered by the Treaty which has not been used so far. Making use of this option requires a considerable amount of exploratory work and consultation, which are at present under way in several areas.

4.1.2. Other dimensions of the integration of research

The EU's Research framework programme is also intended to meet science and technology needs arising from the implementation of other Community policies.

For this purpose, the activities to be carried out under the heading "Integrating research" will include a specific segment, entitled "Anticipating the EU's scientific and technological needs". They should also help the EU to anticipate emerging needs, react rapidly to new scientific and technological developments and be present at the frontiers of knowledge.

The activities conducted in this connection will entail projects on a scale commensurate with the specific nature of the needs and research in question.

On account of their nature and their objective, these activities will be carried out on the basis of annual decisions following calls for proposals. The choice of topics for the activities carried out will be made by the Commission on the basis of an assessment carried out by an Internal User Group representing the different Community policies, taking account of the opinion of an independent consultative structure consisting of high-level scientific and industrial experts.

The JRC will be involved in these activities within its spheres of competence in accordance with its role of providing scientific and technological support to EU policies. Its budgetary priorities will also be determined by an internal group of users. The priorities for action of the JRC will have as their common denominator the safety of citizens in its various aspects.

The participation of SMEs in networks of excellence and integrated projects should be significant. Moreover, specific additional activities are proposed for this type of enterprise.

To this end, the framework programme 2002-2006 will introduce two innovations designed to promote the development of the knowledge-based economy in the European Research Area: an extension of the "cooperative research" activities conducted in collaboration by SMEs, research centres and universities to include high-tech SMEs; and the establishment on a European scale of a "collective research" scheme whereby research is carried out by technical research centres for entire sectors of industry.

International cooperation will be an important aspect of the activities carried out in this part of the framework programme.

The activities carried out in this connection will take several forms. In the priority thematic areas, initiatives will be taken to ensure the coherence of Europe's contribution to international efforts, as well as integrated bilateral cooperation activities with third countries or groups of third countries, for example the emerging economies. Third country researchers and organisations will also have the possibility in some cases of participating in the networks of excellence and integrated projects in areas of special interest for those countries. This participation should represent a substantial proportion of the international cooperation activities under the framework programme.

Specific cooperation activities will also be carried out with certain countries or groups of countries. This will particularly apply to Mediterranean third countries, Russia and the States of the CIS, and developing countries, in support of the EU's foreign and development aid policies.

All international cooperation activities will tie in with the objectives of external policy and the Union's development aid policy, bearing in mind the need to maximise the dissemination of knowledge and technology at world level.

4.2. Structuring the European Research Area

The second major block of activities under the framework programme comprises four categories of activities intended to structure the European Research Area in four of its most important aspects mentioned in the Commission's January 2000 Communication:

- Research and innovation, in liaison with the objectives of the Communication on innovation in a knowledge-driven society [10], with in particular the stepping-up of economic and technological intelligence activities.

[10] COM (2000) 567.

- Human resources and researcher mobility: the funds assigned to this area will be increased considerably. New types of support will be offered, especially in order to make Europe more attractive to third-country researchers, as well as a support scheme for excellent EU research teams.

- Research infrastructures, including broadband communication infrastructures for research, with in particular the introduction of an arrangement whereby integrated initiatives covering activities on several levels could be supported: transnational access, networking, research projects, services on a European scale.

- Science/society issues, following on from the guidelines set out in the Commission Staff Working Paper of November 2000 on science, society and citizens [11].

[11] SEC (2000) 1973.

4.3. Strengthening the foundations of the European Research Area

Last but not least, the framework programme 2002-2006 will help achieve the European Research and Innovation Area by making a contribution towards strengthening its foundations. It will do so in two ways.

First of all, through activities intended to strengthen the coordination of research and innovation activities conducted in Europe at both national and European level:

- Support for the networking of national research and innovation activities as well as for the mutual opening-up of the national programmes in these areas.

- Support for scientific cooperation in the various European science and technology cooperation forums; closer links between EU activities and the activities of other organisations such as the European Science Foundation (ESF), CERN, the EMBL, the ESO [12] and other organisations of this type, and support for their collaboration, since these organisations have drawn closer together and envisage joint initiatives.

[12] ESA: European Space Agency; CERN: European Organisation for Nuclear Research; EMBL: European Molecular Biology Laboratory; ESO: European Southern Observatory.

Concrete proposals will be made to this end, and for the coordination of projects integrated with Eureka and for the coordination of various activities under the framework programme with "Innovation 2000 Initiative" of the European Investment Bank (EIB).

Strong complementarity will be sought with the activities carried out in the context of COST [13] cooperation, which is particularly suited to the networking of national activities.

[13] COST: European Cooperation in the field of the Scientific and Technical Research.

Secondly, through activities supporting the development of coherent research and innovation policies in Europe:

- Support for carrying out the work needed to attain the objectives set by the Lisbon European Council for the ERA as regards benchmarking of research policies, mapping of excellence, and obstacles to mobility.

- Work concerning science and technology foresight, statistics and indicators and work needed to improve the innovation environment in Europe.

5. Efficient and streamlined implementation

The arrangements for implementing the framework programme are characterised by a clear desire for simplification, streamlining and increased efficiency.

The scientific community and industry have repeatedly advocated simplifying the procedures for managing the EU's research programmes and making them more flexible. The need for a change of this kind is also one of the conclusions of the five-year assessment report for the framework programme.

The current programme management system entails the approval by the Commission of any, even minor, change in the research projects carried out. This makes for inflexibility and complexity which cause delays. In addition, the centralised nature of the system is not in tune with the needs of high-quality research. What is more, an implementation system based on projects on a small-scale is also not appropriate for the sort of research activities to be carried out at a European level. The new framework programme therefore introduces a system which would allow enterprises, research centres and universities greater freedom and flexibility to implement their research activities carried out jointly.

framework programme participants will also be encouraged to define and present for funding, after evaluation on a competitive basis, longer-term programmes including a range of individual components of a varying scale as required.

The networks of excellence and the integrated projects will thus be administered to a large extent autonomously by the participants. The latter will have the possibility to:

- involve other partners in the activities which they undertake;

- define small-scale projects as components of their research programme, and have the possibility of carrying out calls for proposals on a competitive basis to implement these;

- adapt their programme of research to meet changing needs.

The programmes of activities will be regularly subjected to evaluation. Measures will be taken to encourage participation by SMEs from all EU regions.

The envisaged move towards greater decentralisation of responsibilities for implementing research activities will enable the Commission to propose a reduction in the overall administrative costs of administrating the programmes. Certain aspects of the specific research activities for SMEs and support for researcher mobility will be entrusted to external organisations operating under the Commission's responsibility.

With a view to improving the performance of Community research activities in terms of cost-efficiency and to maximise the use of European public funds, the proposals for specific programmes will have to be formulated in a way that defines measurable objectives that can be used for regular monitoring.

6. Next steps

This proposal sets out a framework programme specifically designed to help bring about a European Research Area in accordance with the conclusions of the debate which took place on the subject in the Institutions throughout the year 2000.

It is vital to ensure that it is discussed, adopted and implemented under the best possible conditions.

The Commission intends to submit proposals for specific programmes worked out on the basis of the broad lines of the framework programme once the various Institutions have had an opportunity to give their opinions on this proposal.

To enable this new framework programme to be implemented on schedule, the aim is that it should be adopted no later than the first half of 2002.

2001/0054 (CNS)

Proposal for a Council Decision Concerning the multiannual framework programme 2002-2006 of the European Atomic Energy Community (EURATOM) for research and training activities aimed at contributing towards the creation of the European Research Area

THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Parliament,

Having regard to the opinion of the Economic and Social Committee,

Whereas:

(1) A multiannual framework programme covering all research activities, including demonstration and training activities in the field of nuclear energy, to be implemented by means of research and training programmes, may be adopted pursuant to Article 7 of the Treaty.

(2) In 2000 the Commission submitted two communications, respectively on the prospects for and the objectives of creating a European Research Area [14], and on making a reality of the European Research Area and guidelines for EU research activities in the period 2002-2006 [15]. In 2000 the Commission also submitted a communication on "Innovation in a knowledge-driven economy" [16].

[14] COM(2000) 6 final, 18.1.2000.

[15] COM(2000) 612 final, 4.10.2000.

[16] COM(2000) 567 final, 20.9.2000.

(3) The European Councils in Lisbon in March 2000 and Santa Maria de Feira in June 2000 adopted conclusions aimed at the rapid establishment of a European Research and Innovation Area with a view to job creation and economic growth.

(4) The European Parliament [17], [18], the Council [19], [20], the Economic and Social Committee [21] and the Committee of the Regions [22] have also supported the creation of the European Research Area.

[17] Resolution of 18 May 2000 PE 290.465 p.48.

[18] Resolution of 15 February 2001

[19] Resolution of 15 June 2000, OJ C 205, 19.7.2000 p.1

[20] Resolution of 16 November 2000, OJ C 374, 28.12.2000 p.1

[21] Opinion of 24 May 2000, OJ C 204, 18.7.2000 p.70

[22] Opinion of 12 April 2000, OJ C 226, 8.8.2000 p.18

(5) On 19 October 2000 [23] the Commission submitted the conclusions of an external assessment of the implementation and results of the Community activities carried out in the five years preceding that assessment, accompanied by its observations.

[23] COM(2000)659 final, 19.10.2000.

(6) It is therefore necessary to adopt a new framework programme for the period 2002-2006 aimed at making a contribution to bringing about the European Research Area.

(7) The framework programme 2002-2006 sets out the scientific and technological objectives and priorities of the activities envisaged and indicates the broad lines of those activities which will be implemented in compliance with the objective of protecting the Community's financial interests.

(8) A financial reference amount within the meaning of point 34 of the Interinstitutional Agreement between the European Parliament, the Council and the Commission on budgetary discipline and improving the budgetary procedure [24] is included in this Decision for the entire duration of the framework programme without thereby affecting the powers of the budgetary authority as defined in the Treaty.

[24] OJ C 172, 18.6.1999, p.1.

(9) The Joint Research Centre (JRC) is called on help implement the framework programme, in particular in those areas in which it can offer objective and independent expertise and in which it can play a role in the implementation of other Community policies.

(10) Research activities carried out within the framework programme should respect fundamental ethical principles, notably those which appear in the Charter of Fundamental Rights of the European Union.

(11) Following the Commission Communication "Women and Science" [25] and the Resolutions of the Council [26] and the European Parliament [27] on this theme, an Action Plan is being implemented in order to boost and increase the place and role of women in science and research in Europe.

[25] COM(1999) 76.

[26] Resolution of 20 May 1999, OJ C 201, 16.7.1999.

[27] Resolution of 3 February 2000, PE 284.656.

(12) It is appropriate that the Commission should submit regular progress reports on the implementation of the framework programme 2002-2006 and that it should have an independent assessment carried out concerning the implementation of the activities in good time and before submitting its proposal for the next framework programme.

(13) The Scientific and Technical Committee has been consulted by the Commission and has delivered its opinion,

HAS DECIDED AS FOLLOWS:

Article 1

1. A multiannual framework programme for research and training activities in the field of nuclear energy, hereinafter referred to as the "framework programme 2002-2006" is hereby adopted for the period 2002-2006.

2. The framework programme 2002-2006 shall comprise all research, technological development, international cooperation, dissemination and exploitation activities as well as training in the following fields:

- treatment and storage of waste;

- controlled thermonuclear fusion;

- other Euratom activities;

- the Joint Research Centre's Euratom activities.

3. The Annex sets out the scientific and technological objectives and the related priorities and indicates the broad lines of the activities envisaged.

Article 2

1. The financial reference amount for the implementation of this framework programme for the period 2002-2006 shall be EUR 1 230 million, of which EUR 150 million for the treatment and storage of waste, EUR 700 million for controlled thermonuclear fusion, EUR 50 million for other Euratom activities, and EUR 330 million for the Joint Research Centre's Euratom activities.

2. The detailed rules for financial participation by the Community shall be governed by the Financial Regulation applicable to the General Budget of the European Communities, supplemented where appropriate by the research and training programme(s) which the Council will adopt in order to implement this Decision.

Article 3

All the research activities carried out under the framework programme 2002-2006 shall be carried out in compliance with fundamental ethical principles.

Article 4

Progress with implementing the framework programme 2002-2006, and in particular progress towards achieving its objectives and meeting its priorities, shall be presented in detail in the report to be published by the Commission each year pursuant to Article 7 of the Treaty.

Article 5

Before submitting its proposal for the next framework programme, the Commission shall have an assessment carried out by independent high-level experts of the implementation of Community activities during the five years preceding that assessment. The Commission shall communicate the conclusions thereof, accompanied by its observations, to the European Parliament, the Council and the Economic and Social Committee.

Article 6

The framework programme 2002-2006 is open to the participation of:

- the EEA countries, in accordance with the conditions established in the EEA agreements;

- the central and eastern European candidate countries (CEEC), in accordance with the conditions established in the Europe Agreements, in the additional protocols thereto and in the decisions of the respective Association Councils;

- Cyprus, Malta and Turkey, on the basis of bilateral agreements to be concluded with these countries;

- Switzerland and Israel, on the basis of bilateral agreements to be concluded with these countries.

Done at Brussels,

For the Council

ANNEX : SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES

1. Priority thematic areas of research

1.1 Waste treatment and storage

Nuclear fission energy today supplies 35% of electricity in the EU. It is an element in the debate on how to combat climate change and reduce Europe's dependence on imported energy. The power plants at present in operation will continue to be operated for at least 20 years.

Looking to the longer term, new technologies for the safe exploitation of nuclear fission energy could be developed in order to meet European energy needs in the decades ahead in such a way as to take into account the requirements of sustainable development.

The exploitation of nuclear fission energy for energy production is now encountering the problem of waste, and more particularly the individual implementation of technical solutions for the management of long-lived waste.

European public and private sector research efforts with regard to nuclear waste treatment and storage technologies are significant. Through its coordination effects, EU action in this area makes it possible to assemble them into a critical mass and ensure the coherence of the guidelines adopted by the waste management organisations and industries concerned.

EU action will cover both the immediate problem of waste storage and the longer term question of reducing its impact. In this connection, it will address the following aspects:

- research into processes for long term storage in deep geological strata, with the networking of the activities carried out on various sites in the three main types of geological formations envisaged;

- research aimed at reducing the impact of waste, more particularly as a result of the development of new concepts for reactors producing less waste and the development of technologies to reduce the hazards associated with waste by means of partitioning and transmutation techniques.

1.2 Controlled thermonuclear fusion

Controlled thermonuclear fusion is one of the long term options for energy supply in conditions of sustainable development, in particular for the centralised supply of base-load electricity.

For reasons bound up with the complexity of fundamental knowledge in physics and the technological problems to be resolved, the developments needed for the possible application of fusion for energy production will necessarily take the form of a process in several steps each of which, possibly taking several tens of years, has an impact on the next.

The efforts deployed in the context of the integrated European research programme on controlled thermonuclear fusion implemented by the EU have enabled Europe to become a world leader in the field of research into fusion by magnetic confinement.

The progress made on the research and the results obtained, in particular with the European JET Tokamak, now make it possible to consider moving on to the "Next Step": the production of a machine capable of producing fusion reactions in conditions comparable to that of an energy production reactor.

The completion of the preparatory work on the detailed design of the "Next Step" in the context of the ITER international cooperation project makes it possible to take a decision about the launching of this project and the construction of the machine.

The objective of this will be to demonstrate the scientific and technological feasibility of fusion energy production. The precise arrangements for implementing the project will depend on the outcome of the negotiations at present under way in the framework of international cooperation and subsequent developments, more particularly the decisions taken concerning Europe's contribution to the ITER project and the site where the machine is to be installed. An appropriate legal framework will need to be established.

EU participation in the ITER initiative requires the implementation of an accompanying programme including the following elements:

- Operation of the JET machine in such a way as to derive benefit from the improvements currently being made, as well as possible participation in the research activities needed to complete the decommissioning of JET at the end of its life cycle.

- The continuation of research into fusion physics and technology, including: study and evaluation of alternative magnetic confinement formulas, with in particular the continuation of the construction of the Wendelstein 7-X "stellarator" and operation of the existing installations in the Euratom Associations; coordinated activities regarding technological research, in particular research into materials for fusion.

Realising the "Next Step" will mobilise significant human and financial resources. The current efforts of Euratom's European partners with regard to fusion should be adjusted accordingly, once a decision is taken about the construction of ITER.

2. Other activities in the field of nuclear safety and safeguards

On the basis of calls for proposals and in support of EU policies in the fields of health, energy and the environment:

- Research in the field of radiation protection, more particularly with regard to the quantification of the risks associated with low levels of exposure;

- Studies of innovative concepts for new and safer processes for the exploitation of nuclear energy;

- Education and training concerning nuclear safety and radiation protection.

3. Activities of the joint research centre

In accordance with its task of providing scientific and technical support for EU policies, the JRC will focus its activities on the following fields:

3.1 Nuclear safety and security:

Waste treatment and storage, in particular separation and transmutation techniques for long-lived actinides; radiation protection; safety of existing reactors (with priority for reactors in the candidate countries), as well as reactors of the new generation; control of fissile materials and support for their non-proliferation; monitoring the decommissioning of obsolete nuclear installations.

3.2 Measurements and reference materials:

Radionuclide metrology, in particular in the case of low activity and round robin tests in the framework of networks of laboratories of excellence; interaction between neutrons and matter for the generation of base data for studies concerning the transmutation of waste and the development of new systems.

LEGISLATIVE FINANCIAL STATEMENT

Policy area(s): Research

Activity(ies): Research and training activities under the Euratom Treaty

Title of action:

Proposal for a Council Decision concerning the multiannual framework programme 2002-2006 of the European Atomic Energy Community (Euratom) for research and training activities aimed at contributing towards the creation of the European Research Area, hereinafter referred to as the "framework programme".

1. BUDGET LINE(S) + HEADING(S)

Subsection B6

2. OVERALL FIGURES

2.1. Total allocation for action (Part B): EUR 1 230 million for commitment

2.2. Period of application:

2002-2006

The arrangements for renewal of the action are provided for in Article 7 of the Euratom Treaty.

2.3. Overall multiannual estimate of expenditure

a) Schedule of commitment appropriations/payment appropriations (financial intervention) (see. point 6.1.1)

EUR million (to 3 decimal places)

>TABLE POSITION>

b) Technical and administrative assistance and support expenditure (see point 6.1.2)

>TABLE POSITION>

>TABLE POSITION>

c) Overall financial impact of human resources and other administrative expenditure (see points 7.2 and 7.3)

>TABLE POSITION>

>TABLE POSITION>

2.4. Compatibility with the financial programming and the financial perspective

x( Proposal compatible with the existing financial programming

( This proposal will entail reprogramming of the relevant heading in the financial perspective

( This may entail application of the provisions of the Interinstitutional Agreement

2.5 Financial impact on revenue:

( No financial implications (involves technical aspects regarding implementation of a measure)

x( Financial impact - the effect on revenue is as follows:

Certain Associated States will contribute to the funding of the framework programme.

In accordance with Articles 92 and 96 of the Financial Regulation, the Joint Research Centre may benefit from revenue from various types of competitive activities and from other services provided for outside bodies.

In accordance with Article 27 of the Financial Regulation, certain revenue may be reused.

EUR million (to 1 decimal place)

>TABLE POSITION>

3. BUDGET CHARACTERISTICS

>TABLE POSITION>

4. LEGAL BASIS

Article 7 of the Euratom Treaty

5. DESCRIPTION AND GROUNDS

5.1 Need for Community intervention

Research is a central component of the knowledge-based economy and society developing worldwide. More than ever, it is proving to be one of the driving forces for economic and social progress, a key factor in business competitiveness, employment and the quality of life. In addition, science and technology are key elements in the policy-making process.

However, Europe still has structural weaknesses where research is concerned. In 1999 the EU invested EUR 70 billion less than the US in research and development. It is now lagging behind the United States and Japan in terms of research spending as a proportion of GDP (1.8% compared with 2.7 % and 3.1 % respectively), but also in terms of the number of researchers, patents and high-tech exports per capita.

Research needs to play a stronger and more pivotal role in the workings of the economy and society in Europe. This will entail stepping up public and private sector efforts in the EU, but will also entail coordinating the Member States' research efforts and coordinating these efforts with the EU's efforts.

It was in this connection that in January 2000 the Commission proposed the creation of a European Research Area [28]. Bringing it about will necessarily be the product of a joint effort by the EU, its Member States and research stakeholders.

[28] COM (2000)612 of 4 October 2000.

This will require first of all a number of initiatives, in particular of a legislative and regulatory nature, to remove the obstacles to the free movement of researchers, knowledge and technologies in Europe.

Alongside initiatives of this kind, actions in support of EU research have an important role to play.

In general, the public authorities are entitled to support research activity where the results generated have a "public good" value in addition to the benefit to the research performer. This is the case with fundamental research, but also with many targeted research activities. Public funding is legitimate and necessary where the research in question can contribute towards or is indispensable for implementing public policies, but also where it can help to resolve problems facing society and increase European competitiveness, by encouraging businesses to carry out risky or long-term research which is not immediately profitable in itself, and helping to increase the transparency of the knowledge market.

Support at European level, and more particularly at Community level, is justified more specifically on the basis of its "European added value"

This covers the following aspects:

- cost and scale of research beyond the possibilities of a single country, and necessitating a "critical mass" of financial and human resources;

- importance of collaboration in economic terms (economies of scale) and on account of the beneficial effects on private sector research and industrial competitiveness ;

- need to combine complementary expertise in the different countries, particularly in the face of interdisciplinary problems, and to carry out comparative studies on a European scale;

- links with the EU's priorities and interests, and with Community legislation and policies;

- the necessarily transnational nature of research, on account of the scale on which the problems arise (environment) or for reasons of a scientific nature (comparative studies, epidemiology).

Moreover, the European added value of Community action in the research field has been assessed and confirmed by an ex-ante evaluation, which also indicated certain desirable developments as regards its implementation, and the ex-post evaluation of actions under way.

Measures taken in connection with ex-ante evaluation

The ex-ante evaluation carried out by the Commission services when preparing the framework programme proposal gave rise to the following guidelines:

- A new Euratom framework programme is needed in order to help bring about the European Research Area.

- In the case of the part on fission, this will require major changes compared with the past, both in terms of its field of action and in terms of its means of intervention, and in particular.

- strengthening the links with national research activities in order to increase the efficiency of spending on research in Europe

- refocusing actions on a limited number of objectives which can only be achieved at Community level

- adapting the means of intervention to the objectives in order to achieve in particular greater efficiency, impact and visibility.

- In the case of the fusion part, the completion of the preparatory work on the detailed design of the "Next Step" in the context of the ITER international cooperation project makes it possible to take a decision about the launching of this project and the construction of the machine. The objective of this will be to demonstrate the scientific and technological feasibility of fusion energy production. The precise arrangements for implementing the project will depend on the outcome of the negotiations at present under way in the framework of international cooperation and subsequent developments, more particularly the decisions taken concerning Europe's contribution to the ITER project and the site where the machine is to be installed.

With a view to improving the performance of EU action in terms of cost and efficiency, these ex-ante evaluation measures will be completed by the definition of testable objectives in the proposals for specific programmes.

Measures taken following ex-post evaluation

The recommendations of the five year assessment of the framework programmes have been taken into account in preparing this proposal, with a view to:

- placing EU research activities in the broader context of a European research policy;

- reinforcing the concentration of the programmes;

- continuing with the research needed to achieve the objectives of EU policies;

- the move towards an adapted range of instruments that are more flexible, taking account of all the possibilities offered by the Treaty.

5.2 Actions envisaged and arrangements for budget intervention

In the field of fission and radiation protection, the Community will contribute financially:

- in the priority thematic areas of research, to networks of excellence aimed at promoting excellence by means of deep and lasting integration of the excellence capacities existing in several Member States; and to integrated projects, of an order of magnitude of around EUR 10 million carried out by consortia often involving strong university/industry collaboration;

- to research activities carried out in support of Community policies in the fields of health, energy and the environment;

- to actions aimed at exploiting the results of research and transfer of knowledge;

- to the development of human resources and mobility of researchers through the granting of overall and individual support for research and training activities of the highest level of excellence and necessitating multinational expertise;

- to support for research infrastructures in all the fields of science and technology, from the point of view of transnational access, for implementing integrated initiatives, for carrying out feasibility studies, and, to a limited extent, for developing new infrastructures;

- to activities for coordinating research and technological development policies; mutual opening-up of national programmes, networking of national research activities, scientific cooperation initiatives in other European cooperation fora and collaboration between the organisations concerned.

In the field of fusion energy research, the particular nature of the activities in this area necessitates the implementation of special arrangements.

The projects undertaken will be carried out on the basis of procedures set out in:

- contracts of association,

- the European Fusion Development Agreement (EFDA);

- any other multilateral agreement concluded between the Community and associated organisations and/or legal entities which may be set up, after the competent consultative committee has given its opinion;

- other contracts of limited duration, in particular with bodies in the Member States or the States associated with the Euratom framework programme;

- international agreements covering projects carried out in the framework of cooperation with third countries, such as the ITER.

The activities to coordinate and support fusion energy research may concern studies in support of the activities described above, support for information exchange, recourse to external expertise capacities, including for the independent evaluation of activities, fellowships and training schemes, publications and other actions to promote technology transfer.

The Community's budgetary intervention is aimed at research centres, universities, businesses and national or international bodies situated in the Member States and the European Associated States which fund research activities. These latter may also act as intermediaries for the Community budgetary intervention. Where this proves necessary to achieve the objectives of the programme, international organisations and bodies in the Member States of the CIS may exceptionally receive Community funding. Such funding must be essential in order to achieve the objectives of the programme.

The Community carries out research and development activities directly through the Joint Research Centre.

5.3 Means of implementation

The framework programme sets out the maximum overall amount and the detailed rules for the Community's financial participation.

These amounts cover the funding of the research activities as well as staff and administrative expenditure.

6. FINANCIAL IMPACT

6.1. Total financial impact on Part B (over the entire programming period)

For the record, the reference allocation for the framework programme of the European Community is EUR 16 270 million. The total amount for the framework programmes 2002-2006 is EUR 17 500 million.

6.1.1 Financial intervention: Commitments in EUR million (to 3 decimal places)

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6.2. Calculation of costs by measure envisaged in Part B (over the entire programming period)

(Where there is more than one action, give sufficient detail of the specific measures to be taken for each one to allow the volume and costs of the outputs to be estimated.)

Commitments in EUR million (to 3decimal places)

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If necessary explain the method of calculation

7. IMPACT ON STAFF AND ADMINISTRATIVE EXPENDITURE

With a view to prudent use of resources, staff costs and administrative expenses will be closely scrutinised in the light of the new structure of the framework programme. This examination will take place when the Decisions adopting the specific programmes implementing the framework programme are taken.

The envisaged move towards greater decentralisation of responsibilities for implementing research activities will enable the Commission to propose a reduction in the administrative costs of managing the programmes. Thanks to the new instruments and implementation methods, staff costs and administrative expenses will represent a smaller proportion of the resources than hitherto. Nevertheless, the administration of projects in progress under earlier framework programmes will still have to be assured.

8. FOLLOW-UP AND EVALUATION

8.1 Follow-up arrangements

Progress towards making a reality of the European Research Area will be regularly evaluated.

The new framework programme, the first to be designed to help bring about the European Research Area, is an instrument that will be implemented in parallel with other activities by the Community and the Member States in pursuit of the same objectives. The very nature of research and the different types of actions at different levels complicates monitoring and evaluation. They will be set out in more detail in the decisions on the specific programmes.

Nevertheless, a series of instruments has already been or is in the process of being developed to monitor and evaluate the results and impact of the framework programme. These instruments are based essentially on data from the specific programmes implementing the framework programmes.

A series of indicators specifically adapted to the framework programme will be developed, to make it possible to quantify in particular the production, management and networking, exploitation and impact of the knowledge arising from the activities carried out under the framework programme. They will be defined so as to take account of the objectives fixed by the Treaty, notably that of promoting equality between men and women mentioned in Article 3(2) and that of reinforcing economic and social cohesion, mentioned in Article 158.

8.2 Arrangements and schedule for the planned evaluation

- Annual monitoring: The Commission will, where appropriate by calling upon suitable expertise, continuously monitor the implementation of the framework programme in the light of the objectives set. It will assess, in particular, whether the objectives, priorities, instruments, financial resources and management are still appropriate to the changing situation.

- Annual report : Progress with implementing the framework programme will be published in the annual report submitted to the European Parliament and the Council pursuant to Article 173 of the Treaty. It will set out in particular the results of the annual monitoring, a description of the activities carried out in the field of research and technological development and dissemination of results during the preceding year, and the work programme for the current year.

- Five-year assessment: Before submitting its proposal for the next framework programme, the Commission will have an assessment carried out by independent high-level experts of the implementation of Community activities during the five years preceding that assessment in the light of the objectives applicable to the periods in question. The Commission will communicate the conclusions of this assessment, accompanied by its observations, to the European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions.

9. ANTI-FRAUD MEASURES

The anti-fraud arrangements will be described with the specific programmes implementing the framework programme.