title: MITTEILUNG DER KOMMISSION AN DEN RAT, DAS EUROPÄISCHE PARLAMENT UND DEN WIRTSCHAFTS- UND SOZIALAUSSCHUSS - Bewertung der Gemeinsamen Forschungstelle-1992-1996

eurovoc_concepts:
EU programme
Joint Research Centre
activity report
project evaluation
research programme

text: KOMMISSION DER EUROPÄISCHEN GEMEINSCHAFTEN Brüssel, den 22. 04. 1997 KOM(97) 164 endg. MITTEILUNG DER KOMMISSION AN DEN RAT. DAS EUROPÄISCHE PARLAMENT UND DEN WIRTSCHAFTS- UND SOZIALAUSSCHUSS Bewertung der Gemeinsamen Forschungstelle 1992-1996 ENTWURF STELLUNGNAHME DES VERWALTUNGSRATS DER GEMEINSAMEN FORSCHUNGSSTELLE ZUR BEWERTUNG DER GFS UND IHRER ARBEIT Allgemeines 1. Wie in dem Beschluß der Kommission vom 10. April 1996 über die Reorganisation der Gemeinsamen Forschungsstelle dargelegt, befaßt sich der Verwaltungsrat der Gemeinsamen Forschungsstelle insbesondere mit 'Besuchergruppen' "der Bewertung der Forschungsarbeiten durch unabhängiger Sachverständiger ihrer Empfehlungen". Da die Bewertung des Vierten Rahmenprogramms derzeit stattfindet, initiierte der Verwaltungsrat dementsprechend eine Bewertung zur Ergänzung der im März 1995 (KOM[95] 60 endg. ) veröffentlichten Bewertung, die eine Gesamtanalyse der Fortschritte durch Sir Hermann im Einklang mit Artikel 7 Absatz 3 der Bondi enthielt. Dies steht Entscheidungen der Gemeinsamen Forschungssteile durchzuführenden spezifischen Programme (1995-1998)1. der Berücksichtigung des Rates über die und von 2. Der vorliegende Bericht enthält im Anhang erneut Einzelberichte über jedes GFS-Inslitut sowie eine Analyse und eine Zusammenfassung des gegenwärtigen Stands und Empfehlungen für die Zukunft von Professor Juan M. Rojo, Universität Complutense/Madrid, ehemals Minister für Hochschulen und Forschung in Spanien. Stellungnahme 3. Der Verwaltungsrat hat die Bewertungsberichte der einzelnen Institute und den Gesamtbericht über die GFS von Professor Rojo geprüft und begrüßt die Weiterführung der allgemeinen Fortschritte, die bei der vorhergehenden Bewertung festgestellt wurden. Die meisten Empfehlungen jenes früheren Berichts wurden befolgt; sie bleiben für den Verwaltungsrat ein wichtiges Instrument zur Bewertung erzielter Fortschritte und dienen als Anhaltspunkte zur künftigen Orientierung. 4. Der Verwaltungsrat stellt fest, daß für die Berichte in den meisten Fällen Meinungen von Nutzern der GFS-Dienste innerhalb und außerhalb der Kommission eingeholt wurden. Er erkennt und weist im Hinblick auf die Verbesserung des künftigen Besuchergruppen zu erteilenden Mandats darauf hin, daß diese Art von Feedback angesichts der Tendenz einer intensiveren Unterstützung der Kommissionsdienststellen an Bedeutung gewinnt. 1 ABl. Nr. L 361 vom 31. 12. 1994, S. 114 und S. 132. 5. Professor Rojos Bericht zufolge wurden in den zwei Jahren seit dem vorigen Bericht Fortschritte bei Projektmanagement, Qualitätsmanagement und Marketing erzielt. Der Verwaltungsrat nimmt dies mit Befriedigung zur Kenntnis, weist jedoch in Übereinstimmung mit Professor Rojo darauf hin, daß noch weitere Verbesserungen möglich und notwendig sind. Alle Maßnahmen, die eine Steigerung der Transparenz der G FS-Aktivitäten, mehr Offenheit und eine Verbesserung des Erscheinungsbilds der GFS in der Öffentlichkeit bewirken würden, sollten ergriffen werden. Der Verwaltungsrat nimmt erfreut zur Kenntnis, daß in diesem Bericht und in den Berichten der sieben Besuchergruppen wichtige Empfehlungen ausgesprochen werden, die eine wesentliche Grundlage für die künftige bilden. Diese Orientierung Empfehlungen werden vom Verwaltungsrat im Hinblick auf eine möglichst vollständige Umsetzung wohlwollend geprüft werden. Hierzu gehört auch die Empfehlung, die Aktivitäten der GFS zu fokussieren. der Gemeinsamen Forschungsstelle 6. Problematische Aspekte der Personalpolitik und insbesondere der Verfahren zur Einstellung hervorragender Wissenschaftler im Rahmen der relativ starren Kommissionsverfahren werden erneut in allen Berichten erwähnt. Dies ist derzeit, da viele Mitarbeiter das Pensionsalter erreichen, für die GFS eine besonders kritische Frage. Der Verwaltungsrat wird über das für Forschung zuständige Mitglied der Kommission bei dieser auch künftig auf eine größere Flexibilität auf diesem Gebiet drängen. Die von den bestehenden Bestimmungen gebotenen Möglichkeiten sind ausgeschöpft, und der Verwaltungsrat nimmt Professor Rojos Empfehlung zur Kenntnis, wonach dringend neue Konzepte und Strukturen zu prüfen sind. 7. Abschließend äußert der Verwaltungsrat seine Befriedigung über die Anstrengungen des Generaldirektors und seiner Mitarbeiter bei der Umsetzung der im Rahmen früherer Bewertungen ausgesprochenen Empfehlungen zur Steigerung der Effizienz der GFS und zur Erfüllung ihrer Aufgaben; hierzu gehört auch die Steigerung der Wettbewerbsfähigkeit der europäischen Industrie. Die Umsetzung dieser Empfehlungen hat sich sichtbar und sehr positiv auf die Gemeinsame Forschungsstelle ausgewirkt. Der Verwaltungsrat beabsichtigt deshalb die Beibehaltung des Besuchergruppensystems als zusätzliche Methode, um die Wissenschaftler der GFS mit der Außenwelt zu konfrontieren. 8. Der Verwaltungsrat würdigt in vollem Umfang die sorgfältige und wertvolle Arbeit von Professor Rojo sowie das Engagement der Vorsitzenden der Besuchergruppen und aller ihrer Mitglieder und spricht sämtlichen Beteiligten seinen herzlichen Dank aus. W Gemeinsame Forschungsstelle GFS 1992-1996 Gesamtbeurteilung und Zusammenfassung der Gutachterberichte J. M. Rojo Universidad Complutense Madrid 16. Dezember 1996 4 ID INHALT Zusammenfassung 1. Einleitung Kurze Beurteilung der einzelnen Institute Globale Beurteilung der GFS 4. Zukunftsperspektiven 5. Schlußfolgerungen und Empfehlungen ANHANG I: Gutachterberichte über die einzelnen Institute ANHANG II: Zusammenfassende Aufstellung der Empfehlungen der Gutachtergruppen für die einzelnen Institute ANHANG III: Zusammensetzung der Gutachtergruppen ANHANG IV: Leistungsbeschreibung der Gutachtergruppen Zusammenfassung Ich bin der Ansicht, daß die GFS seit der ermutigenden Analyse Sir Hermann Bondis vor drei Jahren eindeutig Fortschritte erzielt hat. Sowohl der Verwaltung als auch dem Aufsichtrat der Forschungsstelle kommt beträchtlicher Verdienst für diese stetige Entwicklung zu. Ferner ist zu bemerken, daß die meisten der in der vorausgehenden Beurteilung ausgesprochenen Empfehlungen umgesetzt wurden. Ich bin davon überzeugt, daß die Empfehlungen der beigefügten ausgezeichneten Gutachterberichte für die Institute ebenfalls von großem Nutzen sein werden. Durch die Leitlinien des Rates wurde die Definition der Ziele der GFS wesentlich klarer; die GFS wurde bedeutend leichter zugänglich; die Unterstützung der Kommissionsdienststellen und der Unionspolitik wurde verstärkt und die GFS in einem breitangelegten Netzverbund mit Forschungseinrichtungen, arbeitete Behörden und Unternehmen zusammen. Sie hat insbesondere rasch und in allen Bereichen auf den neuen Auftrag, •wettbewerbsfähig zu sein, reagiert: sie hat erfolgreich an Aktionen auf Kostenteilungsbasis des Rahmenprogramms der Union teilgenommen und ist allmählich immer mehr an gemeinsamen Unternehmen mit der Industrie beteiligt. Mit einigen personellen Veränderungen in der GFS-Leitung sind neue und intensive Bemühungen um Projektkontrolle, Qualitätsmanagement und Marketing zu verzeichnen, um die wissenschaftlich-technische Tätigkeit der GFS stärker sichtbar und ihre Funktionsweise transparenter und verständlicher zu machen. Ferner ist ein Einstellungswandel festzustellen: ein Großteil des Personals scheint jetzt davon überzeugt zu sein, daß ein stärker wettbewerbsorientiertes Konzept der GFS Vorteile bringt. Diese erfolgreiche Politik muß unbedingt weiter unterstützt werden; entsprechend dem Rat einiger Gutachtergruppen empfehle ich, das Konzept durch die schrittweise Einsetzung von Kundenberatungsgremien in allen Instituten weiter auszubauen. Diese Gremien sollten die Relevanz der Maßnahmen im Rahmen der Projekte fördern und die Bedürfhisse der Kunden sowie deren Meinung zur Funktionsweise der Institute - insbesondere im Zusammenhang mit dem Ergebnistransfer - weiterleiten. Um die institutionellen und wettbewerbsorientierten Forschungsarbeiten im Rahmen ihres Auftrags durchzuführen, muß die GFS als Partner über außerordentliche Qualifikationen verfugen. Es ist erfreulich, feststellen zu können, daß die GFS in einigen Kernbereichen weiterhin wissenschaftliche Höchstleistungen erbringt und dies in weiteren Bereichen anstrebt. Um das Streben nach Qualität zu unterstützen, schlage ich die Einsetzung eines ständigen wissenschaftlichen Beratungsgremiums vor, das dem Aufsichtsrat Bericht erstattet. Ein solches Gremium sollte die Qualität der laufenden Forschungsarbeiten bewerten und insbesondere Wissenschaftlergruppen in den Instituten ermitteln, die Höchstleistungen erbringen; ferner sollte es bei der orientierenden Forschung beraten. Das Gremium würde den Gutachtergruppen wertvolle Informationen liefern können. Ein Feind von Höchstleistungen ist die unkontrollierte Diversifizierung. Es müssen unbedingt Schwerpunkte gesetzt werden; die GFS bearbeitet ein zu breites Themenspektrum. Es ist sicherlich vorzuziehen, daß die GFS in einer begrenzten ihre Spitzenleistungen anerkannt wird, als eine Anzahl von Bereichen für durchschnittliche Allzweckeinrichtung zur Verfugung zu haben. Schließlich ist die Tätigkeit der GFS im Zusammenhang mit der Subsidiarität zu sehen; es ist sinnlos, in den Mitgliedstaaten bestehende Anlagen noch einmal zu schaffen, wenn kein eindeutiger Vorteil zu erwarten ist. Ebenso sollte die GFS alles tun, um Routinearbeiten zu vermeiden, auch wenn diese von Dritten angefordert werden. Damit sich die positive Entwicklung der GFS fortsetzt, sollte dem Personalbereich besondere Aufmerksamkeit geschenkt werden. Im Hinblick auf die Einstellungen habe ich ernste Bedenken für die Zukunft. Wie bereits in früheren Beurteilungen festgestellt wurde, ist es nach wie vor problematisch, ein offensichtlich für die Einstellung von Beamten entwickeltes System mit dem Ziel der Einstellung hochqualifizierter Wissenschaftler einzusetzen. Es ist viel zu unflexibel und langsam, um den heutigen Bedürfnissen gerecht zu werden, geschweige denn denen des nächsten Jahrhunderts. Einige kleinere Verbesserungen sind festzustellen, es ist jedoch eine grundlegende Reform erforderlich; ich schlage vor, unverzüglich ein Gremium zur Behandlung dieser Frage einzusetzen, das auch mögliche Änderungen der geltenden Vorschriften erwägen sollte. Ich bin zuversichtlich, daß die jüngste Umwandlung der GFS in eine unabhängige Generaldirektion dazu beitragen kann, den besonderen Bedürfhissen eines Forschungszentrums im Rahmen der Europäischen Kommission gerecht zu werden. Mobilität ist ein weiterer wichtiger Aspekt, der neu belebt werden muß. Durch die Förderung der Aufnahme von Wissenschaftlern in der Ausbildung aus anderen Einrichtungen und der regelmäßigen Anwesenheit von - insbesondere promovierten - Studenten sollte erreicht werden, daß der Fluß neuer Ideen in den Instituten nicht abreißt. Abschließend eine Bemerkung zum Bereich Energie. Ich schließe mich voll den Bedenken meines bedeutenden Vorgängers bezüglich des Rückgangs der Kernenergieforschung an. Unabhängig von der persönlichen bzw. politischen Ansichten zur Kernenergie in den Mitgliedstaaten müssen wir uns nach wie vor mit der nuklearen Sicherheit, der Abfallbehandlung, der Nichtverbreitung von Kernwaffen und anderen Themen beschäftigen. Diese Themen betreffen alle Mitgliedstaaten gleichermaßen und sollten auf europäischer Ebene behandelt werden. Es ist darauf hinzuweisen, daß die GFS in einigen kerntechnischen Bereichen höchst kompetent ist. Zusammenfassend bin ich der Ansicht, daß sich die GFS heute auf dem richtigen Weg befindet; die derzeitigen Maßnahmen sind angemessen und zufriedenstellend und haben die GFS bereits - da sie durch eine effiziente Leitung unterstützt wurden - zu einem nützlichen Partner für Behörden und Unternehmen in Europa werden lassen. Damit sich diese positive Tendenz fortsetzt, sollten einige Schritte, zumindest im Zusammenhang mit Personalverwaltung, Qualitätszielen und Schwerpunktsetzung bei den Forschungsgegenständen unternommen werden, für die Empfehlungen ausgesprochen werden. 1. Einleitung Forschung, technologische Entwicklung und Demonstration ist einer der wichtigsten Politikbereiche des Vertrags über die Europäische Union, der nach der finanziellen Bedeutung an dritter Stelle steht. Der Grund für diese hervorgehobene Stellung ist die Überzeugung, daß die grundlegenden Ziele der Europäischen Union, industrielle Wettbewerbsfähigkeit und bessere Lebensqualität, nur mit soliden wissenschaftlich technischen Grundlagen erreicht werden können. Die EU ist von jeher und in zunehmendem Maße im Bereich Forschung, technologische Entwicklung und Demonstration tätig gewesen; die Schwerpunktbereiche und auch die Art der Maßnahmen wechselten jedoch häufig. Die Rolle der Gemeinsamen Forschungsstelle (GFS) wurde ebenfalls mehrmals angepaßt. in einen einiger Sicherheit den Mitgliedstaaten Spezialgebiete wie Umwelt und ehemaliger Kernforschungszentren Nachdem das Interesse an der Kernspaltung zurückging, mußten spezialisierte Kernforschungseinrichtungen schwierigen Umstellungsprozeß mitmachen. Die GFS war hier keine Ausnahme; einige ihrer auch derzeitigen Forschungsgegenstand den Mitgliedstaaten. Daher ist es nicht ungewöhnlich, daß die Strategie der GFS in der Vergangenheit häufig defensiv war. Es überrascht auch nicht, daß die europäischen Entscheidungsträger im Hinblick auf die von der GFS zu erreichenden Ziele und die Verfahren zur Bewertung ihrer Leistung in den letzten Jahren unterschiedliche Definitionen vorgenommen haben. Zuletzt wurde 1994 die "neue Rolle" der GFS von diesem Rat, Parlament Zusammenhang wird u. a. hervorgehoben, daß sich die GFS - häufig als Partner von Unternehmen - stärker an den genannten wettbewerbsorientierten Maßnahmen beteiligen sollte. und Kommission einvemehmlich festgelegt. sind In in Gegenstand der vorliegenden Beurteilung ist zwar der Zeitraum 1992-1996 (wobei der Bondi-Bericht zur Beurteilung der Jahre 1992-1994 voll berücksichtigt wird), die Einführung der genannten "neuen Rolle" der GFS nach der Hälfte dieses Zeitraums legt jedoch nahe, den Schwerpunkt auf die Leistung der GFS im Hinblick auf diese neue Rolle zu legen, d. h. auf die letzten zwei Jahre. Dies war auch die Ansicht der Gutachtergruppen, die die einzelnen GFS-Institute besuchten und in ihren Berichten der Durchführung der neuen, stärker wettbewerbsorientierten Tätigkeiten besondere Aufmerksamkeit schenkten. Diese Berichte heben die positive Entwicklung der Leistung der GFS in den letzten zwei Jahren hervor, wodurch die im Bondi-Bericht ausgesprochenen Erwartungen bestätigt wurden. Die Bedeutung der Einzelberichte der Gutachtergruppen kann kaum überschätzt werden, da die Prüfungen auf äußerst kompetente und professionelle Weise durchgeführt wurden. Abgesehen von einem geringen Beitrag, der sich aus persönlichen Gesprächen mit den Institutsdirektoren und dem Personal ergibt, stützt sich meine Beurteilung im wesentlichen auf die genannten Berichte. Mein Bericht ist wie folgt aufgebaut: unter Punkt 2 nenne ich die wichtigen Punkte der Einzelberichte und versuche, Gemeinsamkeiten aufzudecken. Es folgt eine allgemeinere Erörterung der Leistungen der GFS in den letzten fünf Jahren (Punkt 3) unter Berücksichtigung der in den entsprechenden Beschlüssen der europäischen Institutionen festgelegten Ziele. Ausgehend von der positiven Entwicklung der GFS untersuche ich vorausschauend Bereiche, in denen die GFS effizienter arbeiten kann als nationale Einrichtungen. Punkt 5 enthält Schlußfolgerungen und - allgemein gehaltene - Empfehlungen, die die spezifischen Empfehlungen der Gutachergruppen für die einzelnen Institute (Zusammenfassung in Anhang II) ergänzen sollen. 2. Kurze Beurteilung der einzelnen Institute Die vollständigen Berichte der Gutachtergruppen sind in Anhang I beigefügt. In ihnen werden die Tätigkeiten der Institute im Hinblick auf die in den Ratsbeschlüssen festgelegten Ziele bewertet und Empfehlungen für die Zukunft ausgesprochen. Unter diesem Punkt nenne ich einige zentrale Elemente dieser Berichte, die ich für aufschlußreich oder repräsentativ für aktuelle Fragen halte. Institut für Referenzmaterialien und -messungen (IRMM) * Das Institut spielt in dem einschlägigen Bereich auf EU-Ebene offensichtlich eine wichtige Rolle. Gäbe es das Institut nicht, müßte ein derartiges Zentrum geschaffen werden. * Das Institut hat offensichtlich zufriedenstellende Kompetenz und Anerkennung erreicht, insbesondere im Bereich der nuklearen Referenzmessungen. Es verfugt über spezielle Versuchsanlagen. * Buchhaltungs- und Verwaltungsverfahren müssen verbessert und an die besondere Aufgabe des Instituts angepaßt werden. * Neue Forschungsarbeiten dürfen nicht vernachlässigt werden; für die orientierende Forschung erscheint eine Mittelzuweisung von 10% angemessen. Institut für Transurane (ITU) * Meiner Ansicht nach ist das ITU das höchstqualifizierte GFS-Institut. Es sollte alles darangesetzt werden, im Zusammenhang mit den Einstellungen anläßlich des bevorstehenden Ruhestands einiger Mitarbeiter. aufrechtzuerhalten, diesen Status insbesondere * Das Institut hat erfolgreich wettbewerbsorientierte Tätigkeiten in die früher hauptsächlich forschungsorientierten Arbeiten integriert. * Bereiche, in denen die Arbeiten zur Routine werden, sind zu meiden; wenn der Übergang zur Routine abzusehen ist, sollten die Arbeiten anderen Einrichtungen übertragen werden. In allen Bereichen ist die Kreativität zu fördern (z. B. Analyse der S icherheitsüb erwachung). * In den zwei Bereichen der orientierenden Forschung traten in anderen europäischen Einrichtungen kürzlich neue Ideen zutage (z. B. der "Energieverstärker und Abfallverbrenner"). Das ITU sollte diese beurteilen, der Kommission berichten und gegebenenfalls ein Netz einrichten. Institut für Fortgeschrittene Werkstoffe (IAM) * Das Institut wurde beträchtlich umstrukturiert. Es erreichte Anerkennung im Bereich der Hochtemperaturwerkstoffe; in anderen Bereichen bestehen noch Verbesserungsmöglichkeiten. Eine Diversifizierung durch die Aufnahme von Bereichen, die bereits ausreichend erforscht werden, sollte vermieden werden. * Die Zukunft des Labors ETHEL (Tritiumbehandlung) sollte im Hinblick auf die Entwicklung des ITER und damit verbundener Fusionsprogramme erörtert werden. Die Relevanz dieser Anlage sollte unter Berücksichtigung der Anlagen in den Mitgliedstaaten überprüft werden. * Es werden Bedenken dahingehend geäußert, daß im Vergleich zu früher weniger Wissenschaftler an einem Austausch mit bekannten externen Einrichtungen teilnehmen. Dies halte ich für ein wesentliches Problem. * Die Übertragung von Arbeiten an Dritte scheint zuzunehmen; es wäre noch besser, wenn das Institut ausschließlich Grundlagenforschung - im Vorfeld, aber nicht im Rahmen der Industrieforschung - betreiben würde. Nach Ansicht der Gutachtergruppe sollten Aktionen auf Kostenteilungsbasis gefördert werden. Institut für Systemtechnik, Informatik und Sicherheit (ISIS) * Dieses Institut entstand durch die Zusammenfassung zweier früherer Institute. Ein neuer Direktor wurde ernannt, der selbstverständlich noch dabei ist, Ziele und Verfahren festzulegen. Die Leitung zeigte ein gutes Verständnis der Lage und große Entschlossenheit und dürfte durch entsprechende Ergebnisse belohnt werden. In * jüngster Zeit externen diese Forschungseinrichtungen wettbewerbsorientierte Haltung ist zu fördern. Der Vorschlag, Personal mit den Generaldirektionen der Kommission in Brüssel auszutauschen, erscheint im Hinblick auf eine stärker nutzerorientierte Vorgehensweise positiv. zusammenzuarbeiten; das Industrie bemühte und sehr, mit Institut sich der * Die Qualität der Arbeit ist generell zufriedenstellend. Die sehr große Bandbreite der Forschungsgegenstände des Instituts könnte auf die Kompetenzbereiche mit dem sollte die höchsten Niveau konzentriert werden. wissenschaftliche Führungsposition ausgebaut werden. einigen Bereichen In * Das Institut verfugt über einige einmalige Anlagen, deren Leistungsniveau unbedingt auf dem höchsten Stand erhalten werden muß. Es wird anerkannt, daß die Anlagen verstärkt von externen Nutzern in Anspruch genommen werden. Umweltinstitut (EI) * Das Institut scheint auf dem richtigen Weg zu sein, institutionelle und wettbewerbsorientierte Tätigkeiten auf einem angemessenen Qualitätsniveau durchzuführen. Die Leitung hat die Absicht, eine Führungsposition in Europa zu erreichen und dies in der Öffentlichkeit entsprechend bekannt zu machen; sie muß jedoch die zunehmende Tätigkeit der Mitgliedstaaten in diesen Bereichen in jedem Fall eine wohlüberlegte Schwerpunktsetzung berücksichtigen und vornehmen. * Die Leitung ist erfolgreich bei der Managementkontrolle und bei der Förderung neuer Ideen, ohne die institutionelle und wettbewerbsorientierte Tätigkeiten nicht effizient durchgeführt werden könnten. * Die institutionellen Tätigkeiten sind in diesem Bereich von wesentlicher Bedeutung. Die Ergebnisse des EI beim Vergleich von Verschmutzungsmessungen aus Blindversuchen, durchgeführt von verschiedenen nationalen Referenzlabors, waren mit Abweichungen von über 50% erstaunlich. Die Bedeutung dieser Arbeiten für die Durchführung der Umweltpolitik kann kaum überschätzt werden. * Ich unterstütze unbedingt den Vorschlag der Gutachtergruppe, die Tätigkeiten im Bereich der Wasserforschung und -bewirtschaftung zur vollen Kapazität auszubauen. In diesem Bereich ist eine unabhängige und neutrale Referenzstelle mit der erforderlichen wissenschaftlichen Kompetenz unerläßlich. Institut für raumfahrttechnologische Anwendungen (SAI) * Das Institut verfügt über einmalige Erfahrungen im Bereich der Fernerkundung und Erdbeobachtung. Eine strengere Kontrolle der wissenschaftlichen Qualität (Förderung von Veröffentlichungen in renommierten Zeitschriften) und der Leistungen im Rahmen wettbewerbsorientierter Projekte (bessere Festlegung von Einzelzielen und Etappen) wäre von Nutzen. * Da die Fernerkundung naturgemäß bereichsübergreifend und bei der Lösung vieler Fragen von Nutzen ist, muß darauf geachtet werden, daß das Institut sich nicht - was die derzeitige Tendenz ist - in zu vielen Bereichen spezialisiert. Eine Beschränkung auf die zentralen Kompetenzbereiche des Instituts (Fernerkundung und Anwendung von Netzen) wäre vorzuziehen. * Im Hinblick auf Interdisziplinarität ist eine bessere Zusammenarbeit mit anderen Instituten - insbesondere dem Umweltinstitut - erforderlich. Institut für technologische Zukunftsforschung (IPTS) *Es handelt sich um ein vor sehr kurzer Zeit entstandenes Institut, das sich bei den Auftraggebern um einen guten Ruf bemüht und beginnt, die für die Befriedigung des künftigen Bedarfs erforderliche Infrastruktur aufzubauen. Aufgrund des Standorts müssen Telekommunikation und World Wide Web voll genutzt werden. Das Institut muß den Nachweis seiner Kompetenz noch liefern und volle Anerkennung erreichen. * Die früher ausgesprochenen Empfehlungen im Zusammenhang mit Einstellungen in Sevilla und der Inbetriebnahme des Europäischen Wisserischafts- und Technologieobservatoriums (ESTO) wurden befolgt. * Die generellen Empfehlungen im Hinblick auf die Schwerpunktsetzung gelten in noch stärkerem Maße für das IPTS. In Bereichen, in denen die Industrie und Laboratorien in Europa seit langem tätig sind, sollten Arbeiten nicht gefördert werden. * Das Institut nutzt seine geographische Lage, um in mediterranen und nordafrikanischen Fragen eine Führungsposition zu erreichen. Meiner Ansicht nach sollte dieses Prinzip unbedingt verstärkt zum Tragen kommen, möglicherweise - wie bereits von der Gutachtergruppe angesprochen - durch die Entwicklung eines Programms und Wettbewerbsfähigkeit. des Bereichs Technologie, Beschäftigung außerhalb 3. Globale Beurteilung der GFS In seinem Bericht über den Zeitraum 1992-1994 stellte Sir Hermann Bondi fest, daß die GFS sich bereits auf dem Weg dazu befindet, in vielen ihrer Tätigkeitsbereiche ein für seine Spitzenleistungen anerkanntes Zentrum zu werden. Es freut mich, zwei Jahre später feststellen zu können, daß im Hinblick auf dieses Ziel stetige Fortschritte gemacht werden. Betrachtet man den Fünfjahreszeitraum seit 1992, kann man sicherlich sagen, daß die GFS innerhalb der europäischen FTE eine besondere Stellung eingenommen hat und seine Aufgaben mit immer größerer Kompetenz wahrnimmt. Durch die Anwendung der Leitlinien des Rates kam die GFS zu einer wesentlich klareren Festlegung ihrer Ziele und öffnete sich Dritten gegenüber bedeutend mehr; sie verstärkte ihre Tätigkeit zur Unterstützung der Kommissionsdienststellen und der Unionspolitik sowie in umfassenden Netzen mit Forschungseinrichtungen, Behörden und Unternehmen. Das neue Management bemüht sich mit neuen Maßnahmen intensiv um Projektkontrolle, Qualitätsmanagement und Marketing, um den Bekanntheitsgrad der wissenschaftlich-technischen Tätigkeit der GFS zu erhöhen und deren Funktionsweise transparenter und verständlicher zu machen. Ferner ist ein Mentalitätswandel festzustellen, denn ein Großteil des Personals ist jetzt davon überzeugt, daß ein stärker wettbewerbsorientiertes Konzept für die GFS von Nutzen ist. Es ist etwas verfrüht, die Auswirkungen der Neuverteilung der Aufgaben auf die Institute zu beurteilen, da erst kürzlich ein Zusammenschluß und Neuorientierungen stattfanden, es besteht jedoch kein Zweifel, daß die Koordinierung zwischen den Instituten verstärkt werden sollte. Es ist darauf hinzuweisen, daß ein wettbewerbsorientiertes Management nicht zu Lasten der wissenschaftlich-technischen Qualität gehen darf. Es gibt keinen Transfer, wenn keine signifikanten Kenntnisse oder Know-How vorhanden sind, die weitergegeben werden können. Der Schwerpunkt sollte nicht zu sehr auf den Nachweis der "Nützlichkeit" gelegt werden; um wettbewerbsfähig zu werden, müssen Anerkennung und ausgewählte Unterstützung von Wissenschaftlergruppen in den Instituten, die hochwertige Arbeit leisten, unbedingt Priorität erhalten. Die GFS hat in einigen Kernbereichen ihre hohe wissenschaftliche Kompetenz aufrechterhalten können und bemüht sich in neuen Bereichen um Spitzenleistungen; allerdings muß die Einstellungspolitik überdacht werden, wenn diese vielversprechende Entwicklung aufrechterhalten werden soll. Die Verwaltungsverfahren der GFS scheinen femer weniger bürokratisch und transparenter geworden zu sein. Im Zusammenhang mit beiden Aspekten ist zu begrüßen, daß die GFS kürzlich zu einer eigenen Generaldirektion wurde, da ein System zur Verwaltung der Schreibtischarbeit von Beamten für die Verwaltung eines FTE-Zentrums offensichtlich wenig geeignet ist. Die Lage der GFS kann heute zuversichtlich beurteilt werden, einige Bedenken bestehen jedoch weiterhin. Ich nenne nachstehend die wichtigsten von den Gutachtergruppen festgestellten Probleme, die ich aus eigener Erfahrung bestätigen kann. durch die Einstellung zahlreichen Pensionierungen 1. Personal: Es handelt sich um ein generelles Problem, das Schlüsselelement fur die Zukunft der GFS. Es ist sicherzustellen, daß die in den nächsten Jahren zu junger, erwartenden hochqualifizierter Mitarbeiter ausgeglichen wird. Die Einstellungsverfahren sind längst noch nicht effizient. Das gesamte Verfahren ist dahingehend abzustimmen, daß Dreijahresverträge zur Prüfung der FTE-Fähigkeiten von Bewerbern für zeitlich befristete Positionen (Halb-Dauerverträge) eingesetzt werden könnten. Meiner Ansicht nach kann nur eine Gesamtanalyse des Problems zu wesentlichen Verbesserungen eines einschlägigen Gremiums. Da oft darauf verwiesen wird, daß sehr notwendige Reformen im Widerspruch zu den EU-Vorschriften stehen, könnte dieses Gremium z. B. die Änderung einiger dieser Vorschriften für FTE-Zentren empfehlen. insbesondere die Einsetzung ich empfehle führen; 2. Austausch von Forschern: Dies ist eine Maßnahme, die von einigen Instituten in der Vergangenheit hoch gelobt wurde, insbesondere, da dadurch die Ausbildung junger Forscher in neuen Bereichen unterstützt werde. Femer wird dadurch die Arbeit in Netzen erleichtert. Die Austauschaktionen scheinen jedoch rückläufig zu sein; dieser Tendenz ist entgegenzutreten. 3. Schwerpunktsetzung: Die Bandbreite der Themen ist viel zu groß. Es wäre sicher vorzuziehen, daß die GFS in einer begrenzten Anzahl von Bereichen als hochkompetent anerkannt wird, als über einen durchschnittlichen, vielseitig einsetzbaren Partner zu verfügen. 4. Verwaltung und Buchhaltung: Es ist anzuerkennen, daß seit dem letzten Bericht einige Fortschritte erzielt wurden (z. B. rasche Regelung von Personalproblemen bei Projekten mit Dritten). Es sind jedoch noch zahlreiche Verbesserungen erforderlich. Es wird vorgeschlagen, die Buchhaltungsverfahren generell zu überprüfen. 10 5. Koordinierung: Es ist anzuerkennen, daß seit dem letzten Bericht weitere Fortschritte erzielt wurden; eine stärkere Koordinierung zwischen den Instituten ist jedoch erforderlich. Die Programmdirektion scheint über sehr wenige Mitarbeiter zu verfügen und ist zu überprüfen. 6. Kernenergie: Abgesehen von ihrer Geschichte ist die GFS die "Speicherstelle" eines Großteils der europäischen Kenntnisse auf diesem Gebiet, vielleicht dem einzigen, auf dem es - in einigen Bereichen - als europaweit führend anerkannt wird. Dieses Kapital sollte in keinem Fall vernachlässigt werden. 4. Zukunftsperspektiven - und außerhalb innerhalb und des Rahmenprogramms Die GFS hat den Auftrag, drei Arten von Tätigkeiten durchzuführen: institutionelle Tätigkeiten - wettbewerbsorientierte. Die im Berichtszeitraum festzustellende positive Reaktion auf diese Herausforderung läßt vermuten, daß die Zeit für einen weiteren Schritt reif ist: es geht darum, die Tätigkeit der GFS allmählich auf Maßnahmen zu konzentrieren, bei denen der "europäische Mehrwerf (European Added Value) voll zum Tragen kommt. Anders ausgedrückt bedeutet dies, nicht mehr die Frage zu stellen: Können wir mit Infrastruktur und Personal der GFS etwas Nützliches tun?, sonderen vielmehr die wesentlich interessantere Frage: Gibt es FTE-Bereiche oder Tätigkeiten, für die eine Forschungseinrichtung der Union nützlich oder sogar erforderlich ist? Die FTE- Politik der Europäischen Union insgesamt beruht auf dem Prinzip der Subsidiarität. Es ist allgemein bekannt, daß die Mitgliedstaaten der EU über einige ausgezeichnete Laboratorien verfügen, sowohl in den Hochschulen oder nationalen Einrichtungen als auch in den Unternehmen. Es ist grundsätzlich die Frage zu stellen, ob auf europäischer Ebene ein Institut, das gezielte Forschungsarbeiten durchführt, erforderlich ist. Wird der Nutzen einer solchen Einrichtung anerkannt, ist weiter zu analysieren, ob die GFS derzeit die entsprechenden Anforderungen erfüllen kann. Auf der Grundlage der Schlußfolgerungen des Rates vom 26. April 19941 können drei Bereiche in Erwägung gezogen werden, in denen die GFS einen echten "europäischen Mehrwert" bieten könnte: Der erste Bereich wäre der spezifischer und schwieriger Probleme, deren Lösung eine kritische Masse an wissenschaftlich-technischer Kompetenz erfordert. Eine hohe Kompetenz würde dadurch gefördert, daß Mitarbeiter eingestellt werden, die zu den qualifiziertesten der Mitgliedstaaten zählen; diese würden in hochqualifizierten Wissenschaftlergruppen mit einer kritischen Masse an wissenschaftlicher Kompetenz arbeiten, die ihrerseits im Rahmen geeigneter Netze und Partnerschaften auf das europäische FTE-System Einfluß nehmen. Der zweite Bereich wäre Entwicklung, Aufrechterhaltung den Mitgliedstaaten allein nicht betrieben werden könnten. In der Vergangenheit wurden einige in Europa Großversuchsanlagen geschaffen oder ausgebaut. Der dritte Bereich wäre die im Rahmen der grenzüberschreitenden Zusammenarbeit und Betrieb von Großversuchsanlagen, die von Abi. Nr. C 126 vom 7. 5. 1994, S. 1 11 Durchfuhrung von Forschungs- und Entwicklungsarbeiten, bei denen Unparteilichkeit und Neutralität unbedingt erforderlich sind. Es muß nicht daraufhingewiesen werden, daß dies keinen praktischen Nutzen hätte, wenn die wissenschaftliche Qualität und Anerkennung nicht vorhanden wären. Nun ist die grundlegende Frage zu behandeln, ob die GFS zum gegenwärtigen Zeitpunkt realistisch gesehen in allen drei Bereichen kompetent ist. • Zunächst ist zu prüfen, ob die GFS den Rahmen für hochqualifizierte Wissenschaftlerteams bilden kann. Ich spreche selbstverständlich von wissenschaftlicher und technischer Qualifikation. Das Erreichen von sehr hoher Kompetenz ist nicht einfach; wenn eine Einrichtung über ein geringes Prestige verfügt, wird sie kaum die begabtesten Wissenschaftler interessieren, was seinerseits eine weitere Stagnation zur Folge hat. Man muß sagen, daß die GFS in der Vergangenheit kaum eine Referenz war, die Situation verbessert sich jedoch - wie unter Punkt 3 beschrieben - fortlaufend. Die derzeitige Leitung hat erreicht, daß das Personal heute engagiert und entschlossen ist und auf seine Fähigkeiten vertraut. Einige "bürokratische" Reaktionen sind jedoch immer noch festzustellen: so betonen einige Beamte bei der Beschreibung ihrer Arbeit, wie sie vorgehen, wollen jedoch kaum über den Gegenstand sprechen. Neue, vielversprechende Ideen müssen in allen Instituten voll unterstützt werden. Da bei der Unterstützung immer ausgewählt werden muß, wären für die Leitung der Institute genaue Informationen über die externe Einschätzung der Qualität der einzelnen Gruppen von großem Nutzen. Meiner Ansicht nach wäre die Einsetzung eines wissenschaftlichen Beratungsgremiums für den Aufsichtsrat (und die Gutachtergruppen bei ihrer regelmäßigen Beurteilung) sehr nützlich; dieses würde die Qualität der laufenden Forschungsarbeiten bewerten, insbesondere im Hinblick auf die Ermittlung von leistungsstarken Gruppen in den Instituten, und im Zusammenhang mit der orientierenden Forschung beraten. Man darf nicht vergessen, daß nur leistungsstarke Gruppen bei wettbewerbsorientierten Partnerschaften mit europäischen Unternehmen und Einrichtungen einen "europäischen Mehrwert" bieten können. Beim Bemühen um herausragende Leistungen sind in einigen Bereichen Fortschritte wünschenswert. Für die Aufrechterhaltung eines hohen Niveaus ist es am wichtigsten, sicherzustellen, daß sich die qualifiziertesten Jungwissenschaftler bewerben und eine angemessene Auswahl vorgenommen wird. Hier sind meine Empfehlungen zur Reform des Personalbereichs und zur Schwerpunktsetzung grundlegend. Ein weiterer Vorschlag im Zusammenhang immer schwierig, mit der Mobilität erscheint mir Spitzenforscher in anderen Einrichtungen eine Karriere aufgebaut haben, für eine Dauerstelle zu gewinnen. Es könnte jedoch von großem Nutzen sein, wenn sie für einen begrenzten, in den GFS- Wissenschaftlergruppen mitarbeiteten. Vielleicht könnten frühere Verfahren der Institute im Zusammenhang mit der Aufnahme externer Wissenschaftler in Wissenschaft und Technologie, die zu kurzen Zeitraum allerdings nicht relevant. Es ist 12 ausgebaut werden, indem ein Programm entwickelt wird, das sich den Urlaub zur persönlichen Weiterbildung zunutze macht und einige geeignete Anreize für die "Anwerbung" dieser hochrangigen Wissenschaftler enthält. Ich möchte jetzt über die zweite Funktion sprechen, das Management von Großanlagen, die auch zu Bezugspunkten für Netze mit anderen europäischen Einrichtungen werden können. Es ist darauf hinzuweisen, daß keine der in letzter Zeit entstandenen Großanlagen in Europa von der GFS entwickelt wurde. Auch der erste europäische Tokamak (JET), der zwar vom EU- Rahmenprogramm finanziert wurde, wurde außerhalb der GFS konzipiert und entwickelt. Aufgrund der positiven Entwicklung der GFS, auf die in diesem Bericht mehrfach hingewiesen wird, könnte sich die Haltung der Mitgliedstaaten in Zukunft ändern; man sollte sich bemühen, einige der verbleibenden Hindernisse auszuräumen. Die neuen Artikel 130 k, 1 und n des Unionsvertrags könnten ebenfalls bei der Ausführung der genannten Aufgabe helfen. ist, sehr häufig wird dabei Schließlich ist die Funktion der Unparteilichkeit und Neutralität zu behandeln. Es wird oft darauf hingewiesen, daß die Unionspolitik von der GFS zu unterstützen jedoch an Routine- bzw. Verwaltungsarbeiten gedacht. Dies ist sicherlich falsch; Kreativität und Originalität sind in diesem Zusammenhang unerläßlich. Im Rahmen der genannten Funktion hat die GFS in letzter Zeit offensichtliche Fortschritte erzielt. Diese Funktion der GFS ist weiter zu unterstützen, man darf jedoch nicht vergessen, daß dies dann sinnlos würde, wenn die GFS-Forschung nicht mehr von entsprechender Qualität wäre. Daher muß ein Gleichgewicht zwischen dem ersten und dem dritten Bereich herrschen. für die wissenschaftlich-technische Vorausschau Abschließend sei ein nicht weniger wichtiger Punkt genannt: eine unabhängige Einrichtung ist von wesentlicher Bedeutung, um die Beiträge der Mitgliedstaaten ergänzen und die Grundlagen künftiger Rahmenprogramme formulieren zu können. Frühere litten darunter, daß keine neutrale und anerkannte Rahmenprogramme wissenschaftlich-technologische einige Programme bestanden ausschließlich in einer Aufzählung der Interessen der Mitgliedstaaten, die häufig keinen "europäischen Mehrwert" aufwiesen. Die GFS muß für diese Aufgabe noch das entsprechende Prestige und volle Anerkennung gewinnen; dies kann sich jedoch sehr lohnen. Zukunftsforschung stattfand; 5. Schlußfolgerungen und Empfehlungen Ich bin der Ansicht, daß in der GFS seit der ermutigenden Analyse Sir Hermann Bondis eindeutig weitere bedeutende Fortschritte erzielt wurden. Sowohl der Leitung als auch dem Aufsichtrat der Forschungsstelle kommt beträchtlicher Verdienst für diese stetige Entwicklung zu. Insbesondere ist zu bemerken, daß die meisten der in der vorausgehenden Beurteilung ausgesprochenen Empfehlungen umgesetzt wurden. 13 Der Auftrag, wettbewerbsorientiert zu arbeiten, und die generell positive Reaktion auf diese Herausforderung in den Instituten, hatten mehrere günstige Auswirkungen: •$• -^ ••• Qualitätskontrolle (durch den Wettbewerb mit nationalen Teams, die Be mühungen um mögliche Nutzer usw. ), Öffnung der GFS-Wissenschaftlergruppen nach außen (z. B. durch Netze), Verbesserung der Managementverfahren (z. B. Qualitätsmanagement, Projekt management und aktives Marketing. Daher besteht die erste Empfehlung darin, die derzeitige Politik weiterzuverfolgen und zu unterstützen. Es ist jedoch daraufhinzuweisen, daß auch für die Konsolidierung der bisherigen Fortschritte einige Verbesserungen erforderlich sind, insbesondere im Bereich der Personalverwaltung. Für die Zukunft muß daher das Ziel sein, die GFS zu einer Institution zu machen, die in der europäische FTE-Gemeinschaft den "europäischen Mehrwert" voll einbringt; dies wird, weitere Anpassungen erfordern. Nachstehend - kurzgefaßt - einige Empfehlungen, die sich aus der Analyse des oben Gesagten ergeben: a) spezifische Maßnahmen • • • • Raschestmögliche Einsetzung eines Sachverständigengremiums, dem auch Experten für europäische Rechtsvorschriften angehören sollten, zur Beratung in Fragen des Status der Mitarbeiter und der Einstellungsverfahren, einschließ lich möglicher Änderungen geltender Vorschriften; Prüfung der Möglichkeit der Entwicklung eines eigenen Programms für die Aufnahme hochrangiger Wissenschaftler in GFS-Laboratorien während ihres Urlaubs zur persönlichen Weiterbildung, durch das frühere Einzelmaßnahmen der Institute ausgebaut würden. Sicherstellung der ständigen Mitarbeit von Forschem in der Ausbildung, insbesondere von Studenten mit Doktorgrad, in den Instituten. Einsetzung eines externen wissenschaftlichen Beratungsgremiums, das demAufsichtsrat Bericht erstattet; dieses würde die Qualität der laufendenForschungsarbeiten bewerten, insbesondere im Hinblick auf die Ermittlung von im Zusammenhang mit der orientierenden Forschung beraten. Das Gremium würde ferner bei der Auswahl neuer wissenschaftlicher Mitarbeiter und in Fragen des Wissenschaftler-austausches Unterstützung gewähren. leistungsstarken Gruppen in den Instituten, und Einführung von Kundenberatungsgremien in den Instituten, in denen Interesse daran geäußert wurde (z. B. ISIS); auf der Grundlage der Erfahrungen, dann Einführung in allen Instituten. 14 b) generelle Empfehlungen • • • • • Die Institute müssen eine übergroße Anzahl an Arbeitsgegenständen vermeiden. Stattdessen ist der Schwerpunkt auf das Erreichen einer Spitzenstellung in einer begrenzten Anzahl von Bereichen zu legen. In den Berichten über die GFS-Tätigkeit sind konkrete Ergebnisse der Institute anstelle organisatorischer Fragen hervorzuheben. Informationen über diese Ergebnisse sind regelmäßig zu veröffentlichen und zu verbreiten. Soweit mög lich sind Beispiele auszuwählen, in denen die GFS bedeutende Anerkennung gefunden hat (anstelle einer Aufzählung der Auftraggeber). Es ist ein Umfeld zu fördern, in dem originelle, zukunftsträchtige Ideen entstehen können; solche Ideen sind zu unterstützen, um ihr Potential zu ermitteln. Veröffentlichungen in renommierten Zeitschriften sind zu fördern, um Anerkennung zu erhalten. Es ist sicherzustellen, daß genügend Arbeiten im Bereich der orientierenden Forschung durchgeführt werden. Routinearbeiten sind zu vermeiden, auch wenn solche von Dritten angefordert werden. Es muß versucht werden, aus bestimmten Aktionen auszusteigen und deren Fortsetzung anderen Forschungszentren zu überlassen, wenn kein "euro päischer Mehrwert" mehr vorhanden ist. In den Bereichen, in denen die GFS über einzigartige Anlagen verfugt, ist allerdings Vorsicht geboten. Es sind die erforderlichen Schritte zu unternehmen, um die GFS als Bewerber für den Betrieb künftiger europäischer Großanlagen zu unterstützen. Die Möglichkeiten, Artikel 130 k, 1 und n als "treibende Kraft" zu nutzen, sind zu prüfen. Bemerkung zum Beurteilungsverfahren Das Beurteilungsverfahren scheint insgesamt seinen Zweck zu erfüllen. Frühere Beurteilungen haben zu beträchtlichen Verbesserungen im Zusammenhang mit zahlreichen Aspekten des GFS-Management geführt. Einiges kann jedoch verbessert werden: • Die Gutachtergruppen könnten durch eine externe Bewertung der Qualität der Ergebnisse der Institute sowie eine Zusammenfassung der Bewertung von Transfer, Partnerschaft im Wettbewerb und damit zusammenhängenden Aspekten durch die Nutzer unterstützt werden. Die vorgeschlagenen Gremien könnten diese Lücke schließen. 15 ANNEX I •V JOINT RESEARCH CENTRE JRC REPORTS OF THE VISITING GROUPS TO THE JRC INSTITUTES 1996 •V M CONTENTS 1. Institute for Reference Materials and Measurements, Geel 1 Page 2. Institute for Transuranium Elements, Karlsruhe 3. Institute for Advanced Materials, Petten and Ispra 4. Institute for Systems, Informatics and Safety, Ispra 5. Environment Institute, Ispra 6. Space Applications Institute, Ispra 11 21 34 48 62 7. Institute for Prospective Technological Studies, Seville 72 N. B. Annexes I and II mentioned in each Visiting Group report are given at the end of this overall evaluation report as Annexes III and IV, respectively fV \CK Rome, 22 November, 1996 REPORT OF THE VISITING GROUP FOR THE EVALUATION OF THE JOINT RESEARCH CENTRE'S INSTITUTE FOR REFERENCE MATERIALS AND MEASUREMENTS A - 1h CONTENTS. 1. Introduction II. General Observations III. Scientific and Technical Activities 111. 1 Nuclear Physics and Measurements 111. 2 Stable Isotope Measurements 111. 3 Reference Materials 111. 4 Analytical Chemistry IV. Implementation of Research IV. 1 Mission IV. 2 Transfer IV. 3 Output IV. 4 Networking IV. 5 Quality IV. 6 Areas of concern V. Executive Summary VI. Recommendations VI. 1 S&T Activities VI. 2 Infrastructure VI. 3 Management 3 4 5 5 6 6 8 8 8 8 8 8 9 9 9 10 10 10 10 Annex I: Annex II: Members of the Visiting Group Terms of Reference of the Visiting Group A -2- Report of the Visiting Group for the Evaluation of the Joint Research Centre's Institute for Reference Materials and Measurements (IRMM), Geel, Belgium Introduction At the invitation of the Board of Governors of the Joint Research Centre (JRC), a Visiting Group of independent experts (see Annex I) spent the 16 and 17 September, 1996 at the Institute for Reference Materials and Measurements at Geel in Belgium, reviewing its work, meeting the staff and visiting the laboratories and other installations. The present exercise follows that performed by Visiting Groups in 1993 and 1994 and the implementation of recommendations made at that time will be an important factor to be considered. independent Since that time, certain changes have occurred and the JRC has from DG XII and is now an autonomous become Directorate General of the Commission (Commission Decision of 10 April 1996 on the Reorganisation of the JRC). Furthermore, the Council has further clarified the JRC's role by clearly distinguishing between institutional and competitive activities (Council Conclusions of 26 April 1994 on the Role of the JRC) and in Council Decisions of 15 December 1994, adopting the present "specific programme for research and technological development, including demonstration, to " by the JRC under the be carried out for the European Community Community Framework Programme. This requires that an evaluation is carried out by external experts on work performed during the preceding five years. The above changes, together with efforts increase efficiency and reduce costs, have led to some internal reorganisation of the JRC structure. This in its turn has resulted in a reduction of the number of Institutes from eight to seven and in consequence, a redistribution of certain tasks and projects. intended to The general scientific and technological objectives and content for the Joint Research Centre's specific programme are set out in Annex I of the Council Decisions of 15 December 1994. Institutional, research activities are included in this annex which also includes institutional scientific and technical support. Together, these two areas comprise the JRC Direct Action and specific rules for its implementation are given in Annex III of the Decisions. The scientific and technological objectives and contents of the competitive support activities are to be found in Annex IV and the specific rules for their implementation in Annex VI. This action is managed by the Commission Secretariat General together with the interested Directorates General. The particular aims and objectives of the Institute for Reference Materials and Measurements are defined as follows: to make available reference materials and carry out reference measurements of the highest quality and integrity, to respond to basic harmonisation efforts of the Commission on European level, to contribute to maintain the wealth and prosperity in Europe by supporting European enterprises to strengthen their international competitivity, ft -3- to provide its share in caring for the population by cooperation in surveillance systems such as nuclear safeguards and consumer protection, to provide assistance and service on request from national and European institutions, to serve the Commission as its independent Centre of Reference with a growing potential and by consolidation of competence, directed towards becoming a cooperative European reference and standards institute in the long term, to provide nuclear and analytical nuclear measurements for all Commission services and in support of the European nuclear industries. The Visiting Group has applied the Terms of Reference given in Annex II of this report on the understanding that although the present evaluation will contribute to the general evaluation of the Framework Programme being performed at present, which requires assessments to be made covering the past five years, it is nevertheless based on a somewhat different premise. The JRC by its nature and by its assigned tasks is evaluated Institute by Institute rather than by a programme oriented approach. independent The presently applied system of visits by teams of experts covering the whole spectrum of activities of each individual institute has been proven and widely accepted as the best practical method of assessing the JRC and indeed is that favoured for many other research organisations worldwide. The present evaluation will therefore cover the period from Autumn 1993, when the last visit took place, up to the present time, and together the two reports will review the whole period in question. il. General Observations The Institute, both for its unique facilities as an advanced installation for sophisticated preparation of biological and environmental reference materials, combination of ultra-clean chemical laboratory and modern mass spectrometry, high energy resolution accelerators-for neutron and charged particle production - LINAC and Van de Graaff and the excellent preparation of staff in these areas, operates in an almost unique situation in Europe, where such advanced activities, especially in the nuclear field, are not practised in the Member States to the extent they were ten years ago and it holds a lead position in the world in some of its specialist areas. The Visiting Group is convinced of the need for a European institute of this type and believes the IRMM has to maintain European leadership in the field of reference materials and measurements and sustain a key role parallel to that in similar institutions in the USA and Japan. Particular attention has to be given, therefore, to the recruitment of specialized staff, in order to maintain this role. Consideration should be given to easing the burden imposed on the Institute- by- some internal European Commission procedures. During the two days spent at the IRMM a presentation of the Institute and its programmes was made by the Director. In addition, the Visiting Group had the opportunity to listen to several presentations by IRMM senior staff on the major topics of work and was able to visit a number of laboratories and facilities. The presentations were generally of good standard evidencing the competence and the professionalism of the staff. The Group would like to thank all those concerned. However, as stated in the previous report of the Visiting Group (September 1994), the Group believes that two days is an insufficient period of time for reviewing the Institute and its work according to the Terms of Reference detailed in Annex II. A few documents should be checked in detail to understand if the Institute is well managed. Moreover, it would be more useful to have a global presentation of the Institute in terms of projects (institutional, competitive, etc. ) as well as the activities of units. In visiting the Institute, particular attention was paid, therefore, to the above-mentioned report published by the Commission in Evaluation of the Joint Research Centre and its Multi-annual Programme 1992-1994, COM(95)60 final of 8 March, 1995 and the follow up of the Visiting Group Recommendations listed in document CA(95)54 of 18 August, 1995 for the JRC Board of Governors. It was felt that it was important to see how much progress had been made in following the initial recommendations. Owing to the unique role of IRMM, the majority of the work carried out by the Institute falls within the area of institutional research and institutional support. For this work the Institute has well defined users, but not, for the majority of its activities, customers in the true sense of the word. The Visiting Group therefore missed an opportunity to verify the parameter of "the satisfaction of the customer". Evidently with its specialised modern or modernised equipment and facilities the Institute appears rather expensive and it is not yet fully equipped for commercial activities. The Visiting Group believes that accounting procedures should be thoroughly overhauled, preferably with the guidance of outside professionals, in order to carry out the work in the most efficient way. III. Scientific and Technical Activities 111. 1 Nuclear Physics and Measurements -NPM - The unit performs world class work that is essential in a society where nuclear power is a fact of life. the The unit is equipped with a 150 MeV linear electron accelerator and two Van de Graaff accelerators. The linear accelerator was refurbished in April 1995. In this original core activity area of Institute, equipment and scientific staff are found to be of a level to be expected in an international institute of high repute. Some of these scientists, however, are approaching retirement age. If the Institute wishes/has to maintain leadership in this field, the recruitment policy based upon a reserve list of prior validated general applicants cannot be applied. This recruitment policy, in fact, is totally unsuited for the recruitment of specialist scientisis at the highest level. For many of the posts that will become vacant in the coming five yearsv there-are only a very few world class scientists who would be able to continue the work at the leading edge of nuclear science. The present rule, if applied to the NPM unit entails the danger of a descent into mediocrity and the recruitment of excellent scientists is mandatory for the future of the Unit and its value for the money invested. A -5 The Director of IRMM and the Governors of the JRC should have the freedom to target the best candidates from anywhere, firstly in Europe and then in the world, and in addition to recruitment procedures, the use of the scheme of visiting scientists is recommended as it allows competences to be drawn from anywhere, on a temporary basis. The value of a continuing highly competent staff on a permanent basis should, however, not be underestimated. The NPM's work is predominantly associated with meeting "Treaty obligations" and it is funded under specific programmes. With due respect to the Treaties, orientation towards present- priorities is recommended. It is recommended that, every five years, a critical review of the actual need against activity is carried out. In the previous report concern was expressed about the ability of the NPM unit to meet the Council Conclusions of 26 April 1994 on the Role of the JRC, in that the JRC should pursue and reinforce its move towards a more competitive approach on the basis of a genuine customer-contractor relationship. Attempts have been made in this direction, but a better cost accounting procedure has to be set up. In particular, the market oriented work has to be done, in finding a better compromise and encouraging collaborations with all Member States without concentrating on private power companies in a few Member States. 111. 2 Stable Isotope Measurements The Visiting Group believes that this unit has the potential to become the international centre traceability. However goals and timescales for achieving this have to be more clearly defined. for chemical metrology and The world class work of the group involved in traceability and the associated IMEP (International Measurement Evaluation Programme) work must be developed and networking through such organisations as EURACHEM, CITAC, etc. , should be a fundamental part of this unit's activities. There appears to be a need for a major improvement in the cost accounting system used, as calculation of real costs is necessary for the activity. Likewise, it is recommended that an infrastructure be set up to bring this Unit more to the attention of the potential market. The issue of replacement of senior staff on retirement is not as critical as in the case of NPM, however, it is also necessary to ensure continuity of staff quality in this field. 111. 3 Reference Materials The Management of Reference Materials Unit (MRM) has made excellent progress in commercialising the supply of BCR (Bureau Communautaire de Référence) certified reference materials, but in so doing has highlighted the fundamental structural weakness in both the infrastructure and the management systems needed to adopt a commercial role. It is necessary that the Commission, in requiring the JRC to adopt a more commercial approach, makes fundamental changes to the accounting and management procedures presently used. ft -6- The following highlights areas of particular concern: a) Much of the existing stock of BCR Reference Materials has now It is recommended by fallen under the responsibility of the MRM unit. the Visiting Group that IRMM ensures that recent EC, and relevant national, regulations concerning the packaging, labelling and storage of hazardous goods and the production of Statutory Health and Safety Data Sheets are fully observed and that the Commission makes available adequate additional resources to ensure that the IRMM can observe all applicable regulations in full, now and in the future. b) The BCR "Trademark" has significant commercial value, but has not been registered as a trademark. c) Reference Materials sold by the IRMM are produced by contractors to the Commission, funded by the SMT (Standards, Measurements and Testing) Programme. Whilst there is an established and reasonably these comprehensive quality procedure that should be followed by contractors, there these that procedures are followed. The MRM unit must have the responsibility for controlling the quality of all candidate reference materials, and developing with the contractors a stability testing programme. This may include acting as a sub-contractor to the main contractor. The best the project solution would be for in management of this part of the procedure Brussels. is no obvious mechanism the MRM unit the SMT unit take over to ensure from to d) The product liability status of the MRM unit is somewhat ambiguous in respect of reference materials manufactured by contractors working under the SMT Programme. e) The excellent facilities of the sample preparation unit could be better utilised by offering custom preparation of candidate reference materials if the unit were able to easily enter into ad hoc commercial arrangements. f) The accountancy procedures of the JRC are not completely suitable for an organisation involved in daily commercial transactions, as they do not allow the IRMM to manage received funds in an efficient way for this type of transaction. Unless improvements can be made to the the« direct selling- of certified procedures with -higher efficiency feasible and could be made is not reference materials by entirely through authorised distributors. IRMM g) The procedure the analytical work has been completed and the report drafted, appears to be very slow. This is due to the need to refer decisions to a body that is only called infrequently. followed, once h) The replacement of certified reference materials originally produced by SMT contractors is a primary role of the MRM, yet they do not have sufficient project management officers nor a statistician to perform the that w o u ld have b e en administrative and statistical activities undertaken by the reference materials were first certified. the SMT and contractors, respectively, when transparent accounting system i) The lack of a better and more including all costs: salaries of the people in this activity, equipment/machine hours, buildings, energy, etc. , does not allow a full understanding whether than playing an institutional role (i. e. paid service) for the EC Member States. is a profitable one rather the activity involved ft-7- III. 4 Analytical Chemistry The activity of this unit concerns reference materials and methods, metrology, life and environmental sciences, materials analysis and the safety of products. The majority of the work falls into the nuclear area. With regard to non-nuclear activity, the only customer of the unit is the Commission. is developed along the aims of the Institute but makes it more difficult to find a valid method for checking performance in a field where it is normally rather easy to judge competitivity. Further clarification of goals, as well as a system for evaluating the efficiency of the work, is, therefore, recommended. This, of course, guarantees line of work the The Visiting Group was very impressed by the first attempt at the application of quality criteria. IV. implementation of Research IV. 1 Mission The Visiting Group judges that the stated mission for IRMM falls well inside the overall mission of the JRC. It is noted that the JRC is now an autonomous Directorate General of the Commission and it is hoped that this will open up wider possibilities for further development and implementation of the mission of the JRC and thereby that of IRMM. IV. 2 Transfer Transfer both inwards and outwards with the outside world is generally good, however, more contacts should be made with industry. This could help to form objectives, develop management skills and facilitate technology transfer. IV. 3 Output This was seen to take diverse forms such as data, reference materials, certificates, as well as articles in learned journals, presentations at conferences, etc. The publication of papers in journals, or posters at scientific meetings seems to be one of the important elements of assessing the performance of staff members. (Further elements are the two yearly reports which consider the full professional activities of the staff). In the time available it was not possible to make anything but a superficial judgement of the quality of the work, but from the number of IRMM publications which are accepted by respected journals it seems that the work done is of high quality. Nevertheless, it should be checked how many publications are relevant to the same subject. More effort towards patents is desired. IV. 4 Networking This essential function seems to be well established, but it seems that more support could be given if the various unit managers could have more flexibility in the funding of networking activities. Pi 8- IV. 5 Quality It is strongly recommended to realise, laboratory by laboratory, EN 45001 accreditation for those laboratories which work for third parties. Priority should be given to those units for which their customers require such registration. ISO 9002 certification is recommended for Reference Materials production. An overall approach for the whole Institute according to ISO 9001 is not seen as urgent and is certainly not the most practical nor the easiest way to ensure overall quality. - The magnitude of this work cannot be underestimated. When determining the scope of registration for accreditation, the involvement of other JRC units in centralized administration must not be overlooked and there may be difficulties in making sure that work done for the IRMM by other JRC sites is included in the scope of IRMM registration. The need to secure the right calibre of senior level scientists to replace those shortly to retire has already been highlighted. The importance of this issue and the damage to the IRMM (and the JRC) which is inevitable if existing procedures are not eased, cannot be over emphasized. Additionally, consideration should be given to retaining pensioners on a 6 month to 1 year consultancy basis, to ensure a smooth handover. The plan to employ scientists on a 3-year non-renewable contract is a doubtful improvement, as experience with this type of appointment in U. S. universities shows that, at best, the employee is productive for only 20 to 24 months. The first six months are spent learning, 18 months working, and much of the last year in finding a new job. IV. 6 Areas of concern The Visiting Group identified a number of areas where problems arise from itself. Improvements would lead to better management. the European Commission requirements of the Executive Summary The Visiting Group judges that the work undertaken by the Institute is of high quality. The management is professional and adequate for a research institute. The scientific staff is competent and knowledgeable. IRMM has a valuable role to play in maintaining leadership in reference measurements and reference materials. However, the Institute is clearly hampered in its work by the procedures and requirements stipulated by Community regulations. This is evident in the case of the Management of Reference Materials Unit, where commercialisation is stronger. Therefore, it could be difficult to acquire further work from third (non EU) parties. IRMM should develop as a European centre of fundamental research with fully adequate funding. Clear objectives and efficient, preferably on-line, project management are, however, necessary. These would stimulate performance, generating peer pressure on individuals and further improving value for money. The Visiting Group welcomes the exploratory research carried out at the Institute. This is seen both as a means of exploring possible new areas of activity for the Institute and of trying out ideas for later incorporation into core activities. In order to guarantee long term developments and competence, 10% of the budget should be spent on "free" fundamental research work. fV9 Work on nuclear measurements and data should continue, as well as work on IDMS (Isotope Dilution Mass Spectrometry). Quality assurance criteria have to be applied for those laboratories which work for third parties, including other Commission services. VI. VI. 1 Recommendations S&T Activities The JRC has to continue to remain* a centre of excellence, producing world class output and for this reason attention should be paid to the maintenance of a suitable level of resources, especially in the core activity. As regards the NPM unit, it must avoid in future giving advantages, in terms of profits, to private nuclear industry in a few countries. More effort should be concentrated on chemical metrology, but a critical review of the proposals is necessary. It is recommended that the MRM unit become the EU centre of excellence in the preparation of biological and environmental reference materials. Big business is not expected in the reference materials area. Selling and dispatching of reference materials have to be carried out fully according to the actual laws and directives of Member States of the EU. The sample preparation area, coupled with the analytical facilities and the MRM unit provide a critical mass. However, the organisation needs to be restructured so this unit remains a true world class centre. VI. 2 Infrastructure It is recommended that the facilities of the Institute are available, to a higher degree than at present, on a broad market and not only reserved for specific groups of researchers. VI. 3 Management The management of JRC Institutes should have the possibility to use commercial "head hunting" agencies to target specific people and employ them on competitive terms. Recruitment should be based on ability and if necessary, schemes should be found to attract human resources from all over the world. The Director should have greater flexibility in selecting, promoting and removing scientific staff and the internal progress review system should be better oriented towards the needs of the Institute (efficacy and efficiency). With the role of the JRC, as given by the Community, the need for a business like approach is even more necessary. Institute should be The accounting procedures applied by the the guidance of outside thoroughy. overhauled, preferably with professionals, and whenever possible, operational decisions delegated to unit management. relevant Improved accounting procedures should parameters and also encompass depreciation of equipment Objectives should be stated in clear forms and milestones set up to mark progress defining cost and time parameters. include all Selected staff from each Unit should follow a marketing course. P» -10- Roskilde, 20 November, 1996 REPORT OF THE VISITING GROUP FOR THE EVALUATION OF THE JOINT RESEARCH CENTRE'S INSTITUTE FOR TRANSURANIUM ELEMENTS A -1 1 CONTENTS I. II. III. Introduction Activities at ITE Specific Programmes Institutional Research , 1. Basic Actinides Research 2. Safety of Nuclear Fuels 3. Mitigation of Long Lived Actinides 4. Spent Fuel Characterisation 5. 6. 7. Safeguards R&D Radionuclides for medical applications Exploratory Research Institutional Support Competitive Activities Quality Management (QM) Collaboration Organizational Matters Follow up of the Recommendations of the 1994 Visiting Group Recommendations IV. V. VI. VII. VIII. IX. Annex I: Members of the Visiting Group Annex II: Terms of Reference of the Visiting Group 13 13 14 14 14 14 14 15 15 15 15 15 17 17 17 18 19 19 Report of the Visiting Group for the Evaluation of the Joint Research Centre's Institute for Transuranium Elements, Karlsruhe, Germany 1. INTRODUCTION A group of scientists and industrialists experienced in varibus aspects of nuclear fuel and actinide research and development (R&D) and among whom were three representing customers, was invited by the Board of Governors of the Joint Research Centre (JRC) to evaluate the work of the JRC's Institute for Transuranium Elements (ITE) in Karlsruhe, Germany. Members (see Annex I) visited the Institute on 21 - 23 October, 1996 and assessed the Institute and its activities on the basis of the Terms of Reference set out in Annex U. The visit comprised a presentation of the Institute and its programmes by the Director and presentations by unit heads on the following activities: A B C D Institutional Research in Fuel Cycle Safety Institutional Scientific and Technical Support Activities Competitive Activities under the Framework Programme Competitive Activities outside the Framework Programme. Discussions were held with staff responsible for the organisation, finance and management of the Institute; future scientific perspectives were examined and a number of laboratories were visited. The following report is, in its structure, based on the report of the February 1994 Visiting Group1 and refers particularly to the implementation of the recommendations contained in that report. II. ACTIVITIES AT ITE 1. The Visiting Group noted that the structure of the JRC's, and thereby the ITE's, 1995-1998 programme differs from that of the former 1992- 1994 period. The specific programmes under the Framework Programme now comprise both research and scientific-technical support activities, plus exploratory research. The competitive activities are not alone work for outside third parties, but also participation in the Community shared-cost action programmes and C o m m u n i ty programmes outside the Framework Programme. 2. The ITE's programme and projects during the 1995-1998 programme period are distributed as follows: • Specific Programmes Basic Actinides Research Safety of Nuclear Fuels Mitigation of Long Lived Actinides and Fission Products 1. Evaluation of the Joint Research Centre and its Multi-annual Research Programme 1992- 1994, COM(95)60 final. 08. 03. 1995, pp. 63 78 A - 1 3- Spent Fuel Characterisation in view of long term storage Safeguards Research and Development Scientific-technical Support on Safeguards for DG XVII i n c l u d i ng ( E u r a t om Safeguards Directorate G e n e r a l ), detection of illicit n u c l e ar m a t e r i a ls a nd s u p p o rt on Safeguards for Directorate General I (for the IAEA) Competitive Activities Exploratory Research III. SPECIFIC PROGRAMMES Institutional Research 1. Basic Actinides Research Basic Actinides Research with the objective of performing experimental and t h e o r e t i c al s t u d i es of the solid s t a te a nd physico-chemical properties of actinides and actinide compounds, elucidating t h e ir electronic structure and its effect on their behaviour under conditions of technological relevance. The new user laboratory is welcomed and all efforts should be made to facilitate access. It is an excellent training ground for young scientists with a scope for increased international collaboration and output in the form of scientific publications. This is an absolute core activity for the ITE. The Institute has, for m a ny years, gained the position of the leading laboratory in Europe in this field, and that should also be maintained in the future as basic knowledge on actinides is essential for a proper understanding of the safety of the nuclear fuel cycle and reactor safety. 2. Safety of Nuclear Fuels Here the research contributes to improvements in nuclear safety by studying phenomena which occur in light water reactor fuel rods at extended times of operation and which may endanger the integrity of fuel rods, and by improving fuel fabrication technologies from the safety point of view. The Visiting Group, notes t h a t ' I TE h as u n i q ue e q u i p m e nt w i th demonstrated capability to perform structural investigations and basic studies to determine the safety limits of Light Water Reactor fuel. Third Party Work in that direction should be encouraged, w h e r e as institutional research may be more limited. F u r t h er development of high temperature m e a s u r e m e nt t e c h n i q u es applicable to irradiated fuel should continue as institutional research, but for a limited period. Fuel performance code development should be seen primarily as a tool to support nuclear fuels safety investigations. 3. Mitigation of Long Lived Actinides Mitigation of Long Lived Actinides and Fission products, where the research aims to minimise secondary actinides and other radionuclides with long half-lives in the nuclear fuel cycle. This useful research with selected studies is based on long experience at ITE and should continue at its present level. P\-14- 4. Spent Fuel Characterisation Spent Fuel Characterisation in View of Long Term Storage has as its objectives to characterise unprocessed spent fuel with respect to its behaviour under long-term storage conditions, to determine its radio toxic potential and to investigate the leaching of this waste form, under realistic conditions. The Visiting Group agrees with the research, for which it sees a continuing need. 5. Safeguards R&D * Safeguards R&D is strategic research in an area where the JRC is responding to a Treaty requirement. The rather limited research assigned to ITE is concerned with analytical measurement techniques, including the establishment of methods for environmental monitoring. It is discussed further below. 6. Radionuclides for medical applications This activity forms part of the objectives of the ^specific programme 1995-1998 as institutional research. The highly specialized capability of the Institute has been fruitfully utilized to provide specific nuclear isotopes for medical and other non-nuclear applications. A good example is the Institute's collaboration with the medical community in the clinical trials of a-immunotherapy for certain types of cancer. This is an effective way for the Institute to contribute to research in other areas. However, once the need for specific nuclear isotopes becomes routine, the Institute needs to concern itself. with how to transfer the technology so that the research mission is not threatened by more routine production requirements. 7. Exploratory Research The Visiting Group welcomes the exploratory research carried out at the ITE. This research should, however, be performed on a theoretical level, as long as there is no manifest expression of interest. Exploratory research is being carried out in two directions: the theoretical development of innovative fission concepts like, e. g. , the use of subcritical fission assembly with external neutron source; the analysis of different options to dispose of excess plutonium like, e. g. , particle fuel in gas reactors. Knowing that the new fuel type needs probably about two decades before being introduced on an industrial scale, this programme arouses some controversial discussion. Institutional Support The JRC in general, and the ITE in particular, has an important activity in providing scientific-technical support to the implementation of nuclear safeguards as required by the Euratom Treaty, thus to the Safeguards Directorate General (DG XVII) and to the IAEA in the framework of the Non-Proliferation Treaty and the corresponding agreements with EU Member States. At ITE the institutional support services committed to safeguards are primarily in the form of analytical services provided to the EURATOM Inspectorate (DG XVTl). These services are in transition from a system ft-15- where samples are transported to the Institute for analysis to a system where a significant portion of the analyses are carried out on-site. The establishment and continuous staffing of on-site analysis laboratories (at Sellafield and Cap de la Hague) is a cost-effective approach to safeguarding large through-put reprocessing facilities. However, it is a challenging assignment for both the technical and management staff of ITE that, among other things, will require a very disciplined application of quality assurance principles. The collection and analysis of environmental samples has been demonstrated to be a very powerful tool for strengthened safeguards. Both the IAEA and EURATOM Inspectorate are* proceeding to the routine implementation- of environmental sampling as a means to detect undeclared nuclear materials and activities. Implementation requires the existence of ultra-sensitive analytical methods that can detect and characterize nuclear material which may be present in a sample in femtogram (10-* 5 g) quantities. The IAEA does not nave the capability to do most of these analyses and has proceeded to develop a network of analytical laboratories around the world that provide a whole suite of analytical methods. The IAEA places a great importance on the efforts at ITE to establish a clean laboratory for handling environmental samples and the developing capability to do individual particle analysis. This capability is important to EURATOM and Community Member States for their own needs but, for the IAEA* the developing capability at ITE not only provides needed capability and capacity to the network, but it also provides a necessary political balance. This work is a vital ingredient in the continuing evolution of the non-proliferation regime and it needs continued emphasis. Safeguards R&D is very limited at the present time, representing less than 3% of the institutional budget. This investment seems inconsistent with the effort committed to the routine analysis of safeguards samples, which amounts to 30% of the institutional budget. An effort needs to be made to improve this ratio, both in terms of improved analytical methods and in identifying new areas where the unique capabilities of ITE can contribute to more cost-effective safeguards. The analytical capabilities of the Institute in support of the forensic analysis of illegal or vagabonding nuclear material goes alongside the safeguards activities and is a relatively modest, but extremely important undertaking. In the view of the Visiting Group, Institute management has given this work a high priority and should be encouraged to maintain a capability to respond to requests as the need arises. (V16- IV. C O M P E T I T I VE A C T I V I T I ES Particular attention was given to ITE's activities in Work for Third Parties and in the competitive field, Competitive Activities (shared cost actions, other Community Programmes), where the goals set by the Council for 1995-1998 seem to be more than met. The Visiting Group feels that it is wise to continue in this direction (foreseeing future budget restraints in basic fields) and as, for the time being, basic research does not seem to be negatively affected. The competitive activities also add a welcome additional opportunity for collaboration with i n d u s t r y, n a t i o n al r e s e a r ch c e n t r es a nd universities. V. Q U A LI TY M A N A G E M E N T ( Q M) The Group was informed about the QM activities and appreciates the standard already achieved. The way QM is implemented demonstrates t h at the driving force has been on immediate demands from customers, especially in areas of safeguards and post-irradiation examination of fuel rods. The consolidation of a number of specific QM plans to one quality management system for the whole Institute may increase efficiency and also improve the competitiveness of the Institute for third party work. The introduction of such a complete system will, however, require a good QM understanding, especially from the scientific staff and the Group, therefore, fully supports the Institute's support of a step-wise approach with a certification of the quality management system in at least one area in 1997. The Group also recommends the Institute's proposal to achieve the ISO 90001 certificate and to consider accreditation according to EN 45001 or similar. It is the Group's opinion that accreditation should be aimed for, in due time, in order to demonstrate the institutional competence of the Institute and to fulfill demands from markets, including licensing authorities. The step-wise approach to certification and accreditation is therefore reasonable and recommended by theVisiting Group. VI. C O L L A B O R A T I ON The Group took notice of the effective international collaboration in practically all research areas of the Institute, either with other research organizations or with industry. The following types of collaboration are at the moment either limited or non-existent: collaboration with other institutes of the JRC; exchange of scientists/technicians with other oganizations via temporary secondments of ITE staff. The Visiting Group sees possibilities for fruitful, wider collaboration with other JRC institutes, notably the Institute for Advanced Materials (Petten and Ispra). Temporary secondments of ITE staff to national bodies may consolidate existing collaborations or lead to new ones. Participation in competitive activities may be useful to this end. fA-17- VII. ORGANIZATIONAL MATTERS As for the discussions on the scientific aspects of the ITE activities, the Visiting Group acknowledges with pleasure the discussions and clear information provided on organisational, financial and managerial aspects of the Insti tu te. The salient points discussed were: 1. 2. 3. 4. 5. The Group noted the objective of ITE to conform* by mid 1997, to the Radiation Protection Ordinance of German law and that in view of the renewal of the nuclear operating licence, at the latest on 31st October, 1997. The Group enquired about the direct expenses of the ITE during 1995. For a total institutional budget of 31. 4 MECU (without competitive income) the staff expenses amounted to 15. 3 MECU; t e c h n i c al s e r v i c e s, h e a l th p h y s i c s / p h y s i c al p r o t e c t i o n, administration and overheads were in total 12. 6 MECU; institutional support 1. 1 MECU and Fuel Cycle Safety research 2. 4 MECU. Of the latter there was an extraordinary expenditure on waste disposal, while 1 MECU was expended on functioning of the laboratories and new acquisition of scientific equipment. The ITE management expressed the need for new competitive activities to maintain that acquisition level. The Visiting Group shared that view. The Group took notice of the age distribution of the high leveL scientists and of the ITE management staff. A large number of people (70% at the managerial level) are going to retire within 5 years. The Visiting Group expressed some concern about the efficiency of the coming scientific staff under the new scheme of non-renewable 3 year contracts. The project/programme management system at the Institute confirmed its good working and helped: to educate young scientists in the management of their own activities; to cope with a still increasing number of smaller projects. It was reported that the Institute, at present, manages around 50 projects. ft -18 VIII. FOLLOW UP OF T HE RECOMMENDATIONS OF T HE 1994 VISITING GROUP 8 recommendations were given by the 1994 Visiting Group and the follow-up of these recommendations was discussed in-depth between the Group and the management of the Institute. The Group noted with satisfaction that most of the recommendations have been followed. The following were especially noted: (i) (ii) (iii) the effort to establish a user facility for European scientists in the area of actinide research, the increased effort to introduce results from Third Party Work into the institutional research, and the contribution of the Institute to the establishment of on-site l a b o r a t o r i es for a n a l y s is of s a m p l es t a k en by s a f e g u a r ds inspectors. The recommendations of the 1994 Visiting Group regarding flexibility in the distribution of personnel between units have been followed to a certain extent by improving the coordination between the units. It is, however, the Group's opinion that more could be done regarding this point. As regards the recommendation that the work at the Institute could be i n c r e a s i ng the n u m b er of post further disseminated by further graduates and post-doctoral fellows in the Institute, this has not led to significant changes. On the contrary, a certain decrease has been noted which, according to the management, reflects the termination of the Human Capital and Mobility theme of the JRC specific programme in 1994. This point will be further addressed in the recommendations of the present report. IX. R E C O M M E N D A T I O NS • As a general observation the Visiting Group confirms the high international position of ITE in its field of activities proven by the extensive scientific collaboration with research c e n t r es a nd universities world-wide and by the amount of applied work executed by it for paying customers in Europe and J a p a n. The Institute should be allowed to maintain this position, which is essentially based on the human resources available. The Institute is facing the almost simultaneous retirement of several leading scientists. Their replacement with equally highly qualified personnel should be given the highest priority. Arrangements should be made for a smooth transfer of know-how by early a p p o i n t m e n ts or a l t e r n a t i v e l y, by e m p l o y m e nt of pensioners for a limited period. ft-19- • • • • • • As a specific observation, the Group confirms that the ITE has a world-wide reputation in the field of basic actinide research and it is recommended that this position should be m a i n t a i n e d. An important initiative in this area has been the establishment of a user's laboratory for actinide research and it is recommended t h at this initiative is followed up by steps to facilitate access to the laboratory and to introduce newcomers into the complex field of actinide research and the related safety issues. As another specific observation the Group confirms the extensive contribution of ITE to the implementation of nuclear safeguards, especially in the form of analytical services. The Group notes t h at the safeguards research at ITE is very limited and it recommends a strengthening in order to ensure the development of improved and more cost-effective analytical methods to the benefit of later routine safeguards analyses. With regard to human resources, it is recommended t h at ITE should draw together in an optimal fashion all a v a i l a b le competencies in the Institute, for example, when organising large let projects involving more t h an one unit. management at all levels profit from the project m a n a g e m e nt system of the Institute, and from an improved transparency of the Institute systems for cost accounting. ITE should also With regard to new staff it is recommended that the I n s t i t u te should be allowed to follow an early planning and the necessary flexibility in recruitment porocedures for the new concept of 3- t h at year non-renewable contracts for staff employment and adequate arrangements be maintained to continue to host young scientific fellows, including Ph. D students, at the Institute. With regard to the concept of 3-year contracts ITE should try to benefit most by careful planning of the activities of the new staff in the contract period foreseen. The Group believes that in some highly specialised research areas of the ITE, 3 year work periods will be too short. Concerning management issues the Group recommends t h at the Institute should continue the necessary efforts with a d e q u a te t he e x i s t i ng n u c l e ar r e s o u r c es to m a i n t a in a u t h o r i z a t i o n s: t h is is a sine qua non c o n d i t i on for t he perenniality of ITE. in o r d er In the important area of certification and accreditation of the activities the Group suggested a stepwise approach. ft-20- Paris, 26 November, 1996 REPORT OF THE VISITING GROUP FOR THE EVALUATION OF THE JOINT RESEARCH CENTRE'S INSTITUTE FOR ADVANCED MATERIALS ft-21- CONTENTS Introduction General Observations Scientific and Technical Activities Materials Engineering Surface Engineering Structural Component Integrity (SCI) Structural Materials and Tritium Technology Energy Systems Testing Cyclotron Testing, Analysis and Mechanical Engineering High Flux Reactor Implementation of Research Mission Transfer Quality Areas of concern Executive Summary Recommendations I. II. III. 111. 1 111. 2 111. 3 111. 4 111. 5 111. 6 111. 7 111. 8 IV. IV. 1 IV. 2 IV. 3 IV. 4 V. VI. 23 24 25 25 26 27 28 28 29 29 29 30 30 30 31 31 32 33 Annex I: Members of the Visiting Group Annex II: Terms of Reference of the Visiting Group ft-22- Report of the Visiting Group for the Evaluation of the Joint Research Centre's Institute for Advanced Materials (1AM) at Petten, The Netherlands and at Ispra, Italy Introduction At t he invitation of the Board of Governors of t he Joint Research Centre (JRC), a Visiting Group of independent experts (see Annex I) spent t he 17 and 18 September, 1996 at the Institute for Advanced Materials in Petten, The Netherlands and the 14 and 15 October, 1996 at t he Institute's location in Ispra, Italy, reviewing its w o r k, meeting t he staff and visiting the laboratories ana other installations. The present exercise follows that performed by Visiting Groups in 1993 and t he implementation of recommendations made at t h at time w i ll ana xne implementation OT recommena be an imnortant factor to be considered be an important factor to be considered. Since t h at time, certain changes have occurred and the JRC has become independent from DG XII and is n ow an a u t o n o m o us Directorate General of the Commission (Commission Decision of 10 April 1996 on t he Reorganisation of the JRC). Furthermore, the Council has f u r t h er clarified the JRC's role by clearly distinguishing between institutional and competitive activities (Council Conclusions of 26 April 1994 on t he Role of t he JRC) and in Council Decisions of 15 December 1994, a d o p t i ng research a nd technological development, including demonstration, to be carried o ut for t he European Community " by the JRC under t he Community Framework Programme. This requires that an evaluation is carried o ut by external experts on work performed d u r i ng t he preceding five years. t he p r e s e nt " s p e c i f ic p r o g r a m me f or The above changes, t o g e t h er w i th e f f o r ts increase efficiency and reduce costs, have led to some internal reorganisation of t he JRC structure. This in its turn has resulted in a reduction of t he n u m b er of Institutes f r om e i g ht to seven and in consequence, a redistribution of certain tasks and projects. i n t e n d ed to The general scientific and technological objectives and content for t he Joint Research Centre's specific programme are set o ut in Annex I of the Council Decisions of 15 December 1994. Institutional research activities are included in this annex which also includes institutional scientific and technical support. Together, these t wo areas comprise the JRC Direct Action and specific rules for its i m p l e m e n t a t i on are given in Annex III of the Decisions. The scientific and technological objectives and contents of the competitive support activities are to be f o u nd in Annex IV and the specific rules for their implementation in Annex VI. The particular objectives of the Institute for Advanced Materials are defined as follows: to c o n d u ct basic and t e c h n o l o g i c al research on a d v a n c ed industrial materials; to conduct prenormative research in engineering materials to contribute in European industrial and safety standards; to validate non-destructive methods for checking the integrity of large critical industrial plants and components; to stimulate the industrial application of advanced materials w i th industrial interests; ft -23- to integrate the fragmented research and resources in European i n s t i t u t i o ns t h r o u gh n e t w o r ks r u n n i ng projects on critical industrial plant components; to improve the dissemination of information on materials and structural aspects by networking schemes, in particular t o w a r ds Small and Medium sized Enterprises (SME's). The Visiting Group has applied the Terms of Reference given in Annex II of this report on t he understanding t h at a l t h o u gh t he present evaluation will contribute to the general evaluation of t he Framework Programme being performed at present, which requires assessments to be made covering the past five-years, it is nevertheless based on a somewhat different premise. The JRC by its nature and by its assigned tasks is evaluated Institute by Institute rather than by a p r o g r a m me oriented approach. The presently applied system of visits by teams of i n d e p e n d e nt experts covering the whole spectrum of activities of each individual institute has been proven and widely accepted as the best practical m e t h od of assessing the JRC and indeed is t h at favoured for many other research organisations worldwide. The present evaluation will therefore cover the period f r om A u t u mn 1993, w h en the last visits t o ok place, up to t he present t i m e, a nd t o g e t h er the t wo reports will review the w h o le period in question. General Observations In July 1995 a new Director was appointed to lead t he Institute and in January 1996, in a JRC reorganization, the activity on solar energy and t r i t i um handling laboratory, both in Ispra, were transferred to t he IAM f r om t he former Institute for Systems, Engineering and Informatics and r e s p e c t i v e l y. f r om t he f o r m er Furthermore, a simplification of t he Institute's internal structure was carried o ut in September 1996, to better correlate u n it tasks a nd competence, to simplify management, improve efficiency, to respond better to today's situation and prepare for the future. Institute f or Safety T e c h n o l o g y, In evaluating t he I n s t i t u t e, t he Visiting Group was p a r t i c u l a r ly interested to explore the effect of these and other changes w h i ch have occurred since the-last review in'1993, especially in t he light of t he recommendations made by the Visiting Group at t h at time. The status of these recommendations, which were systematically f o l l o w e d - u p, was reported to the JRC Board of Governors in mid-1995 in w h i ch nine of t he fourteen recommendations had been completed and o n e, t he transfer of non-destructive testing staff, had to be delayed d ue to customer requirements and will be completed by the end of 1996. Of t he f o ur other recommendations, Commission rules l i m it directors' authority, particularly where recruitment procedures are concerned. The a d o p t i on of a plan to install a simplified procedure for short three year contracts w i ll hopefully bring some benefits in t h at respect. Mobility o f. " p e r m a n e n t" staff is another much d e b a t ed issue and limited by family and working practices in the JRC; f u r t h er incentives should be sought to i m p r o ve b o th t e m p o r a ry a nd t e rm mobility. JRC-IAM is n ow a source of advice and i n f o r m a t i on on advanced materials and their performance is a collaborator w i th the Institute for Prospective Technological Studies in this respect. Finally, in accordance w i th t he r e c o m m e n d a t i o n, an i m p o r t a nt increase in the amount of computer modelling is n o t ed w i th satisfaction in all areas of the Institute's research activities. in t he f i e ld a nd l o n g er A -24- III. Scientific and Technical Activities As a result of the reorganization and reassignment of activities at the beginning of September 1996, the Institute is at present organized into the following functional units based on scientific or technical activities: Materials Engineering Surface Engineering Structural Component Integrity Structural Materials and Tritium Technology Energy Systems Testing Cyclotron Testing, Analysis and Mechanical Engineering PETTEN PETTEN High Flux Reactor* PETTEN ISPRA PETTEN ISPRA ISPRA ISPRA 111. 1 Materials Engineering The Visiting Group noted with approval the significant growth of It was apparent that networking in this area since the last visit. considerable effort had been made to the development of modelling and towards maximising responsiveness to the needs of the end-user. It is in the materials engineering area that the Institute's most recognized and successful core-competencies are to be found at the present time. Areas of mechanical properties and complex corrosion continued to be of great importance in practical large-scale and in environment sensitive applications in metallic, ceramic and composite materials, with considerable demand for investigations from third the party clients. However, where research on processes for improvement of composite materials is concerned the Group warns against straying too far from the development of coating techniques into the field of process development, an area more appropriate to the It is recognised that work in this area of interfaces industrial sector. has already led to a number of patents and that some of the activities relate to Brite-Euram or EUREKA projects where further work is evidently justified. Interface engineering has largely developed since the last review and is now providing some useful and challenging results and the characterisation of composite materials still requires much work. The Visiting Group noted that experimental work on the Marangoni effect had reached a successful conclusion and that applications could now be studied using modelling techniques. The high-power laser should be made available to the workshops for general use if found to be suitable. The proposed venture into the area of materials recycling and environmental considerations raises issues of some concern and may be an appropriate matter for future activities. However, a cautious approach is advised; there being quite some activity in the area already and a careful appraisal of the value of a contribution at the present time should be made before beginning. * The High Flux Reactor (HFR) is not comprised in the 4th Framework Programme and is not reviewed in this report. It is customer driven and has a separate review mechanism: j ft -25- The Visiting Group considered that the High Temperature Materials Data Bank was now providing an efficient client service and that the part played by Institute scientists in evaluating data and the interactive operation with other important European research centres was It was, however, important to avoid a providing a unique facility. situation where mundane operational or IT jobs were being carried out by skilled research staff and the opportunity of outsourcing such tasks should be constantly borne in mind to maximise the materials o r i e n t a t i o n. The achievement was recognised and the unit is encouraged to extend its activities to encompass other areas as is envisaged in several sectors in t he M a t e r i a ls There was good evidence Engineering Unit of some hard managerial decisions having been taken, in view of priorities and available resources. Surface Engineering This activity area was in its infancy at the last visit in 1993. Today, the equipment has been commissioned and experimental work is in progress. Tasks are now more clearly defined and are carried on in three sectors dealing with plasma assisted chemical vapour deposition, thick films and thin films respectively. Plasma Assisted Chemical Vapour Deposition (PACVD) is being extensively studied at Ispra and the techniques developed are being shown to nave a large range of potential industrial applications. The sector collaborates in the IPACERC on helicopter turbines, INBORN on boron nitride and titanium carbide films for optical use, CERCODERM on ceramic coatings for dental application and HALU on hard coatings with lubricant dispersion. The first project is a EUREKA one and the three others are under BRITE/EURAM. There is also a Brite/Euram proposal on turbine blade coatings and the unit is operating a network "TEMPUS" as part of the COPERNICUS network. This is obviously an active area in which the Institute is playing a leading role in a very promising field and until full industrialisation of this group of techniques is achieved, the Visiting Group sees a very useful future for In concentrating the surface engineering activities in the activity. Ispra, the unit has recently received staff and equipment from Petten. Thick film research includes an activity on biomedical applications in which surface modification techniques are applied to prosthetic joint surfaces to improve tribological properties, to improve adhesion of implants and on the adhesion of glass-ceramic coatings to titanium alloys as a substitute for gold or noble metal alloys in orthodontics. The work is carried out in association with a network of hospitals as a concerted action. The area is considered to show some promise as an area for future development, but in which standardisation is lacking, but attention must be paid to the activities of manufacturers. Other thick film activities concern the improvement of land-based gas turbine blade protective coatings to meet higher temperature service conditions. The work is a result of a EUR Directive on increasing power generator efficiency to greater than 50% and is thus of considerable importance to manufacturers and operators. The Thin Film sector is doing original work on the synthesis of high hardness coatings using various techniques and their characterisation. Systems under exploration are B-N-C, where diamond-like properties are encountered, in collaboration with five other European research organisations, low friction coefficient Ti-B-N based hard coatings for dry machining of materials and possible substitutes for conventional zinc coatings, Brite/Euram Shared Cost Actions exist for the latter two subjects, but such research should remain generic. The Visiting Group A-26- was impressed by t he characterisation laboratory w h i ch is particularly well equipped and w i th the expertise shown by those w o r k i ng there. III. 3 Structural Component Integrity (SCI) Five i m p o r t a nt European n e t w o r ks c o v e r i ng v a r i o us aspects of structural integrity and inspection in both nuclear and non-nuclear environments had been set up and SCI is t he operating agent to ensure their impartial f u n c t i o n i n g. Thus t he Unit has a key role in m a n a g i ng the i n p ut needed to set up structural integrity codes of practice and standards. Development appeared satisfactory. The Visiting Group advises t h at all t he more i m p o r t a nt n e t w o r ks should be critically examined f or t h e ir c o n t r i b u t i on to European technology. Subsidiarity in relation to other international or national networks is an important consideration here. In view of t he m o re specific safety requirements and engineering codes of practice applied to nuclear applications and to t he wider range of needs met w i th in other industries, it is suggested that networks serving these d i f f e r e nt categories should be kept separate. W i th r e f e r e n ce to t he European N e t w o rk f or E v a l u a t i ng Steel Components (NESC), t he Group felt concerned t h at f u ll participation by US or Japanese interests could injure t he E u r o p e an c o m p e t i t i ve limited position. Perhaps some form of associate membership w i th access to data of possible industrial sensitivity could be envisaged. It was recognised by the Visiting Group t h at since the 1993 evaluation, the w o rk of t he Non-Destructive Evaluation unit had been considerably consolidated w i th a high standard of equipment and experienced s t a ff It was n o t e d, however, that the recommendation to move all u n it staff to Petten w o u ld only be complete at t he end of t he present year. It was understood t h at the delay had been caused by pressure f r om local customers to complete certain work before relocating the w h o le unit. It was f e lt t h at after t he move was c o m p l e t e d, a more research oriented approach could bring useful benefits and in t h at connection, the Visiting Group welcomed the work on ageing of materials w h i ch is a particularly i m p o r t a nt issue and brings a scientific activity to t he more technological side of the unit. The Institute's European Networks Advanced I n f o r m a t i on Systems' (ENAIS) n ow has a web site on INTERNET and is engaqed in making available advanced data handling and transformation facilities in t he NDE field and maintaining an information network in the area. A European Network on Structural Integrity information and technology Transfer (ENSIT) is being set up and these information activities w i ll be f o l l o w ed by t he Group w i th interest. However, care must be exercised in avoiding duplication of services and some coordination at Institute level is desirable. As remarked above, outsourcing should be used wherever feasible and recruitment of staff should concentrate on securing materials competencies wherever possible. i n t e g r i ty and testing is h e l p i ng to p r o v i de t he l i nk C o m p o n e nt between the materials specimen and engineering component scales. The w h o le area of model development and validation for c o m p o n e nt behaviour prediction is of considerable industrial importance and t he difficult experimental techniques developed are believed to be unique. In v i ew of management of networking is encouraged. t h i s, t he s t r o ng emphasis p l a c ed on t he use a nd A - 27 111. 4 Structural Materials and Tritium Technology The research activities performed by this unit are related mainly to the EU Thermonuclear Fusion programme and indeed, this part of the programme was described as being similar to an "Association", the form adopted by research laboratories performing tasks under the EU Fusion Research programme in Member States. With present doubts about the ITER (International Thermonuclear Experimental Reactor) project the Visiting Group finds it difficult to discuss t he f u t u re relevance of these activities. It may be wise, therefore, to examine the experimental mechanics and microstructural modelling part of the activity in relation to work performed elsewhere in the Institute. Much of the hydrogen interaction work and that on fluid separation and catalysis has high technological relevance to other fields of application. Therefore, the Visiting Group was pleased to note the efforts already undertaken in the units to create interest in alternative applications ' for their developments. Spin-off from such advanced R&D is in any case highly desirable. The Experimental Mechanics and Microstructural modelling sector appeared to be well equipped for its tasks and the brittle material characterisation work on high purity chromium and its-alloys was noted as was that on silicon carbide fibre/silicon carbide matrix composite materials. A n e t w o rk on p h o t o t h e r m al hardness measurements has been set up and the method seems promising for some industrial applications; proposals are being prepared for a Brite/Euram thematic network and for a research project and t wo proposals on other subjects have been put forward and one on nuclear safety is in execution. Such proposals are strongly encouraged by the Group. The Hydrogen Materials interaction sector develops coatings on structural materials for fusion reactor first wall, diverter and breeding blanket to reduce the permeation of hydrogen isotopes. Good results have been obtained using aluminide coatings on steels and silicon carbide fibre/silicon carbide matrix composite materials and spin-off into aerospace and petrochemicals sectors is being investigated. The Group hopes that alternative applications forthis know-how will prove possible. Work on Fluid Separation and Catalysis-has made important original, in this area, contributions to tritium handling technology and technology transfer to other applications would appear to be particularly promising. The European Tritium Handling Laboratory (ETHEL) is a large facility, unique in the quantities of tritium that can be managed and in the size of components that can be tested. Such a facility will be essential when the new generation of fusion machines is undertaken. Years of careful preparation and testing have demonstrated the safety of the installation and a licence to operate at designed levels of tritium is expected shortly from the national authorities concerned. It is evident t h at the standards achieved are of a quality not encountered elsewhere. 111. 5 Energy Systems Testing This unit comprises two sectors, the European Solar Test Installation (ESTI) and Energy Systems Analysis and Support (ESAS). The Unit, although somewhat remote from the Institute's other core activities, was seen to be very well organized and managed and rendering a worldwide service to major photovoltaic module manufacturers and installers as well as providing consultancy and monitoring support to research and demonstration projects in the energy sector. A -?8 The ESTI applied for accreditation under EN 45001 " G e n e r al Requirements of Test Laboratories" at the end of 1995, was audited in June 1996 and was informed by the"Electrical Test" Commission of COFRAC of a successful outcome in September. The laboratory also undertakes R&D into various aspects of photovoltaic technology and has sold 600 irradiance sensors for the validation and intercomparison of photovoltaic systems throughout the world; an improved device is under development. The laboratory also provides PV module approval to international standards IEC 1215 and calibrates reference devices to IEC904. The Visiting Group was also presented with selected projects from ESAS including monitoring services, Demand Side M a n a g e m e nt services and participation in the development of three databases in support of Directorate General XVII (Energy). Other actions for DG XVII include setting up a laboratory for measuring,electricity consumption and harmonic distortion in office appliances, the creation of climatic severity indicators, criteria for standards in the solar thermal energy sector, the integration of solar energy in buildings and many others besides. The sector is also concerned with energy project evaluation and participates in a number of shared cost actions. The sector also provides technical scientific and administrative support to the Ispra ECOCENTRE project. This is a pilot project for the energetic and ecological modernisation of ageing research centres with future application to other sites. The Visiting Group considered the extensive portfolio of work for other Directorates General and outside clients and successful SCA participation as evidence of excellence, efficiency and acceptance of the central role of this unit. 111. 6 Cyclotron At the last visit in 1993 it was seen that utilisation of the cyclotron had fallen to a low level and that there was very little interest from outside customers. The Visiting Group is pleased to report that the situation has been reversed by persistent efforts by the unit's staff and management and that in 1996 44% of the 1,580 Mio ecu costs were derived from competitive sources, the third party contract share being 34. 8%. The predicted figures for 1997 are 5 1% and 2,150 Mio ecu respectively with assured third party contracts providing 44%. The facility's main activities centre around two principal lines. The first, surface performance studies using thin layer activation (TLA) techniques for wear testing for industrial applications and biomaterial development. TLA is also applied to a wide range of corrosion problems and includes an engine test facility is under construction in collaboration with the automobile industry. Radioisotope production is the second line and includes isotopes for environmental studies such as Pd, PT, and Rh release from exhaust gas catalysers and short half-life isotopes for biomedical purposes in the region. Both lines are expanding at the present time and the cyclotron is proving to be a very useful tool. 111. 7 Testing, Analysis and Mechanical Engineering This group of activities provides technical services for Institute units engaged in research and development and success or failure is reflected in that of the user units. 111. 8 High Flux Reactor (Not reported here). The Institute also makes some use of the HFR for analytical work such as neutron scattering and for irradiation creep, A-29- c r e e p / f a t i g ue a nd thermonuclear fusion materials research. t h e r m al i n - p i le f a t i g ue i r r a d i a t i o ns f or IV. IV. 1 Implementation of Research Mission The Institute's mission is to c o n t r i b u te t h r o u gh k n o w l e d ge on advanced and conventional materials to enhancing t he technical and s c i e n t i f ic i n d u s t r i al competitiveness and citizen welfare,- m a i n l y in t he energy, transport, environment, life science, manufacturing and nuclear sectors. i n f r a s t r u c t u re of E u r o pe a nd t h e r e by its The Visiting Group sees that the Institute fills an essential place at European Union level, somewhat akin to t h at of t he National Institute for Science and Technology (NIST) in t he US and others elsewhere. The field of materials is a generic one, w i th implications common to most human activities, industrial as well as social in which rapidly changing conditions are generating fresh requirements, which are d e m a n d i ng a steady stream of new materials or novel conditions of application f or existing ones. Pre-normalisation, characterisation and the supply of reliable i n f o r m a t i o n, together w i th t he interpretation of t he scientists' results and their translation into models usable by the engineer and manufacturer, requires collaboration on an international scale. We believe t h at this institute goes some way towards f u l f i l l i ng this need in the EU context w i t h in its area of competence. Management and staff w i th w h om t he Visiting Group had d i r e ct contact, gave the impression that this mission was understood a nd accepted. At a more detailed and practical level, h o w e v e r, t he acceptance of r i g o r o us p r o j e ct c o n t r ol a nd a f o r m al q u a l i ty management system by the individual scientist is still in t he f u t u r e. We are pleased to see the efforts of t he Director and his senior staff to improve this. IV. 2 Transfer Transfer of results, k n o w - h ow and information to the final user is still considered to be the critical point in Community research in general, I n s t i t u t e 's and every o p p o r t u n i ty must be seized to m a r k et t he products and services. In that respect, the- Institute appears to be conscious of its role as a European Centre and conferences, seminars and workshops (on o n g o i ng and f u t u re projects) clearly play an i m p o r t a nt and visible part in its operations and are considered to be one of its fundamental tasks. Publications such as reports, monographs, poster-session contributions and conference papers are maintained at an appropriate level f or an institute in which some of the o u t p ut is raw data, especially in t he case is also a of contract w o rk f or t h i rd parties, w h e re c o n f i d e n t i a l i ty consideration. We believe t h at t he public status of t he Institute dictates t h at whenever possible, such w o rk must be published at an early date. Other than the EUR technical reports, publication is in reputable reviewed scientific or technical journals or in books. One criticism is that detailed lists of publications do n ot appear to be available. The Group believes t h at all o u t p u t, except t h at of an explicitly sensitive nature, should appear on an openly accessible and frequently updated list, if only as a showcase to the outside w o r l d. t w o - w ay The Visiting Group noted a steady i m p r o v e m e nt I n s t i t u te a nd t he o u t s i de w o r l d, c o m m u n i c a t i on b e t w e en t he particularly w i th the development of an extensive system of networks in all appropriate branches of the Institute's activities. At t he same time, a healthy relationship w i th t h i rd party clients had e m e r g e d, in t he P\-^n- although sometimes inhibited by staff availability and the lingering feeling among certain scientists that such work carried a lower priority. The new generation of scientists and tighter project control was improving the situation. In that respect, the success of doctoral students in obtaining PhDs for research performed at 1AM and the presence of visiting scientists clearly had an important revitalising and invigorating effect on permanent staff, apart from the valuable training received by themselves. The reduction in comparison to the previous period is regretted and it is hoped that this important European function can continue at its old, or an even higher level in the future. The Institute and indeed the entire JRC must be seen as an important meeting place for t h e up and coming scientists and as a means of sowing the seeds of "natural" European networks that can endure throughout their working life. In this respect, the presence of senior visitors on attachment from other organizations can play an important role and enhance the reputation of the Institute. "Open door" activities are seen as being essential to the health of any Europe-wide scientific institute, at t he same t i me p r o v i d i ng coordination through experience to future scientists. The education aspect is considered to be an important service to the citizen and as such, worthy of further consideration. in numbers In general, the Institute's track record in transfer to the outside is good to very good and the management is encouraged to further efforts in this direction. Collaboration with other JRC institutes is seen as a sector where improvement is needed and problems have also become evident in performing work for other Commission services. IV. 3 Quality From the presentations and laboratory visits by the Visiting Group, publications, success in contract w o rk for t h i rd parties a nd participation in Shared Cost Actions, we are able to form the opinion that the Institute is well equipped with a well trained and professional staff. In most cases, the work is judged to be of a high, and in certain cases, excellent quality. Principle reservations lie in the more practical matters of ensuring that schedules are maintained and that overall quality is transparently demonstrated. These points are becoming of much g r e a t er importance than in the past and experience in many other research longer organizations is showing t h at scientific excellence sufficient to provide customer confidence but that overall quality of management also has to be demonstrated. The Visiting Group understands that the Director has these difficult matters in hand and looks forward to a successful outcome, but suggests that credibility outside could be further enhanced with an annual quality audit by an acknowledged external expert. is no IV. 4 Areas of concern Follow-up and project management. This is being actively pursued and a system is expected to be implemented during Summer 1997. Total Quality Management: a comprehensive system will be installed before Autumn 1997. However, an external audit is also desirable. Competence map of staff: at present preparation for strategy planning. Recruitment: particularly in view of demography. This remains a continuing problem. Decline in the number of doctoral students and post-doctoral fellows. lacking but under f V 31 Future investment plan: this is being developed in line w i th t he strategic planning. Work for industry: needs immediate action to secure contracts. A means of anticipating delays in formalities is highly desirable, (i. e. a small financial advance, staff allocation, etc ) V. Executive Summary The Visiting Group points out that the visit has taken place at a t i me w h en it is particularly difficult to assess all the activities in the Institute and t h at a strict comparison w i th results of the previous visit w i ll n ot be easy. This is partly due to the units transferred f r om t he previous Institute for Systems Engineering and Informatics and t he Institute f or Safety Technology. These comprise the European Tritium Handling Laboratory (ETHEL) and the Energy Systems Testing activities. Following the acquisition of these new fields, the new Director set about reorganising the Institute i n to a more r a t i o n al structure by concentrating closely related activities into new functional units and assembling all surface-related research at Ispra. The a c t i on w as launched on 1 September 1996 and was thus only a f ew weeks old at the t i me of the visit. The new functional units are shown in Chapter III. Scientific and Technical Activities. At t he present time, a detailed future strategy for the Institute is under development to meet the new demands t h at will arise w i th t he f i f th Framework Programme and to further enhance competitiveness and prepare for the future by developing t he Institute's competence. The most apparent change, other than the transfer of activities f r om other Institutes in Ispra, and the recent internal reorganization has resulted f r om the introduction of competitive bidding for w o rk b o th in Shared Cost Actions (SCAs) and in p r o v i d i ng services to o t h er Commission Directorates General. Participation in SCAs is considered by t he Visiting Group to be a f r u i t f ul method of w o r k i ng w i th t he o u t s i de w o r ld and t he is n o t ed impressed by t he n u m b er of contacts w i th f a v o u r a b l y. W h i l st programmes such as BRITE/EURAM, the Group feels b o u nd to d r aw t he management's attention to the dangers of d i l u t i ng its area of core- competence by spreading its activities t oo t h i n ly over t oo w i de a horizon. A realistic and cautious approach is advised in building-on its present success. Institute's success in t he area It is very encouraging to note a much more positive staff response to the competitive challenge w h e r e, in many cases, even o l d er staff members have shown their conviction of its value to t he JRC. Healthy progress has been made in this respect, but some pockets of d o u bt still remain. In view of the experience and expertise of the staff and the extensive w o r l d w i de contacts enjoyed by t he Institute, t he V i s i t i ng G r o up suggests that greater attention should be focussed on t he provision of regulartraining courses on suitable subjects for outside participants. As a mark of the Institute's recognition by other bodies, the Visiting Group notes w i th satisfaction the positive reference made to a number of t he f or I n s t i t u t e 's a c t i v i t i es by t he E u r o p e an C o m m i t t ee Standardization (CEN) in a recommendation recently published as an " A d d e n d um to the CEN/STAR contribution for the preparation of t he Vth Framework Programme". Specifically mentioned are advanced materials, photovoltaic energy, solar energy, energy conservation, materials for clean technologies, plant ana component ageing a nd inspection methods, as areas in which contributions are made by t he JRC to standardization in the European Union ft-32- VI. Recommendations Except in third party work activity should be sited near, but upstream of industrial research. Some work, particularly in the coatings sector, needs examining to see that it remains generic or pre-competitive. Provision of open access databases is encouraged with attention to possible outsourcing of routine tasks. Where logistics allow, duplication between Ispra and Petten activities or important equipment should be avoided. Characterisation of materials is an important core competence for the Institute. Shared Cost Action participation is favourably considered and to be encouraged. Seek to collaborate more with other JRC institutes. Expedite work underway to introduce project management and total quality management in the Institute. Recruitment of scientists is still a problem needing further attention. The educational role of the Institute should be enhanced and the number of doctoral students and post-doctoral fellows increased. Staff mobility, although better, could be increased with short term attachments. Seek improved methods of bringing forward the starting date of industrial third party contract work. Seek contacts with the best experts in Europe for every (new) field of activity. fV33- London, 11 November, 1996 REPORT OF THE VISITING GROUP FOR THE EVALUATION OF THE JOINT RESEARCH CENTRE'S INSTITUTE FOR SYSTEMS, INFORMATICS AND SAFETY ft-34- CONTENTS Introduction General Observations Scientific and Technical Activities Industrial Hazards In Pile Experiments System Modelling and Assessment Safeguards and Verification Techniques Software Technologies and Automation Advanced Techniques for Information Analysis Structural Mechanics Sicily Project Implementation of Research Mission Transfer Quality Competition Executive Summary Recommendations S&T Activities Infrastructure Management I. II. III. 111. 1 111. 2 111. 3 111. 4 111. 5 111. 6 111. 7 111. 8 IV. IV. 1 IV. 2 IV. 3 IV. 4 V. VI. VI. 1 VI. 2 VI. 3 Annex I: Members of the Visiting Group Annex IhTerms of Reference of the Visiting Group 36 37 38 38 39 39 40 40 41 42 43 43 43 43 44 44 45 45 45 46 46 A-35- Report of the Visiting Group for the Evaluation of the Joint Research Centre's Institute for Systems, Informatics and Safety (ISIS), (Ispra, Italy) I. Introduction At the invitation of the Board of Governors of the Joint Research Centre (JRC), a Visiting Group of independent experts (see Annex I) spent the 12 and 13 September, 1996 at the Institute for Systems, Informatics and Safety at Ispra reviewing its work, meeting the staff and visiting the laboratories and other installations. On 5 and 6 September a preliminary visit was made to the Institute by the Chairman and one of the members of the Visiting Group who was not able to join the subsequent meeting held on 12 and 13 September. The present exercise follows that performed by Visiting Groups in 1993 and the implementation of recommendations made at that time are an important factor to be considered. independent Since that time, certain changes have occurred and the JRC has become from DG XII and is now an autonomous Directorate General of the Commission (Commission Decision of 10 April 1996 on the Reorganisation of the JRC). Furthermore, the Council has further clarified the JRC's role by clearly distinguishing between institutional and competitive activities (Council Conclusions of 26 April 1994 on the Role of the JRC) and in Council Decisions of 15 December 1994, adopting the present "specific programme for research and technological development, including demonstration, to " by the JRC under the be carried out for the European Community Community Framework Programme. This requires that an evaluation is carried out by external experts on work performed during the preceding five years. The above changes, together with efforts increase efficiency and reduce costs, have led to some internal reorganisation of the JRC structure. This in its turn has resulted in a reduction of the number of Institutes from eight to seven and in consequence, a redistribution of certain tasks and projects. intended to The general scientific and technological objectives and content for the Joint Research Centre's specific programme are set out in Annex I of the Council Decisions of 15 December 1994. Institutional research activities are included in this annex which also includes institutional scientific and technical support. Together, these two areas comprise the JRC Direct Action and specific rules for its implementation are given in Annex III of the Decisions. The scientific and technological objectives and contents of the competitive support activities are to be found in Annex IV and the specific rules for their implementation in Annex VI. The mission of the Institute for Systems, Informatics and Safety is defined as follows: - ISIS is the impartial centre of expertise of the European Union in the science and technology of safety management, the multi- industrial, socio-technical and disciplinary analysis of environmental systems and the innovative application of information technology. Pi-36- ISIS develops and applies its expertise and unique test facilities in many fields, including: nuclear safety and the safeguarding of nuclear materials industrial and transport safety seismic protection of buildings and civil engineering works natural resource and environmental management support to antifraud measures preservation of cultural heritage and architectural work. The Visiting Group has applied the Terms of Reference given in Annex II of this report on the understanding that although the present evaluation will contribute to the general evaluation of the Framework Programme being performed at present, which requires assessments to be made covering the past five years, it is nevertheless based on a somewhat different premise. The JRC by its nature and by its assigned tasks is evaluated Institute by Institute rather than by a programme oriented approach. The presently applied system of visits by teams of independent experts covering the whole spectrum of activities of each individual Institute has been proven and widely accepted as the best practical method of assessing the JRC and indeed is that favoured for many other research organisations worldwide. The present evaluation will therefore cover the period from Autumn 1993, when the last visits took place, up to the present time, and together the corresponding reports will review the whole period in question. II. General Observations The Institute for Systems, Informatics and Safety (ISIS) was created following a reorganisation of the JRC at the beginning of 1996 by the merger of the Institute for Systems, Engineering and Informatics (ISEI) and the Institute for Safety Technology (IST). Some sectors of the two former Institutes were allocated to other JRC Institutes and today the scientific and technical activities of ISIS are grouped into the following Units: — # # # # # # # Industrial Hazards In Pile Experiments System Modelling and Assessment Safeguards and Verification Techniques Software Technologies and Automation Advanced Techniques for Information Analysis Structural Mechanics These blocks, plus one on the # Sicily Project are used for the discussion in this report. The above activities are performed and financed within one or more of the scientific and technological objectives specified in the Council Decisions of 15 December 1994 and its annexes, as indicated in the introduction to this report. These include institutional and competitive work within the 4th Framework Programme of Community RTD In activities and competitive work outside the Framework Programme. comparison with the past, the new possibility of bidding for Shared ft-37- Cost Actions (SCA) was given to the JRC by the above Council Decisions. The Visiting Group noted that ISIS made full use of the various possibilities mentioned above, performing in each Unit a mix of institutional and competitive work. Whereas in some Units the institutional work within the Framework Programme predominates, in other Units the competitive work reaches 60% of the total. The Visiting Group noted in particular the good rate of success in participating in Shared Cost Actions, and welcomed the wider relationships formed with partners in these projects. For the visits to the laboratories and presentations of the activities, a selection of topics was made, in cooperation with the Director of the Institute, during the preliminary visit of the Chairman a week before the general meeting. As indicated in the following, the more relevant and recent activities were reviewed in detail for each scientific/technical Unit. A special session was devoted to debate governance issues, with participation of representatives of the JRC administration. The criteria used for the analysis of each observed scientific/technical activity were based on four main tests: # # # # Mission: Is it proper to the Institute and to the JRC? Is it well understood? Is it useful? Transfer: Are parallel and upstream implemented? external institutions and industry performed in an efficient way? ideas accepted and Is transfer of science and technology out into Quality: Is the work rigorous, fresh and creative? Are the results commensurate with resources consumed? Competition: Has a good degree of success been obtained in competition, particularly in SCA's? Has the competitive work been usefully integrated with institutional work? The assistance given by the Director and staff to the Visiting Group was well structured and openly provided. III. Scientific and Technical Activities 111. 1 Industrial Hazards Under the Institutional Research chapter, experimental investigations in prototypical conditions on safety of nuclear reactors and industrial plants are carried out in two major facilities (FARO - Fuel melting And Release Oven and STORM (Simplified Tests On Resuspension the Mechanism), modelling activity is also performed to evaluate experimental results and to validate models. A Major Accident Hazards Bureau has been set up to serve as a Community documentation centre on industrial risk. Support is provided to the Commission services also on environmental matters, with some new activities concerning biotechnology and bioenergy. The Visiting Group focussed on four themes: # S # 0 Major Accident Hazards Bureau Biotechnology Severe Core Melt Experiment - FARO facility Aerosol Behaviour - STORM facility R-38- The Group noted that the Major Accident Hazards Bureau, set up for support to DG XI, is an ordered data collection which does not appear, however, to have a proactive nature. Quality of input information depends entirely on reporters in Member States, and may therefore be variable. The biotechnology activity, although appropriate for the Institute (institutional support to DG XI), calls for scientific skills unusual for the Institute - or indeed the JRC. Quality should be carefully monitored by external reference. The visit to the FARO facility gave an initial impression of repetitive and costly procedures in long duration experiments. However, it was made clear that the mission of this facility, with its large scale and high melt temperatures for uranium oxide, makes a valuable contribution to institutional and international research on Nuclear Safety. The work on aerosols appears to have an appropriate and clear mission, is of good quality and good transfer capability to the users. The project is forward looking and is likely to be fruitful in the Nuclear Safety field and other applications can be envisaged outside the nuclear world, both for catastrophic and non-catastrophic conditions. 111. 2 In Pile Experiments This activity is concerned with technical/scientific support to the experiments in the PHEBUS-FP (Fission Product) facility at Cadarache (France). A small team from the Institute is detached there with the role of "local laboratory management". The mission and the potential for transfer of this action seem to be appropriate, as part of the institutional research on Nuclear Safety. 111. 3 System Modelling and Assessment This activity encompasses theoretical investigations and development of models and numerical codes, both for nuclear and non-nuclear plant safety, development of decision support systems, particularly multicriteria decision models for environmental management and integrated environmental assessments. New activities cover, amongst others, the study of human factors in transport safety and energy management in multimodal transport. The Visiting Group inspected the following activities in the nuclear field: # # Reactor Safety Modelling Process Plant Safety and in the non-nuclear field: Integrated Environmental Assessment Hydro Systems Modelling Integrated Systems Modelling Transport Safety Demo ECC-AIRS (Aircraft Incident Data Base) 0 # 9 # m The Group considered that the system integration work underlying most of the above activities is appropriate for the Institute with its Indeed the high competitive element, broad scientific capability. around 60% of the non-nuclear field listed above, indicates external respect for the Institute's capability in this work. Participation in Shared Cost Action projects was seen to sharpen missions and improve transfer. Pi-39 The Group noted, in particular, the good potential for the work on human factors within the Transport Safety activity, aimed at computer aided interactive training. The desirability of standardised reporting of air traffic safety incidents, envisaged in AIRS, was noted. The utility of such data and analytical tools would clearly be enhanced if a European standard could be accepted by ICAO (International Civil Aviation Organisation) as a United Nations standard. The JRC should be encouraged to finalise the definition of AIRS promptly: this could encourage the US authorities to follow a European lead, rather than selecting one of the currently competing North American systems. The Hydro Systems Modelling activity seems to be appropriate, but judgment on its value depends on further assessment against experiments. 111. 4 Safeguards and Verification Techniques The development and implementation of several techniques required for the safeguards control of nuclear material are carried out mainly within institutional research and institutional support, especially for the benefit of EURATOM and IAEA safeguarding authorities. They include mass and volume determination techniques for liquids in tanks, non destructive measurement techniques, sealing and identification methods, performance assessment of instruments and components, and computerised systems for nuclear material balance evaluation. Detailed presentations were made to the Visiting Group on the following laboratories and projects: PERformance LAboratory for safeguards - PERLA Safeguards TÀnk MEasurement Laboratory - TAME Safeguards Sealing Bolts Safeguards Instruments Performance Assessment Animal Tagging The Group concluded that this activity corresponds to a clear and appropriate mission for the JRC, where its independence from Member States and its impartiality vis-à-vis any industrial interest play a valuable role. The Group appreciated the high quality of the work performed in this field and considers that an effective transfer of the know-how takes place, particularly through mechanisms such as the training of the safeguards inspectors and the training of trainers for Russia, as well as through the development of measurement devices for use in the field. The substantial research that supports this institutional function may produce interesting spin-offs in other fields. The Animal Tagging work, started recently, is an example of such a spin-off. 111. 5 Software Technologies and Automation Institutional support activities are performed in fields concerning software dependability measurements and methodologies, multi-media network applications for Earth Observation data, development of surveillance and remote sensing systems for safeguards applications. Inter-institute contracts cover part of the above activitiesv Institutional research is related essentially to robotic technology for remote handling applied to fusion reactors and to some work on safeguards. Competitive activities concern, e. g. , sensor based robot control and 3-D reconstruction of indoor environment. The Visiting Group reviewed by presentations and visits: (\ -40 # # # # Multimedia Network Applications Dependable Software Applications Sensor Based Applications Heavy Robotics (ROBERTINO facility) The Group welcomed the transfer mechanism set up through Internet (World Wide Web) for the Earth Observation data. The Group noted that the work on dependable software is serving the Commission as institutional support. In order to check whether this work is actually up to best practice, an element of competition would be advisable. The test of competition can also usefully be applied to the robotic measurements performed under the heading Sensor Based Applications, as nowadays there are many places where this kind of work is performed. The work on Brain Waves, developing control from active systems for severely disabled people, would benefit exchange of ideas with researchers in parallel fields. This project is at a very preliminary stage, and the results achieved were therefore quite limited. The Group was informed that prospects for new utilisations of the ROBERTINO facility and of the know-how built around it exist and are actively pursued. They concern subjects like laser welding for heavy components, tanker inspection systems, multi sensor data fusion in heavy robotics and software for safety critical control. In general, ROBERTINO may become the host for a variety of heavy robotics experiments. this expensive facility should be checked urgently, in view of the imminent decline in the Fusion Programme. The practicality of such alternative uses for 1. 6 Advanced Techniques for Information Analysis This chapter covers techniques for data analysis and handling, high performance computing and networking, and photonic technologies. The institutional part of the work is carried out in support of the is Commission (DG III and UCLAF). About 60% of the work competitive. The following activities were presented to the Visiting Group: # # 0 # Photonics Antifraud: UCLAF Neural Networks High Performance Computing and Image Processing The Group appreciated the competences in photonics took place through the application of photogrammetry techniques to the Sicily project. that some effective transfer of The antifraud activity is considered to be appropriate to the Institute's mission, it appears to give valuable support to the antifraud unit of the Commission and it has been proven in competition. The activity on neural networks is developing a valuable technique, which could be of wider application, both within the JRC and externally in competitive projects. Under High Performance Computing and Image Processing, advanced achievements in 3-D holographic images were presented. They are protected by patents and may have industrial potential. The Visiting Group recommends testing these revolutionary concepts on a panel of potential users. ft-41- In this case, and in others where patents have been taken, the Group concluded that transfer and commercialisation would be improved if the initiating Institute took the responsibility and reward for exploitation. 1. 7 Structural Mechanics Work is concerned with experimental activities in the field of the safety assessment of civil engineering structures exposed to earthquake loading and in the field of transient dynamic response of materials and mechanical components under impulsive phenomena. Development and validation of computational methods in connection with this experimental activity are performed. Two main facilities are used: # • the reaction wall ELSA (European Laboratory for Structural Assessment) a Large Dynamic Test Facility (LDTF) In reference to the objectives set out in Council Decisions 94/918 EC, the Structural Mechanics Unit has: a) contributed considerably to Institutional Research Activities (prenormative research in the field of structural safety and research on Car safety) and b) successfully participated in several competitive research projects. On the other hand, referring to the recommendations formulated in the Evaluation Report issued in 1995 (COM(95)60 final), diversification and spreading of activities were kept at a reasonable level, especially in view of the new customers' demands (as imposed by the new "competitive approach"). At the level of this Unit, mechanisms to set scientific objectives, monitor progress and evaluate outputs were not clear. At present there is a vacancy for Head of the Unit. Most of the research activities were of good scientific quality, taking advantage of the opportunities and funding conditions. Further senior management effort is needed to: a) b) c) improve guidance to the numerous and excellent young researchers; scrutinise more thoroughly the wealth of test results and scientific findings; promote publication of papers containing conclusions of broader significance. £-42- It is concluded that this-Unit made efficient and economical use of resources available. The Unit has taken successful initiatives in creating external scientific links with Universities, Research Centres, Industry and Regions of Member States. Competitive research projects were won via such collective undertakings. This scientific work has contributed towards an improvement of European competitiveness in the field of earthquake engineering and dynamic testing. The use of advanced computer packages has strengthened the scientific bases in this field. 111. 8 Sicily Project This activity is a good example of work for third parties performed within the framework of the regional development policy of the European Union. * The size of the project and the number of partners involved require an efficient management. The Visiting Group noted that a good project management system has been put in place at ISIS for this purpose and the work is effectively coordinated and under control. IV. IV. 1 Implementation of Research Mission The mission of the Institute as broadly recalled in Chapter I of this report, is judged to be appropriate, considering the mix of institutional research and support activities allocated and the competences existing at the recently developed improve transfer and ensure clarity in the results of the Institute's work. The substantial competitive activities Institute. is a need continually There the basic scientific competencies within the Institute, to support continuing competitive activities;* this requires a good balance among exploratory, institutional research and support and competitive activities. to recharge In order to enhance the relevance of the project missions, formation of Programme User Advisory Boards is supported. the IV. 2 Transfer The increased volume of competitive work, particularly the newly established participation in Shared Cost Actions and in PHARE and TACIS, has improved transfer. Relationships with external research organisations and with European industry, are both wider and increasingly project driven. Transfer out is generally good and very good in some cases, as in Safeguards, where methods and techniques developed at the Institute are passed directly to the operating bodies (both EURATOM and IAEA), including through specific training courses for inspectors. Transfer in and out is also particularly effective in cases such as the research in ELSA, where good networks of collaborative laboratories have been established. This is also the case for Safeguards and for the major facilities in the field of nuclear reactor safety. FH3- However, for further improving transfer and for providing a direct route to market for products, the Visiting Group suggests that the feasibility of incubator structures, like a Science Park or an Innovation Business Centre on the JRC site, should be evaluated. The Visiting Group considered that the present arrangements for administering patents were not conducive either to practical definition If the rights in patents of inventions, or to active commercialisation. were to be transferred from DG XIII to the innovating Institute, the incentive for commercial exploitation would be joined to the necessary technical competence. IV. 3 Quality Useful routine skills exist at the Institute, some others are available from outside and, in general, they are tested by competition. Exceptional competences exist as well, notably in groups dealing with safeguards measurements and control techniques, reactor safety, heavy robotics, decision models for integrated environmental assessment and structural mechanics, particularly around the ELSA facility. The Visiting Group noted that the internal Scientific Committee is now working well, and is active in promoting idea exchange, both intra and inter-Institute. In particular, the Scientific Committee seems effective in peer review of exploratory research projects. Project management skills have been systematically improved. Programme User Advisory Boards are in the process of being created. These are welcomed, as they will provide an ongoing external peer review that, together with the internal action of the Scientific Committee, should promote relevance in project missions, quality of work and improved transfer. IV. 4 Competition Competition has clearly improved mission, transfer and quality, as indicated above. It also improves the morale and skills of the staff as they are seen to work at the cutting edge of science and technology. The Visiting Group was impressed by the variety of external research and industrial bodies, from 15 Member and Associated States, that had been brought into contact with the Institute in the process of bidding for and operating Shared Cost Action projects. However, extended competition is tending to move ISIS downstream towards practical applications, and away from basic research. Exploratory research therefore needs to be systematically stimulated, in order to refresh the Institute's intellectual competencies. In consideration of the above, the Visiting Group considers that a balance between competitive and non-competitive activities should be maintained. In the opinion of the Group the competitive activities of the Institute could usefully grow to reach, asymptotically, 35% of the total. Finally, the Group recognised that a potential conflict exists between the JRC's independence and its competitiveness. The independence of the JRC is a necessary requirement for its institutional activities, whereas competitive work may demand that specific interests be served. Careful management is required to minimise this conflict. ft-44- V. Executive Summary The present evaluation of the Institute for Systems, Informatics and Safety (ISIS) of the Joint Research Centre follows the evaluation of the JRC Institutes performed by Visiting Groups in 1993 and 1994. ISIS was created at the beginning of 1996, basically merging two Institutes, the Institute for Systems Engineering and Informatics (ISEI) and the Institute for Safety Technology (IST). This report has been requested by the Board of Governors of the JRC. Together with the 1993 reports for ISEI and IST, it covers a 5 year period and contributes to the periodical evaluation of the Community RTD activities. ISIS executes work within the 4th Framework Programme as Institutional Research in the chapters: Measurement and Testing, Environment and Climate, Nuclear Safety and Safeguards; Controlled Thermonuclear Fusion. As Institutional Support in the chapters: Information Technologies, Environment and Climate, Agriculture and Fisheries, and Nuclear Safety and Safeguards. ISIS also performs competitive work. It has won several contracts under Competitive Support and under Shared Cost Actions within the Framework Programme and executed work for third parties, outside the Framework Programme. The Visiting Group reviewed the work performed at the Institute, which is structured in eight scientific/technical areas. The Group also considered the governance issues related to the scientific/technical work. The activities were judged against three tests: Mission, Transfer, and Quality; the effect of Competition has been separately noted. The mission of the Institute and of individual projects seems to be appropriate. Transfer, both laterally with other scientific bodies and downstream to industry has markedly improved since the previous Visiting Group reports of 1993. Quality is generally satisfactory and in some areas excellent. The effect of competition seems-to have been wholly beneficial, in transfer. sharpening mission, in testing quality and in promoting Improvement in staff morale is quite apparent. The recommendations of the Visiting Group are presented in the following chapter VI. VI. VI. 1 Recommendations S&T Activities # Software Technologies and Automation For a number of applications concerning Multimedia Networks, Dependable Software and Sensor Based Robotics - technologies for which research is widespread in many laboratories nowadays - it is recommended that the results, or elements of them, be tested soon against a competitive approach. Pi-4S • Advanced Techniques for Information Analysis images, under High The results obtained on 3-D holographie Performance Computing and Image Processing, should be evaluated by an industrial panel and be given the possibility of being confronted with the industrial market. • Structural Mechanics Unit The "auto diagnostic" optical fibres instrument and the optomechanical sensor show promise, and should be further tested in the unit. The recent extension of research towards masonry structures is welcome. Masonry is a challenging material, difficult to model. So, although several research centres are concerned with the subject, ISIS, with its exceptional facilities, can make a valuable contribution. It should now develop an analytical package for the multiple social and engineering needs. Collaboration with Japan in the field of seismic research and design should be encouraged. Although Japanese solutions are often specific to their culture, their wealth of experience and experimental data in the field are likely to be valuable in the European context. Work on repair and strengthening structures by innovative means is still at an early stage at ISIS. Considerable additional effort is needed to achieve critical mass in this field. VI. 2 Infrastructure Considering that a substantial part of the budget of the Institute is devoted to pay for the JRC Administration and Infrastructure (ADIN) and ISIS is substantially dependent on ADIN for its financial and management control systems, an external evaluation of this unit would be appropriate in parallel to the Visiting Groups for the JRC Institutes. VI. 3 Management The staff recruitment system has been recently made more flexible at the JRC with the introduction of non-renewable 3 year contracts which adds to the one year contracts for auxiliaries and to the renewable 5 year contracts for temporary agents. The Visiting Group is however concerned that rigidities still exist that can prevent the selection of appropriate staff, and impede It recommends initiation of projects won in competitive tender. that: Temporary Agent staff, recruited under the new scheme of non-renewable 3 year contracts, should be permitted to apply for admission to the Reserve List of qualified candidates, and therefore allowed the opportunity to progress from an initial 3 year contract to more extended employment. Similarly, Reserve List candidates should be free to apply for the aforementioned Temporary Agent status, under 3 year contract. The Director should be enabled to carry a small reserve of staff - 1 to 3 persons - speculatively, so that competitive A-46- It projects can be manned promptly on award of contract. was noted that delays of up to 6 months had occurred in starting work, due to the requirement that recruitment procedures may only begin after a contract has been awarded. The cost of this reserve would be classed as an overhead and discharged as a project cost. Responsibility for administering patents, which is now with DG XIII, should be moved to the level of the Institute. Revenues from licences net of patent costs, should go to the initiating Institute as additional funding at the Director's discretion. The Visiting Group encourages the establishment of Programme User Advisory Boards, which have been proposed for the Institute. The Visiting Group suggests that the possibility of establishing a commercial incubator facility at Ispra should be explored. Surplus accommodation is available, and the additional cost to ADIN might well be minor. Users could be JRC staff, external individuals with proposals for commercialising Ispra technology, and pilot teams from industrial companies. An active programme of exploratory research should continue to be encouraged: whereas the sharply increased competitive work has brought clear benefits in mission, quality and transfer, it is clearly desirable that the springs of creative science at ISIS be continually refreshed. ISIS should continue to develop and calibrate analytical tools, modelling techniques and system integration methods, as the essential infrastructure of its wider programmes. Technology transfer between ISIS and European Commission clients should be improved, by encouraging movement of some senior ISIS staff to established posts in the relevant Directorates General in Brussels. The benefits for ISIS of extended competition are quite evident. A number of observations and recommendations in this report are designed to promote further this encouraging progress. (\ -47- Aveiro, 21 November, 1996 REPORT OF THE VISITING GROUP FOR THE EVALUATION OF THE JOINT RESEARCH CENTRE'S ENVIRONMENT INSTITUTE ft-48- CONTENTS I. II. III. 111. 1 111. 2 111. 3 111. 4 111. 5 111. 6 111. 7 111. 8 Introduction General Observations Scientific and Technical Activities Atmospheric Processes Environmental Monitoring Soil, Water, Waste European Chemicals Bureau Life Sciences European Centre for the Validation of Alternative Methods (ECVAM) Indoor Pollution European Technical Office for MEdicinal Products (ETOMEP) 111. 9 Food and Drug Analysis; Consumer Protection IV. IV. 1 IV. 2 IV. 3 IV. 4 IV. 5 V. VI. VI. 1 VI. 2 VI. 3 Implementation of Research Mission Transfer Quality Competitive activities Management issues in general Executive Summary Recommendations S&T Activities Infrastructure Managerial 50 51 54 54 54 55 55 55 56 56 57 57 58 58 58 59 59 59 60 60 60 61 61 A n n ex I: M e m b e rs of the Visiting Group A n n ex II: T e r ms of Reference of the Visiting Group ft-49- Report of the Visiting Group for the Evaluation of the Joint Research Centre's Environment Institute (El) (Ispra, Italy) Introduction At the invitation of the Board of Governors of the Joint Research Centre (JRC), a Visiting Group of independent experts (see Annex 1) spent the 11 and 12 September, 1996 at the Environment Institute at Ispra in Italy, reviewing its work, meeting the staff and visiting the laboratories and other installations. A further visit was conducted on 17 and 18 October, 1996 to augment the impressions gained from the first visit in view of the multitude of activities performed at the Environment Institute and to finalise the report. One invited member could not be present at the visits due to other obligations, but has contributed to the present report. The present exercise follows that performed by Visiting Groups in 1994 and the implementation of recommendations made at that time will be an important factor to be considered. Since that time, certain changes have occurred and the JRC has become independent from Directorate General Xll and is now an autonomous Directorate General of the Commission (Commission Decision of 10 April 1996 on the Reorganisation of the JRC). Furthermore, the Council has further clarified the JRC's role by clearly distinguishing between institutional and competitive activities (Council Conclusions of 26 April 1994 on the Role of the JRC) and in Council "specific Decisions of 15 December 1994, adopting the present including programme for research and technological development, demonstration, to be carried out for the European Community " by the JRC under the Community Framework Programme. This requires that an evaluation is carried out by external experts on work performed during the preceding five years. The above changes, together with efforts increase efficiency and reduce costs, have led to some internal reorganisation of the JRC structure. This in its turn has resulted in a reduction of the number of Institutes from eight to seven and in consequence, a redistribution of certain tasks and projects. intended to The general scientific and technological objectives and content for the Joint Research Centre's specific programme are set out in Annex I of the Council Decisions of 15 December 1994. Institutional research activities are included in this annex which also includes institutional scientific and technical support. Together, these two areas comprise the JRC Direct Action and specific rules for its implementation are given in Annex III of the Decisions. The scientific and technological objectives and contents of the competitive support activities are to be found in Annex IV and the specific rules for their implementation in Annex VI. The Visiting Group informed that this action is managed by the Commission was Secretariat General, together with interested Commission Directorates General. the As stated in the Environment Institute's Annual Report for 1995, "the aims of the El are to assess levels and fates of chemicals in the environment, the exposure of man and the environment to them, and their effects on both, as well as consumer protection. ". Together, ft-50- these objectives encompass an amazing wealth of research and support activities at the El. This prolificacy is a result of the Institute's mission: to be directly involved in research, in the strict sense of the word, and to provide support to several Directorates General of the European Commission. The Visiting Group has applied the Terms of Reference given in Annex II of this report on the understanding that although the present evaluation will contribute to the general evaluation of the Framework Programme being performed at present, which requires assessments to be made covering the past five years, it is nevertheless based on a somewhat different premise. The JRC by its nature and by its assigned tasks is evaluated Institute by Institute rather than by a programme oriented approach. The presently applied system of visits by teams of independent experts covering the whole spectrum of activities of each individual Institute has been proven and widely accepted as the best practical method of assessing the JRC and indeed is that favoured for many other research organisations worldwide. in A Visiting Group evaluated the El in April 1994, as reported "Evaluation of the Joint Research Centre and its Multiannual Research Programme 1992-1994", Commission document COM(95)60 final, 8 March 1995". The Chairman of the present Visiting Group (and one member) took part in this exercise. Together, this aforesaid report and the present report will thus review the entire period in question and emphasise the progress and developments made over that period. H- General Observations The Environment Institute has its roots in the days, many years ago, when the Joint Research Centre activities were mainly centred on nuclear research and development, and when competences in chemistry and radiochemistry were needed and developed. The El was formally created in 1S88 when a large reorganisation of the JRC took place and the Institute grew from a former chemistry division. Targeted environmental research, however, was initiated within the JRC in the 1970's, as was work in support of other services of the Commission. At present, the El which is headed by Professor Jean-Marie Martin and who took up his post as Director of the Institute on 1 September 1995, is organised for administration and technical services. The Deputy Director also heads one of the scientific Units. into nine scientific-technical Units and a Unit The nine scientific-technical Units may be grouped into three major thematic working areas: • Levels and Fates of Chemicals Atmospheric Processes Unit Environmental Monitoring Unit Soil, Water, Waste Unit • Exposure to Chemicals and their Effects European Chemicals Bureau (ECB) Unit Life Sciences Unit European Centre for the Validation of Alternative Methods (ECVAM) Unit Indoor Pollution Unit A -51 • Consumer Protection European Technical Office (ETOMEP) Unit Food and Drug Analysis; Consumer protection Unit for MEdicinal Products The above activities are performed and financed within the scientific and technical objectives, falling under Environment and Climate and Agriculture and Fisheries, specified in the Council Decision of 15 December 1994 and its annexes on the JRC specific programme (1995-1998) for the European Community, which contribute to the implementation of the 4th Framework Programme of Community RTD activities. This encompasses institutional research and institutional support, notably to the European Union's environmental policy (to the Commission Directorate General for Environment, Nuclear Safety and Civil Protection - DG XI), to the industrial policy (to the Directorate the General for Industry - DG III), to the agricultural policy (to Directorate General for Agriculture - DG VI) and to the consumer protection policy (to the Directorate General for Consumer Protection - DG XXIV). Further work and finance is-provided through participation in shared cost actions under specific programmes of the 4th Framework Programme, competitive support under the same and through work for outside third parties. A particular characteristic of the El is the high proportion of its activities which are devoted to scientific and technical support to the Union's policies, some 70% of the total of its institutional activities (60% of the staff, 80% of the financial resources), which is mainly organised through 'bureaux' or 'offices' set up through a Commission Communication to the Council and the European Parliament on a long- term basis, specifying the objectives and modes of operation of the work. The Visiting Group, in this connection, notes that the previous Visiting Group for the 1992-1994 evaluation suggested "that a primary task of the Institute should be to provide the scientific support needed to underpin the preparation and implementation of EU policy in the field of protection of the environment". A recommendation which has clearly been implemented. In comparison with the 1992-1994 period, the JRC in general, and thus the El in particular, are now permitted to compete in a wider spectrum of activities, mainly through the shared cost action programmes of the Framework Programme and the action on competitive support, as well as other Community programmes. The Visiting Group notes that the El has made good use of these opportunities, which were opened up to the JRC in 1995. The Visiting Group was informed that the El is engaged in 22 shared cost action the projects won in competition, with a success rate of 33% of proposals submitted. In this way the El is working with 120 outside partners. The El budget has grown from some 40 MECU in 1992 to 48 MECU in 1995, of which 2 MECU is derived from work for third parties. The 1996 budget is 51 MECU, of which 6 MECU stems from competitive activities (shared cost actions 35%, competitive support 46%, work for thirds parties 19%). The statutory staff numbers 219, of which 88 are scientists. Scientific fellows (grantholders), scientific visitors and seconded national experts and 63 (unpaid) trainees bring the total human resources to more than 350. The non-permanent staff thus amounts to around one third of the total. The statutory staff has grown from 196 in 1992 when the total ft-52- human resources numbered 275. The El has thus always followed a policy of having a substantial proportion of other human resources in addition to the statutory staff. Presentations of activities were made to the Visiting Group and they had extensive discussion with the Director and the Unit Heads and visited the laboratories of each unit of the El. Here the Visiting Group also met with several other staff members of the Institute. All the discussions were held in an open and most cooperative atmosphere and the Director and his staff did their utmost to present documentation and information to address the questions of the Visiting Group members, who express their-thanks to everybody concerned. The Visiting Group furthermore acknowledges the testimonials it received from the customers of the El and notably from the Commission Directorate General for Environment, Nuclear Safety and Civil Protection (DG XI). Throughout the visit, the Group gained an impression of a very competent and highly motivated staff at the El. During the visits to the laboratories the Visiting Group noted - as had the 1994 Visiting Group - the high degree of geographic dispersion of the El throughout the Ispra site. There are historical reasons for this and while some regroupings have taken place, further efforts in this direction are recommended. Synergy and collaboration between the many Units of the Institute depends on many factors, but appears to be hampered by the present arrangements. The Visiting Group also noted that recently new buildings have been built for the El, as part of an overall plan for the Ispra site which is now in progress. One new facility was not presently being used to its full capacity but in general the building and movement plans show promise for the scientific life of the El. The criteria used for the analysis of the El activities were the standard terms of reference for all the Visiting Groups. The El Visiting Group furthermore found it helpful to focus on four main points: • • • • Mission: Is it proper to the Institute and to the JRC? Is it well understood? Is it useful? Transfer: Are parallel and upstream ideas accepted and implemented? Is transfer out into the external world performed in an efficient way? Quality: Is the work rigorous, fresh and creative? Are the results of the work made available by publication? in Competition: Has a good degree of success been achieved competition, particularly in Shared Cost Actions? Has the competitive work been usefully integrated with institutional work? a-ss Scientific and Technical Activities Atmospheric Processes (Statutory staff - 27; Non-permanent - 12; Trainees - 7 ) the framework of This Unit is devoted to studies on the formation and impact of aerosols and photo-oxidants over Europe within the atmospheric global change issue. The research on complex physico- chemical studies for the proper understanding of these is rightly characterised as a key element in the development of environmental In this respect, policies, both in the European Union and worldwide. its role of the Unit has a clear mission which also emphasises coordination of European projects. These include the Biogenic Emissions from the Mediterranean Area (BEMA) project and the Aerosols and Climate Project, (with up to 17 partners across the EU countries), complemented with photochemistry and chemical kinetics activities, with laboratory work and field modelling. The work contributes to the International Geosphere-Biosphere Programme (IGBP) for which the unit runs the European Project Office of the International Global Atmospheric Chemistry (IGAC) project, and also to other international or European (EUREKA) programmes. The results are amply documented in peer refereed journals and through participation in, or initiatives on, seminars and congresses. It is clearly an area of work where the new opportunity for the JRC to participate in Community shared cost action programmes has been beneficial. 8 projects have already been accepted, thus strengthening the collaboration with national research, as also witnessed by scientific fellows joining the work at the cost of their respective institutions. The Visiting Group welcomed this collaboration with national research which could be further extended to encompass teams in other Member States and associated countries, in addition to those already involved. Environmental Monitoring (Statutory staff - 36; Non-permanent - 8; Trainees -12) In addition to the longstanding and highly recognised activity of the European Reference Laboratory for Air Pollution (ERLAP) in support to DG XI, the Visiting Group was also informed of the Radioactivity Environmental Monitoring (REM) project and the European Tracer Experiment (ETEX). This also supports DG XI, where follow up work is in progress after the large scale experiment which took place in the Autumn of 1994. Results are available, but the focus is now on work to reach a consensus on the models to be used for real-time forecasts. All the work is clearly characterised by the ability of El and the Unit to foster true collaboration through well defined networks and to obtain results for the benefit of the customer, DG XI (with whom a constructive dialogue is maintained). Here, as in other Units, the collaboration is also based on the fine scientific quality of the El and the excellent instrumentation and facilities available in the Institute. The Visiting Group noted not only the DG XI satisfaction with the work, but also their wish to see developments including further work on air quality and auto oil. The Visiting Group sees a clear need and scope for increased urban air quality studies in the future. A -54- 111. 3 Soil, Water, Waste (Statutory staff - 44; Non-permanent - 13; Trainees - 13) The diverse work of this Unit ranges from support to DG XI (waste catalogue, classification of surface water) through institutional research (water, soil) to work for third parties on water management and recovery. The Visiting Group also inspected the Advanced Mobile Analytical Laboratories developed under a EUREKA project with industry and national laboratories. This is a good example of product and service development with industrial partners. Another promising activity is the project on Analytical Quality Control (AQUACON) which aims at the identification, quantification and reduction of sampling and measurement errors for selected environmental matrices and analyses. The work is based on extensive European collaboration coordinated by the El including inter-laboratory exercises for rainwater analysis (186 laboratories from 22 countries) and should ,find further applications in the future. The Unit in. general has a wide range of competences readily available to customer requests. Third party work, e. g. on the Venice lagoon, is an example of this, as is a series of projects on lake restoration and measurement and provision of tools It is recommended that even more for rational water management. focus be placed on the water related research in the future, in view of the El involvement in the Task Force on Environment and Water, set up by the Commission and which, in the view of the Visiting Group, is responding positively to an overall EU concern. At the same time the Visiting Group recommend that adequate competences also be maintained in the other areas of the Unit - Waste and Soil - to cope with possible future demands by policy customers. 111. 4 European Chemicals Bureau (ECB) (Statutory staff - 18; Non-permanent - 5; Trainees - 1) Here, the Visiting Group found a one-to-one connection between an organisational unit and a specified activity, set up by a Commission Communication to the Council and the European Parliament in support of DG XI. The mission is clear and, as the previous Visiting Group found, there was continuing and good justification for the work being performed in a scientific environment. The work responding to requirements of Community legislation is concerned with the classification and labelling of dangerous chemical substances, evaluation of existing substances, notification of new substances, carrying out risk assessments and a databank on import/export, all in close collaboration and contact with Member States' representatives and DG XI. Furthermore, there is work underway on the scientifically complex area of developing proper methods for testing, where 80 are already included in a Community directive and 40 are under development or revision. DG XI see a clear need to continue this highly esteemed and necessary activity, and would like to see the remit widened to include pesticides and biocides. However, this is not possible within the present resource level. 111. 5 Life Sciences (Statutory staff - 11; Non-permanent - 6; Trainees - 6) This Unit encompasses institutional research supported by excellent laboratories on the exposure of trace metals in human tissues and fluids and on their toxicological significance to human beings. This work is in support of the Commission Directorate General for Employment, Industrial Relations and Social Affairs (DG V), and third parties (national authorities). The Unit has also won shared cost action projects in collaboration with national partners, as well as contributing to a EUREKA project. ft-55- The Visiting Group was pleased to note the positive developments since the last Visiting Group, the consolidation of the work and the willingness to share the laboratory facilities with other Units in the El. The value of exploratory research was emphasised and this may open up new areas for the Unit. The high specialisation on trace metals is of undoubted value, but there may, in the opinion of the Visiting Group, be a basis for further work for customers in the life sciences area, possibly by further strengthening the interaction with other Units of the El. European Centre for the Validation of Alternative Methods (ECVAM) (Statutory Staff - 10; Non-permanent - 10; Trainees - 9) This Unit is entirely dedicated to a single objective as defined by the Commission in a Communication to the Council and the European is conducted under a Memorandum of Parliament and work Understanding between DG XI and the JRC, and a further agreement DG XI/JRC from 1995. The validation of methods and strategies to reduce or replace live animals in laboratory studies is required in present and perhaps future Community legislation and highly feasible in view of the importance of the issue. The Visiting Group noted that the work is guided by a scientific committee which represents all vested interests. This stimulates indispensable collaboration with national and industrial bodies, combined with the experimental studies conducted in the ECVAM laboratories. The Unit has excellent facilities in a new building constructed for ECVAM, but not yet exploited fully. In the view of the Visiting Group this could also serve as a temporary working place for national teams or other needs of the El. The Visiting Group was concerned to learn, also from DG XI, that work has not progressed fully as foreseen. Information exchange and, in particular, the initiation of a broad dialogue with all interested parties has been fully developed, as witnessed by the many successful workshops organised. On the contrary, the requested database on alternative methods and services has not been initiated. Above all, the work of ECVAM to coordinate the validation of methods for alternative tests has not yet led to definitive results. Although the complexity should not be underestimated, as well as the fact that ECVAM is still building up with qualified staff, the priorities of the Unit with regard to work areas is questioned by both. the customer-DG and the Visiting Group. However, the Visiting Group is confident that the El Director, being fully aware of the situation, will take actions to meet the customer requirements and to state priorities. Indoor Pollution (Statutory Staff - 10; Non-permanent - 1; Trainees - 2) This is an important issue, on which the El has been engaged for many years, coordinating a European wide collaborative action "Indoor Air Quality and its Impact on Man" which is a collaboration between scientists from 15 European countries, for which the Unit provides the secretariat. The main experimental facility, the INDOORTRON chamber, appears to be in good use and serves primarily for the experimental validation of volatile organic compound emission measurements. This institutional research is supplemented by a shared cost action on measurement methods. Results of the research have been of interest to DG III (Industry), but overall the Visiting Group regrets, as does the El itself, that the work has not yet found a larger spectrum of users. Direct measurements in buildings have been made and the Visiting Group believes there is further room for work for third parties and Commission services, as was recommended by the previous Visiting Group. A-56- On more scientific grounds, the Visiting Group recommends the work of the Unit be oriented more towards the effect of indoor pollution on man, perhaps in strong collaboration with other Units of the El, thus linking with toxicology. This may lead to the further attractiveness of the work, whose future should be re-assessed in the light of its many potential applications. 8 European Technical Office for MEdicinal Products (ETOMEP) (Statutory staff- 14; Non-permanent -11; Trainees - 1) This Unit, where some 55% of the work is devoted to the support of the European Medicine Evaluation Agency (EMEA) in London in informatics and telematics, is oriented to the pharmaceutical regulatory sector. This includes information systems such as the European Community Pharmaceutical Information Network (ECPHIN), and a series of telematics projects financed as institutional support and in addition through work won as competitive support and shared cost action programmes. Some 15% of the Unit's activities are concerned with environmental systems as third party work for regional authorities. The Unit has a role - for 30% of its work - in providing information technology support to the entire El, both for scientific and administrative applications. Overall the Unit obtains half of its financial resources from institutional activities and the other half is won through competitive schemes, where this Unit has been particularly successful. The Visiting Group was informed about databases and information systems such as ECPHIN and ECDIN (European Chemicals Data Information Network) developed and maintained by the Unit. The Visiting Group was pleased to learn of the utilisation of these systems by outside users. It agrees with the El Director that this development, for the time being, should be maintained in the El and not yet transferred to outside operators, as suggested by the previous Visiting Group. Overall, however, information technology activities of the Unit should have a clearer orientation towards the main environmental objectives of the El. 9 Food and Drug Analysis (Statutory staff - 24; Non-permanent - 5; Trainees -11) This Unit's main objectives are to provide scientific and technical support to various Directorates General of the Commission and to provide chemical analyses to other units of the El, or Institutes within It has a very long tradition of support work to the the JRC. Commission services, going back to the early 1970's. One main activity is centred around the European Office for Wine, Alcohols and Spirit Drinks (BEVABS) organised at the request of the Commission in 1993 upon the initiative of DG VI (Agriculture). The purpose of the Unit is to combat fraud in wine production, notably the adulteration of wine by the addition of sugar and the watering of wine. The method applied is nuclear magnetic resonance (NMR) and the unit has established an EU wine data bank, using the results of NMR measurements and information on the origin of the wine from eight Member States, in collaboration with their national authorities and laboratories. ft-57- On the basis of its vested competences and excellent laboratory facilities the Unit furthermore, in response to requests from DG III (Industry), provides technical and advisory services related to chemicals in foodstuffs and food packaging materials. This work includes participation in collaborative trials for working groups of the CEN (European Committee for Standardisation). The varied work programme of this Unit includes analyses of contamination of animal feeds, of milk and milk products for DG VI (Agriculture and Fisheries) for DG XXIV and cosmetics and water for human consumption (Consumer Policy Service). These various work areas provide technical support to existing Community legislation or scientific- technical background for possible new legislation, The Unit therefore the acts as the Commission's own laboratory and contributes to arbitration when different measurement methods and results are to be compared and harmonised throughout the EU Member States. Most of the work is classified as institutional support. However, the Unit has also won shared cost action projects with national partners in the field of food analysis and in addition some of the work for Directorates General III, VI and XXI (Customs and Indirect Taxation) is The conducted under contracts won as competitive support. confidence in the work of the Unit, as witnessed by the many requests to it over so many years from a variety of Commission services coupled with the growing importance of the subject area, could, in the opinion of the Visiting Group, lead the Commission to define a more targeted 'Office for Food and Drugs' within the El, provided there is a clear scope and vested user need and that adequate resources are made available. IV. IV. 1 Implementation of Research Mission The published mission of the El is in line with the overall mission of the JRC as described in documents made available to the Visiting Group and is amply reflected in the mission of its constituent scientific units. The objectives of the institutional research and institutional support are described in Annex I: Scientific and Technological Objectives and Content of the Council Decision of 15 December 1994 on the JRC Specific Programme 1995-1998. This does not make any particular reference to either the El or to the other JRC Institutes. The Visiting Group, however, on the basis of the workprogramme sheets for 1995 and an overview of the work distribution between the Institutes, judges that the El institutional work is fully in line with the objectives as detailed in the programme decision, in particular for the Environment and Climate theme. IV. 2 Transfer Since a large proportion of the work of the El is devoted to institutional or partly competitive support to other services of the Commission, a major part of the transfer of its research results takes place within the frameworks established for its interaction with the customers. The Visiting Group, however, would encourage external publications whenever possible of scientific research results and studies of In ongoing dialogue of common interest in peer reviewed journals. new ideas and requests with the Commission customers the El appears to be very receptive. This interaction and dialogue, however, is not solely restricted to the formal users, but is extended through the relevant national environments, as witnessed by the many network arrangements set up and the initiative of the Environment Institute to arrange seminars and symposia. The record of publications, as R -58- illustrated by the El Annual Report 1995 and the statistics was made available to the Visiting Group. IV. 3 Quality The above mentioned statistics on publications as illustrated in the El Annual Report demonstrates a clear drive to publish the Institute's research results across most aspects of its activities, in peer refereed journals, which gives the Visiting Group confidence in the quality of the work performed. Throughout its visits the Group also recognised the European added value of most of the ongoing work, but would recommend maximum efforts to include all Member States and associated countries in the research programmes. IV. 4 Competitive Activities The Visiting Group found that the El has responded in a dynamic way to the new challenges set out for the JRC, with participation in a wider spectrum of competitive activities than was possible in the past and was encouraged that so far the El has achieved good success in In particular, the participation in shared cost action competition. programmes was considered to have brought value, because these open up a new dimension to the collaboration with national organisations. The El also participates in competitive support, but the borderline between this type of action and institutional support is not distinct. The Visiting Group was also informed of some administrative problems in relation to the new competitive support action introduced in the 4th Framework Programme. Finally the El continues to participate in work for third parties, which accounted for some 4% of its income in 1995. Present projections indicate at least a 15% income from the competitive activities, heading towards the targeted ratio of 80/20 between- institutional and competitive activities. This is seen as a good opportunity for the El at this level. IV. 5 Management Issues in General The Visiting Group reviewed with the Director the methods of internal management of the Institute and was pleased to find that improved procedures appear to have been set up, not only to ensure proper management control of the work progress, but also to create a stimulating atmosphere for the generation of new ideas. In this respect the Visiting Group was also pleased to learn of the outcome of a recently held 3-day internal seminar on the future strategy for the El and of the clear intention of the Institute to become, in its specialist areas, the leading Institute in Europe in its field. The Visiting Group felt, as emphasised above, that a greater degree of cooperation between the Units would strengthen the Institute and was pleased to learn of the plans to set up inter-Unit projects, with two or more units participating in each project. In the view of the Visiting Group exploratory research may be a further vehicle for fostering this necessary and welcome trend. ft-59- The Visiting Group recognised the highly competent and motivated staff of the Institute. It examined in detail the age structure. For the scientists there is a clear peak in the 31-40 year age bracket and another in the 61-65 age bracket. Thus, several of the staff are In the immediate future the approaching the statutory retirement age. the challenge for management will be to preserve and maintain accumulated competences in order to equip the Institute for the medium and long term future. V. Executive Summary The Visiting Group concludes that the work undertaken by the El is of high quality and meets the objectives set out in the Council Decisions on the JRC specific research programmes 1995-1998, and the intentions in the Council Conclusions of April, 1994 on the Role of the JRC, including competitive activities. The Visiting Group judged that the recommendations from the previous Visiting Group covering the 1992-1994 period, have largely been implemented, as far as possible. For an Institute with a large proportion of its work devoted to scientific- the customer/user the Union's policies technical support requirement that objectives be met is very important. to With one exception, the Visiting Group is convinced this is fulfilled and the Group welcomes the fine performance of the El in the competitive arena. transfers Future prospects are good, provided the El smoothly knowledge and expertise across the generation shift for an important proportion of its staff, including some in senior managerial positions. VI. VI. 1 Recommendations S&T Activities Maintain the primary task of providing the scientific support necessary to underpin the EU policies for environmental and consumer protection; Further extend outside scientific collaboration to encompass all EU Member States and associated countries; Increase the multi-disciplinary approach, notably with regard to improved interaction with life sciences in further activities of the El (as an example, on indoor pollution); Pay particular attention to the promising developments in the area of food and drugs, where the El may gain an even more prominent role; Similarly in the area of water research and the management of water resources, where the El has, as yet untapped, further potential. R -60- VI. 2 Infrastructure Continue plans to concentrate and better distribute the Institute premises and laboratory facilities, as this will contribute to improved interaction between the Units of the Institutes; Foster further collaboration between the Units of the El, including the institution of inter-Unit projects. VI. 3 Managerial Provide early plans for the necessary succession planning in relation to the forthcoming retirements to ensure that developed competences are safeguarded for the future of the El; Related to the above, recruit new staff into the work at the necessary time to develop and extend flexibility to respond to customer needs; Maintain the recorded level of customer satisfaction, check customer opinions at regular intervals and implement the steps necessary to restore adherence to objectives agreed with the user, in cases of variance; Strive for a proper balance between institutional (i. e. EU funded) activities and competitive activities in the context of the overall JRC policy. Competitive activities may increase in proportion towards the 20% goal for the present programme period. Encourage whenever possible that the outputs of the El's research and services should be published in peer reviewed journals to extend the already promising position. ft-61- Metsähovintie, 11 October, 1996 REPORT OF THE VISITING GROUP FOR THE EVALUATION OF THE JOINT RESEARCH CENTRE'S SPACE APPLICATIONS INSTITUTE A-62 CONTENTS I. II. III. 111. 1 111. 2 111. 3 111. 4 111. 5 111. 6 IV. IV. 1 IV. 2 IV. 3 IV. 4 V. VI. VI. 1 VI. 2 VI. 3 Introduction General Observations Scientific and Technical Activities Agricultural Information Systems (AIS) Environmental MAPping and Modelling (EMAP) Marine Environment (ME) Monitoring Tropical Vegetation (MTV) Advanced Techniques (AT) Centre for Earth Observation (CEO) Implementation of Research Mission Transfer Quality Staff Management Executive Summary Recommendations Scientific and Technical Activities Infrastructure Management 64 65 65 65 66 66 67 67 68 69. 69 69 69 69 70 70 70 71 71 Annex I: Members of the Visiting Group Annex IhTerms of Reference of the Visiting Group A-63- Report of the Visiting Group for the Evaluation of the Joint Research Centre's Space Applications Institute (Ispra, Italy) INTRODUCTION At the invitation of the Board of Governors of the Joint Research Centre (JRC), a Visiting Group of independent experts (see Annex I) spent the 9th and 10th September 1996 at the Space Applications Institute (SAI) at Ispra, reviewing its work, meeting the staff and visiting the laboratories and other installations. The present exercise follows that performed by Visiting Groups in 1993 and 1994 when the name of the Institute was the Institute for Remote Sensing Applications recommendations made at that time will be an important factor to be considered. i m p l e m e n t a t i on of (IRSA) and the independent Since that time certain changes have occurred and the JRC has become from DG XII and is now an autonomous Directorate General of the Commission (Commission Decision of 10 April 1996 on the Reorganisation of the JRC). Furthermore, the Council has further clarified the JRC's role by clearly distinguishing between institutional and competitive activities (Council Conclusions of 26 April 1994 on the Role of the JRC) and in Council Decisions of 15 December 1994, adopting the present "specific programme for research and technological development, including demonstration, to be carried out for the European Community " by the JRC under the Community Framework Programme. This requires that an evaluation is carried out by external experts on work performed during the preceding five years. The above changes, together with efforts intended to increase efficiency and reduce costs, have led to some internal reorganisation of the JRC structure. This in its turn has resulted in a reduction of the number of Institutes from eight to seven and in consequence, a redistribution of certain tasks and projects. The general scientific and technological objectives and content for the Joint Research Centre's specific programme are set out in Annex I of the Council Decisions of 15 December 1994. Institutional research activities are included in this annex which also includes institutional scientific and technical support. Together, these two areas comprise the JRC Direct Action and specific rules for its implementation are given in Annex III of the Decisions. The scientific and technological objectives and contents of the competitive support activities are to be found in Annex IV and the specific rules for their implementation in the Commission Annex VI. These activities are managed by Secretariat General and the relevant Directorates General. The particular objective of the Space Applications Institute is the generation of relevant, timely and accurate information from remote sensing and space systems. This involves: work supporting the sectorial policies of the European Union concerning agriculture, forestry, environment, aid to development and regional aid. work to promote, disseminate and support remote sensing applications and services in the Earth Observation industry, value A-64- added companies, research organisations. institutions and government The Visiting Group has applied the Terms of Reference given in Annex II of this report on the understanding that although the present evaluation will contribute to the general evaluation of the Framework Programme being performed at present (which requires assessments to be made covering the past five years) it is nevertheless based on a its somewhat different premise. The JRC by its nature and by assigned tasks is evaluated Institute by Institute rather than with a programme oriented approach. The present system of visits by teams of independent experts covering the whole spectrum of activities of each individual institute has been widely accepted as the best practical method of assessing the JRC, and indeed is that favoured for many other research organisations worldwide. The present evaluation will therefore cover the period from Summer 1994, when the iast visits took place, up to the present time, and together the two reports will review the whole period in question. II. GENERAL OBSERVATIONS The observations of the Visiting Group are based on the presentations of the Units of SAI by the Unit Heads, on the discussions with the Director of the Institute, on visits to some laboratories, and on printed material delivered before and during the visit. The presentations and subsequent discussions gave information to the Visiting Group about the objectives and main results of the Units. The discussions with the Unit Heads clearly brought out the most important results and the direction of future activities. The presentations reflected the often high scientific and technical quality of the Units and professional approach towards development and use of applications of remote sensing. The discussions showed a sharpened awareness of the mission of the Institute on the part of the management. The Visiting Group also reviewed with the Director and Unit Heads the recommendations of the previous Visiting Group and actions taken to follow The Visiting Group noted with satisfaction that the previous recommendations have been taken into account, were implemented or were not relevant any more. the recommendations. SAI plays, and should continue to play, an important role in the development of European Earth Observation, and its activities have become crucial to the exploitation of the investments made by Member States, particularly in the European Space Agency. To this end it must continually disseminate the results of its work, even to potential competitors, and be ready and eager to transfer activities to operational entities, particularly in the private sector. This implies a willingness in due course to close down activities which have proved either to lack promise or have found new sponsors, thereby making resources available for new activities - always, of course, within the agreed mandate of the SAI. III. IIL1 SCIENTIFIC AND TECHNICAL OBJECTIVES Agricultural Information Systems (AIS) The presentation and discussions confirmed the impression of the previous visiting group, that this Unit has a high level of professional competence and an excellent understanding of the SAI mission in this important field. Visible progress has been made in the past two years, A-65- not only in techniques (for example, the introduction of radar into the methodologies), but also in the transfer to operational entities and the extension of the SAI work to Eastern Europe and North Africa. The progress made is perhaps best illustrated by the setting up of a so- called "super control" to monitor quality in the service industry now working in this area. The Unit is well qualified to work in the future in the important field of major hazards and risks, but it is not a simple extension of present work. Accordingly, it is essential to recognise, firstly, that new links must be forged with other entities already working in this field, and secondly, that the activity will almost certainly require the addition of some new expertise. 111. 2 Environmental MAPping and Modelling (EMAP) The research and development in EMAP are concentrated on the applications of remote sensing methods for environmental purposes. Typical projects are mapping and monitoring of European forests, natural grasslands, Mediterranean land degradation and urban land use. The Unit uses advanced methods such as fuzzy logic, fractal techniques and neural networks. The main projects of the Unit are Forest Ecosystem (FIRS) and Mediterranean Environments. The Visiting Group noted clear progress in these important projects. EMAP has not been able to attract DG VI (Agriculture) for competitive projects as much as the Unit had anticipated. The Visiting Group notes that it is a responsibility of the Unit to develop applications in prospect to some minimum level where benefits can be foreseen or are likely to be achieved. After that projects can be "sold" to customers for competitive actions. The Visiting Group also noted that EMAP is lacking a clear strategy and commonly accepted goals for the future. The mission of the Unit should be clarified with the personnel of the Unit and the Director of the SAI. 111. 3 Marine Environment (ME) The objectives of this Unit are to develop and validate methodologies for the use of space observations in both operational applications and scientific investigations related to the marine environment. Basically remote sensing of ocean colour and sea surface temperature have In order to validate been studied and applied, e. g. in coastal areas. the derived parameter distributions the Unit has carried out an experimental activity successfully. More recently, the goals were extended integrated approach combining the use of remote sensing data, in-situ measurements and numeric modelling. in the direction to promote an The processing of satellite data in order to generate distributions of ocean colour and sea surface temperature has been improved substantially towards operational use for e. g. coastal management and the field of fisheries. The Unit was also successful in getting support in the area of competitive activities. the research concept of an The Visiting Group acknowledges integrated approach by combining remote sensing data, in-situ measurements and modelling in principle, but it strongly recommends not putting manpower into the development or use of 3-D models, but rather to cooperate closely with correspondingly experienced groups, and to define carefully the interface for fruitful work between them and the Institute. The efforts of SAl/ME should be mainly concentrated on A-66- the remote sensing part including calibration/validation and understanding of processes. in coastal areas competent partner in the cooperation. in order the to be a 111. 4 Monitoring Tropical Vegetation (MTV) The objectives of the MTV Unit are the characterisation of vegetation canopies and eco-systems in tropical regions. Data sets of different satellite sensors have been used to derive large-scale information in order to support the study of global change issues. These activities include the human impact upon land resources like deforestation and biomass burning. The presentation of the Unit was clear and gave a very good insight into the work of the last years. Major results, like the first global tropical rainforest map as derived from AVHRR (Advanced Very High Resolution Radiometer) data, and the large scale ERS-1 (European Remote Sensing satellite number 1) radar mosaic of Central Africa, were impressive. The monitoring of biomass burning within the FIRE (Fire In global Resource and Environmental monitoring) project yielded the first global fire distribution map, which should be very useful for investigations of tropical atmospheric chemistry. The laboratory visit included the interesting presentation of the TREES (TRopical Ecosystem Environment observations by Satellites) CD-ROM containing a wide range of TREES products. It has been recognised by the Visiting Group that there is some overlap with other Units, in particular with respect to remote sensing of forests. As a consequence, it seems to be necessary to reinforce the cooperation between the relevant Units. The MTV Unit has been very successful in acquiring funds in the competitive activities area. The Visiting Group encourages the Unit, that the main activities will be pursued in the same direction in the years to come. Attempts to interface remote sensing measurements and biosphere modelling are supported, but the latter activity should be kept small. 111. 5 Advanced Techniques (AT) The Advanced Techniques Unit is investigating both theoretical and applications-oriented principles of remote sensing measurements in different spectral bands. The Unit is also developing advanced data analysis tools and information extraction methods. The presentations of the Unit and a visit to the laboratories were well organised and very informative. the The major measurement European Microwave Signature Laboratory (EMSL) and the European GOniometer (EGO). These quite new facilities have already produced significant results e. g. data base of signatures of remotely sensed targets. facilities operated by the AT are New projects such as detection and identification of anti-personnei land mines and ROad Condition and COntrol (RoCoCo) are well suited to the role of AT and will without doubt proceed towards useful applications. However, the Visiting Group notes that, if accepted, the proposed anti-personnel mine project, due to its public nature, may require different management efforts compared with those normally used at the Unit. A-G7- The Visiting Group noted that the management of the Unit is satisfied with the functioning of the EMSL Advisory Committee. The Visiting Group proposes similar advisory committees also for other Units of the SAI, if applicable to the benefit of Units. The Visiting Group encourages more extended use of facilities of AT for third party contractual work (now 7% in the case of EMSL). 111. 6 Centre for Earth Observation (CEO) The Visiting Group received a very competent description of the status of the Centre for Earth Observation, and noted with satisfaction that the Pathfinder Phase had been successfully concluded at the end of 1995. The Design and Implementation Phase has now started, and the Group was satisfied that the CEO management was being responsive to the directions being given by the Steering Committee and sensitive to feedback from cooperating entities. The project thus appears to be developing satisfactorily. In reviewing the CEO work area, the group would wish to make just two observations: The amount of data already being handled is impressive, but the avalanche has yet to come. Problems with such large quantities of data - not to speak of the difficulty of controlling the content of the databases - will multiply in the coming years. Planning the future of the CEO function after 1998 already needs high-level attention. New fields of activity, telecommunications and navigation have been added to the work schedule of the unit responsible for the CEO. It is important, both in the CEO and in other SAI units, that these understandable extensions should initially be restricted to areas wholly connected with satellite remote sensing. The Visiting Group supports the proposed new activity in atmospheric research, in principle. On the other hand, it is not clear if the CEO Unit has enough specialist experience in this research area to develop the UV radiation project. Therefore, it is recommended that it be carefully examined if SAI/CEO has to recruit one or two experts from experienced European laboratories in order for the Institute to be in a position to undertake recognised work in this field. r\-68- IV. IV. 1 IMPLEMENTATION OF RESEARCH Mission The mission of the SAI, its place within the JRC and relevance of its work to the Framework Programme, all appear to the Visiting Group to be adequately defined and documented. The objectives and the methods to be followed in the SAI have been promulgated and seem to be widely understood and respected by staff. IV. 2 Transfer There was a good appreciation of the need for ideas, information and results to be continuously diffused, not only within the SAI, but also between sister Institutes within the JRC and in the outside world. But continued vigilance is necessary on the part of the Director and senior staff to ensure that this openness continues to be encouraged by the Institute. The Visiting Group took note that the number of publications produced by the Institute is quite high. On the other hand, it is recommended that the Institute should make more frequent use of the respected refereed journals as publishing channels. Publishing in refereed scientific journals represents a good continuous evaluation process of the work and results of the Institute. IV. 3 Quality The Visiting Group had specific evidence of a striving for quality and excellence, but here again this report can be little more than a snapshot and continued effort is required in this area. It is somewhat difficult for the group to offer a thorough opinion as to whether results are commensurate with the resources deployed, but there was certainly an air of targeted activity, and a realisation that quality needs to be maintained. It is suggested that the multi-annual work schedules for the various research areas should attempt to include more specific milestones whereby progress could be more effectively measured - by the Director as well as by governing bodies or visiting groups. IV. 4 Staff Management A new Director for SAI was appointed about a year ago. The new Director with his Deputy, the Scientific Assistant and Administrative Assistant, has built a management group which makes a very competent impression and gives the feeling of a well directed and motivated Institute. Recent administrative decisions appear to have gone a long way towards solving the recruitment problems to which the previous visiting group drew attention in its report. This is very gratifying, because the dynamic nature of SAl's workload requires a continued measure of flexibility if appropriately qualified key staff are to be recruited in time. Some of SAl's future projects will involve complicated partnership arrangements and may have a high political profile. Consideration should be given to recruiting, training or acquiring in some other way, the services of experienced project managers capable of undertaking such activities, as well as recruitment of the more conventional disciplines of the Institute. A-69- The Visiting Group has also discussed the role of the Units and the interaction with the Director. Even though the Units have the scientific research responsibility programmes, future proposals have to be developed in close cooperation with the Director. The responsibility of the Director includes the preparation of an integrated scientific programme and the proposal of new research areas. the performance of established for V. EXECUTIVE SUMMARY At the invitation of the Board of Governors of the Joint Research Centre (JRC), a Visiting Group of independent experts (see Annex I) spent the 9th and 10th September 1996 at the Space Applications Institute (SAI) at Ispra, reviewing its work, meeting the staff and visiting the laboratories and other installations. The present exercise follows that performed by a Visiting Group in 1994. The name of the Institute was at that time the Institute for Remote Sensing Applications (IRSA). The Visiting Group reviewed the present situation, development since previous Visiting Groups, and took note of actions taken to fulfil the recommendations from 1994. The Visiting Group noted with satisfaction that in general terms the management of the Institute is running well and high quality scientific and technical results have been achieved in all six Units of SAI. Nevertheless, the. Visiting Group noted that some further improvement could be made in certain aspects of management and strategy, and in scientific and technical work done in some of the Units of SAI. The recommendations of the Visiting Group are presented in Chapter VI of this report and those which are related to only one of the Units are also repeated in Chapter III in connection with the Unit concerned. VI. VI. 1 RECOMMENDATIONS Scientific and Technical Activities The Visiting Group has noted that in different SAI Units there is a growing requirement for radiative transfer (RT) modelling. In order to avoid unnecessary duplication in this field it is recommended that only one small group of RT experts for the Institute as a whole be established and to have just one, or a very restricted number of RT specialists per Unit, for applying the specialised RT models. Several Units of SAI are involved in remote sensing of forests. Whilst accepting that different problems exist in the various projects, it nevertheless seems to be necessary to establish a regular cooperation between the relevant Units, in order to further the study of the basic procedures in remote sensing of forests. The Visiting Group acknowledges the research concept of an integrated approach by combining remote sensing data, in-situ measurements and modelling in principle, but it strongly recommends not putting manpower into the development or use of 3-D models, but rather to cooperate closely with correspondingly experienced groups, and to define carefully the interface for fruitful work between them and the Institute. The efforts of SAl/ME should be mainly concentrated on the the remote sensing part including calibration/validation and understanding of processes to be a competent partner in the cooperation. in coastal areas in order A-70- The Visiting Group supports the proposed new activity in atmospheric research, in principle. On the other hand, it is not clear if the CEO Unit has enough specialist experience in this research area to develop the UV radiation project. Therefore, it is recommended that it be carefully examined if SAI/CEO has to recruit one or two experts from experienced European laboratories in order for the Institute to be in a position to undertake recognised work in this field. VI. 2 Infrastructure The Institute and its Director can benefit from advice and criticism from outside the normal hierarchical chain. This could be provided either by an SAI advisory group (to be established, meeting about once per year) or by ensuring that a visiting group is regularly convened every two years, approximately. Given the workload already created by existing committees and the like, the second method would probably be preferable. However, in this case the visiting group should consist of 4 or 5 members, rather than the present 3, in order to provide a better coverage of the disciplines. VI. 3 Management Many of the problems which SAI is tackling are inter-disciplinary and it is obviously important for the Institute to have good and continuous collaboration with the other JRC Institutes and to take the maximum advantage of their existing capabilities. There is ample evidence of good relations at a working level between Institutes and the regular meeting of Institute Directors provides a basis for cooperation at senior level. Given the increasing breadth of SAI activities, however, this is a subject which requires regular attention. Because of the increasing relevance of its work to industry it is recommended that appropriately qualified representatives from industry should be included in SAl's committees, working groups, etc. , along with those from academia and elsewhere. The group would not, however, suggest creating a separate industrial consultative body. Industry's intellectual contribution will be most effective if it is injected into the system at varying points, rather than being in a single - ghetto like - body. A-71 Cambridge, 21 October 1996 REPORT OF THE VISITING GROUP FOR THE EVALUATION OF THE JOINT RESEARCH CENTRE'S INSTITUTE FOR PROSPECTIVE TECHNOLOGICAL STUDIES A-72 CONTENTS I. II. III. 111. 1 Introduction General Observations Scientific and Technical Activities Block 1 - European Science and Technology Observatory (ESTO) 111. 2 Block 2 - Technology - Employment - Competitiveness (TEC) 111. 3 Block 3 - Institutional Support Agreements 111. 4 Hl. 4. 1 111. 4. 2 111. 4. 3 Hl. 4. 4 IV. IV. 1 IV. 2 1V. 3 IV. 4 V. VI. VI. 1 VI. 2 VI. 3 and Projects Block 4 - Customer Review - - - - Project Management Quality Value Future Issues Implementation of Research Mission Transfer Quality Areas of concern Executive Summary Recommendations S&T Activities Infrastructure Management 74 75 76 76 77 77 78 78 78. 78 79 79 79 79 80 80 81 82 82 82 82 Annex I: Members of the Visiting Group Annex H:Terms of Reference of the Visiting Group fc-73- REPORT OF THE VISITING GROUP FOR THE EVALUATION OF THE JOINT RESEARCH CENTRES INSTITUTE FOR PROSPECTIVE TECHNOLOGICAL STUDIES (IPTS) AT SEVILLE IN SPAIN I. Introduction At the invitation of the Board of Governors of the Joint Research Centre (JRC), a Visiting Group of independent experts (see Annex I) spent the 12 and 13 September 1996 at the Institute for Prospective Technological Studies at Seville, Spain reviewing its work, meeting the staff and visiting the facilities. The present exercise follows that performed by Visiting Groups in 1993 and the implementation of recommendations made at that time was an important factor to be considered. independent Since that time, certain changes have occurred and the JRC has become from DG XII and is now an autonomous Directorate General of the Commission (Commission Decision of 10 April 1996 on the Reorganisation of the JRC). Furthermore, the Council has further clarified the JRC's role by clearly distinguishing between institutional and competitive activities (Council Conclusions of 26 April 1994 on the Role of the JRC) and in Council Decisions of 15 for December 1994, adopting the present "specific programme research and technological development, including demonstration, to be carried out for the European Community " by the JRC under the Community Framework Programme. This requires that an evaluation is the carried out by external experts on work performed during preceding five years. The above changes, together with efforts increase efficiency and reduce costs, have led to some internal reorganisation of the JRC structure. This in its turn has resulted in a reduction of the number of Institutes from eight to seven and in consequence, a redistribution of certain tasks and projects. intended to The general scientific and technological objectives and content for the Joint Research Centres specific programme are set out in Annex I of the Council Decisions of 15 December 1994. Institutional research activities are included in this annex which also includes Institutional scientific and technical support. Together, these two areas comprise the JRC Direct Action and specific rules for its implementation are given in Annex III of the Decisions. The scientific and technological objectives and contents of the competitive support activities are to be found in Annex IV and the specific rules for their implementation in Annex VI. The mission of the Institute for Prospective Technological Studies as defined by the Commissioner for Science, Research and Development, Mrs. Edith Cresson, "is to collect information about technological development and its application in Europe and the world, to analyse it and to transmit it in processed form to the European decision makers". Its particular objectives are defined as follows: IV-74- to perform technology watch (TW), particularly in the areas of energy, environment, transport, information technology and biotechnology; to carry out studies on matters relating to technology, employment, competitiveness (TEC); to undertake work on request (WOR). The Visiting Group has applied the Terms of Reference given in Annex II of this report on the understanding that although the present evaluation will contribute to the general evaluation of the Framework Programme being performed at present, which requires assessments to be made covering the past five years, it is nevertheless based on a somewhat different premise. The JRC by its nature and by its assigned tasks is evaluated Institute by Institute rather than by a programme oriented approach. The presently applied system of visits by teams of independent experts covering the whole spectrum of activities of each individual Institute has been proven and widely accepted as the best practical method of assessing the JRC and indeed is that favoured for many other research organisations worldwide. The present evaluation will therefore cover the period from Autumn 1993, when the last visits took place, up to the present time, and together the two reports will review the whole period in question. II. General Observations In evaluating the Institute, the Visiting Group was particularly interested to explore changes that had taken place since the last visit in 1993, when the IPTS had been situated in Ispra. Recommendations made at the time were examined in the light of a follow-up action carried out mid-1995, at which time five out of the nine recommendations had been accepted and implemented. Regarding the other four, the early strengthening of the Brussels unit to the recommended 6 staff was not possible during the initial period and considered to be undesirable before a reputation had been gained with customer services there. Recently, however, the Brussels contingent has been enlarged with an additional person and successful contacts are developing. The recommendation to recruit staff from outside Ispra has occurred in practice because of the nature of the experience required. New staff have largely been selected from outside the JRC. The recommendation that 50% of the scientific manpower should be non-JRC staff has also occurred naturally and there is at present an almost equal ratio. Finally, the recommendation that annual reports should contain a special section on recommendations with a further evaluation in 1997 has been pre-empted by strong follow-up campaigns launched by the JRC Board of Governors and by the present evaluation. In the 3rd Framework Programme the Institute had no budget from programme activities and relied entirely on contracts with other Commission services and work for third parties for its income. This situation has changed with the 4th Framework Programme Decision. fY75- Since 1993, the Institute has been rehoused in the World Trade Centre in Seville, where an existing technical infrastructure is ensuring good communications with Brussels, the rest of the JRC and with members of its various networks, while its position nearby but not inside the science park provides excellent opportunities for contacts, without danger to the Institute's European Union image. Since the International Exhibition of 1992, Seville has enjoyed improved rail and air communications with most European capitals. III. Scientific and Technical Areas lll. l European Science and Technology Observatory (ESTO) ' Since the debut of ESTO in October 1995, under the 4th Framework Programme, this activity, in many ways the core of the Institute's activities, has made rapid progress. The concept has been defined, founded on a network of European nationally-based institutions. At the time of the visit, the final agreements with core members had not yet been signed, but preparatory work was already well advanced and some activities were operational. The Visiting Group feel confident that preliminary milestones are largely being met. We consider ESTO to be the Institute's salient activity and as such, the data base should have the widest possible accessibility. Similarly, the ESTO network should have an open membership within the European Union, whilst recognising the special position and responsibilities of the core members in its management. To ensure its credibility, strong quality control measures are essential and this feature will enhance the Institute's reputation and help to create added value in all its operations. With the achievement of a reputation for quality, it is foreseen that ESTO outputs could increasingly form the trigger for in-depth studies both in IPTS and elsewhere in other network members. We see ESTO as an enabling facility for an expanding field of European programmes. Finally, ESTO should be exploited to bring up-to-date information on best practice in prospective technological studies to the Institute. Since December 1995 IPTS has been publishing "The IPTS Report" at the request of Commissioner Cresson. The report, issued in 10 numbers per year, is addressed to decision makers involved in "managing change" and selectively presents condensed articles on technoeconomic issues which need wider debate. Topic preparation is carried out collaboratively by the Institute with a small group of ESTO core members interactively using the Internet for speedy communication. At the time of the visit, 8 issues were available and circulation had reached some 4,000 copies and was still growing. The Visiting Group applauds these first efforts and expects to see ESTO develop into a service with significant European added value as experience is gained. fV76- 111. 2 Technology - Employment - Competitiveness (TEC) Work on TEC began in September 1995 and is largely programme oriented. In the first year some 18 man months have been devoted to three major topics: the Competitiveness Programme; the Employment and Technology Programme; the Regional Aspects and Resources Programme. The first two topics are the subject of considerable activity with scientists and organisations throughout the world. The OECD is particularly active. The IPTS is still a newcomer. It is important that IPTS identifies projects of special competitive advantage to the Community as early as possible. The present concentration on "economic webs" and competitiveness seems to be a reasonable but ambitious approach. To ensure a high quality in this area, extensive contacts with the OECD regarding their work on national innovation In addition, a clear focus on the systems could be rewarding. European policy dimension could bring greater pertinence to the issue. In the Employment and Technology Programme we agree with IPTS that although various aspects have already been examined by others, conclusions do not exist in an explicit form. However, thinking through the combination of competitiveness and employment to its conclusion requires great experience and this should be recognised. The proposed plan to focus on a European model that promotes and reinforces competitiveness and employment is supported by the Group and should be developed with other Institutes. The Regional Aspects and Resources Programme reasonably focuses on the Mediterranean region. Should this work increase significantly, a special programme outside the TEC should be considered. The TEC has a broad field of interest and greater emphasis needs to be placed on project selection and project management to generate significant added value. Research elsewhere has created a huge literature bank and the application of advanced literature survey methods could bring considerable returns to the IPTS and save time and resources. It Lastly, TEC is a client oriented area, especially in the third topic. would be very advantageous interpersonal communication skills. IPTS needs to recognise that its customers will also need help to exploit IPTS findings. to train staff in 111. 3 Institutional Support Agreements and Projects Included under these agreements* is work undertaken for the following Commission units and Directorates General: Forward Studies Unit DG 111, Industry DG XI, Environment, Nuclear Safety and Civil Protection DG XII, Science, Research and Development DG XIII, Telecommunications, Exploitation of Research. Information Market and 1 Formal agreements which are signed between the JRC and the Directors General of the services concerned. f\'-77- In addition, projects are being or have been undertaken for other Institutions as follows: European Parliament (including STOA) Council of Europe. Projects cover topics such as: Environment Pharmaceutical industry Transport etc. The Visiting Group considered that in these cases, the IPTS will need to identify the particular aspect of value to these organisations. After debating the subject, the Group concluded that IPTS activities, to be of greatest value, should be situated near but upstream of the decision making process. As a young organisation,, to obtain maximum effectiveness, the interactions it will have with its customers. The Visiting Group felt that with its growing experience, considerable progress was being made in the area. IPTS will have to pay particular attention to 111. 4 Customer Review The Visiting Group contacted a number of customers in the above organisations to gain their views. These are summarised here. 111. 4. 1 - Project Management IPTS projects generally adhere to the brief but customers feel the need to have a much stronger interactive process in their projects. This is considered helpful for better management but most importantly to facilitate transfer of results. The Seville location does not help this. IPTS might consider lending or exchanging staff with customers to facilitate this interaction. There is a need to recruit staff who can work directly with customers in the policy making process. IPTS controls timescales well except in the area of staff management. A project defined in November 1995 was delayed for more than 6 months by lengthy procedures in staff recruitment. 111. 4. 2 - Quality Although customers thought it a little early for full evaluation of quality In comparison with consultants, "quality they were positive so far. management" is reasonable. 111. 4. 3 - Value There does seem definite evidence that IPTS advice has been used to formulate policy. But IPTS need to follow up projects more strongly on this aspect. This will further improve their projects as experience builds up. IPTS is seen as particularly valuable as it could work in sensitive areas, gain access to privileged information and interpret it for the IPTS is expected to digest research results European perspective. and include communication. into the policy dimension, which will interpret them A - 7 8- One very positive feature of IPTS is that customers know that they will take an in depth look at global scale in each project area, consultants generally don't have the brief or time to do this. For IPTS work to have the highest value, the closer it can work with its customers the better. 4. 4 - Future issues (1) (2) (3) (4) IPTS and the JRC need to build stronger working links. The JRC can use IPTS for JRC planning, strategy and prospective or foresight activities. IPTS could exploit JRC resources and scientific knowledge more effectively. IPTS should play a greater role in animating European foresight as this topic will become a priority and some organisation has to be in charge. More generally IPTS should become a pro-active organisation, a full part of the policy making process. IPTS must further strengthen links with the national policy institutes, who are doing the same sort of job and encourage company/academic/ government collaboration. IPTS should be assessing Europe's capability the international challenge. The US/Japan have their own groups to do this, IPTS should do this for the EU. to meet IV. Implementation of Research IV. 1 Mission As mentioned in the introduction, the mission of the Institute defined by the Commissioner, Mrs. E. Cresson "is to collect information about technological developments and its application in Europe and the form to the world, to analyse it and to transmit it in processed European decision makers". The Visiting Group considers that the Institute is starting to establish a sound reputation with its customers and set up an infrastructure to meet their future demands. The IPTS' capability includes both modern information systems and a skilled staff able to exploit them efficiently. The IPTS mission was well understood by staff encountered by members of the Visiting Group and its terms are being met in most respects. IV. 2 Transfer Considerable efforts have been committed to establishing and maintaining efficient dialogue with major customers. The European Science and Technological Observatory (ESTO) network provides an alternative means of customer contact and also adds an extension to the Institute's own resources. The scientific, technical and intellectual assets of other JRC Institutes, however, seem to be largely untapped and could provide the IPTS with specialist advice and studies on a larger scale than at present. This possibility should be examined. The openness and availability of IPTS' output is considered to be a positive and very welcome advance on the situation encountered during the last evaluation. Information of all kinds was made available A-79- to the Visiting Group and the concern and flexible means employed to inform and engage the customer was felt to be a most satisfactory evolution. However, on examining some of the printed output it was the felt that a more uniform house-style would help to enhance Institute's image and should be implemented for all reports. IV. 3 Quality The perceived quality of output is consistent with a relatively youthful organisation and in general of good calibre. In future, however, formal quality control procedures must be adopted if the Institute's work is to be universally acknowledged; this being present practice in comparable institutes elsewhere. The management has set high standards for its statf, but recruitment of experienced "permanent" staff of the required level of excellence is still being hampered by lengthy EU procedures. Furthermore, staff additions are required, particularly at the more senior levels, if the necessarily high customer expectations are to be fully satisfied. On the other hand, the flow of short-term staff now appears to be highly satisfactory both in quality and in numbers consistent with the recommendations of the previous Visiting Group. Intelligent use of this resource enhances the Institute's vitality, flexibility and enthusiasm. Besides introducing the latest skills the benefits greatly outweigh the extra supervisory effort required by "permanent" staff. IV. 4 Areas of concern The Visiting Group is particularly concerned that IPTS may be pressured to attack an unreasonably wide range of issues, thereby diluting its effectiveness. Consideration should therefore be given to identifying those future and new European priority areas. Rather than limiting its vision to traditional themes, much under study in Member States and elsewhere. Policies relating to food, demographics, socio/economic stability, regional influences are likely to emerge and should provide sufficient new challenges. A transparent and formal project management system has not yet been fully developed in the Institute, in part due to other priorities during its early years. A suitable system should now be installed with some urgency. For example, for each project, a clear and unequivocal definition of operational goals is needed and the project leader must have clearly defined responsibilities. Project resources, both internal and external, required to meet customer requirements should be These will enable predetermined and realistic milestones set. management to assess continuously performance and take action where required, stimulate a methodical approach and enhance customer confidence. In line with the above, sensitive qualitative indicators should be identified appropriate to the types of work carried on by the IPTS, serving to monitor the use and value customers obtain from the (new Institute. Emphasis must be placed on tangible action Community programmes, changes improved legislation, etc. ) following input from Institute actions rather than from citation rates, numbers of numerical evidence obtained for impressive indicators publications, etc. , demonstrating output but failing to demonstrate success. It is essential in that respect that project leaders can and do track the practical use made of their project results. in policy direction, themselves in ft-80- V. Executive Summary Overall considerable progress has been made since the last visit. In particular IPTS now has a much clearer brief, formal budgets, a defined set of customers, a skilled and enthusiastic staff and has delivered valuable results. This is very encouraging. After the management changes which have taken place a period of continuity is now necessary to allow the full potential of IPTS to be realised. For an organisation of its age project management and quality are typical, but more needs to be done. A clearer view of the ways IPTS needs to work with its customers is now emerging. Customers are seeking greater interaction with and participation of experienced formulation process. We consider this a most healthy development but it will need more experienced staff to work with the researchers and much closer working relationships with customers most of whom are based in Brussels. This is still in their eyes, a long way from Seville. Use of advanced communication technology and the Internet and World Wide Web need to be extended to key customers. in the policy IPTS staff The formation of the ESTO network brings a number of benefits. Apart from its main function as a science and technology observatory and reporting network, it starts to bring together many of the leading science policy institutes in a formal long range project rather than the short projects which had previously been a feature of the Institute's work. ESTO should also provide much more flexibility to IPTS in meeting short term requests from its own customers. It provides an alternative channel to policy makers through national institutes. Specifically IPTS, where relevant, needs to make more use of the scientific specialists in the other parts of the JRC. This might be facilitated by strengthening the contacts with the rest of the JRC and the expertise in the various Institutes: the JRC itself being able to use the IPTS to help set strategy as well as an indicator of scientific and technological trends. As a source» of scientific knowledge and a member of scientific networks, the other JRC Institutes need to be part of the ESTO network too. The portfolio of projects at IPTS needs to be carefully managed. There may be pressure to try to cover too much. ft -81 VI. VI. 1 Recommendations S&T Activities 1. Activate ESTO network but make the project as open as possible and widen project teams to include academics, policy makers and industrialists. 2. Where relevant, make more use of JRC specialists. 3. 4. In all projects relationships should be formed with the best research groups so that IPTS does not 'reinvent the wheel'. Help with the animation of discussions on European foresight actions (see Section lll. 4. 4(2)). 5. Form working relationships with the ETAN programme. VI. 2 Infrastructure 1. Continue to develop IT and communication systems to be of highest quality but focus on their effective utilisation by customers. Training will be needed. VI. 3 Management 1. 2. 3. 4. Introduce formal Project Management and Quality procedures. Build up more experienced Brussels team, investigate staff exchanges with customers. Change project organisation to increase customer interaction and indicators of measure performance on outcomes. Develop project value to aid management and staff assessment. Identify major European issues and take a leading, proactive stance. ft -82 ANNEX II • V" JOINT RESEARCH CENTRE JRC CONDENSED LIST OF RECOMMENDATIONS FROM THE REPORTS OF THE VISITING GROUPS TO THE JRC INSTITUTES 1996 •V A-S3 EVALUATION OF THE INSTITUTE FOR REFERENCE MATERIALS AND MEASUREMENTS (IRMM) RECOMMENDATIONS FROM THE REPORT OF DR. DEL MONTE CHAIRWOMAN OF THE VISITING GROUP No. 1 2 3 4 5 6 7 8 9 10 11 Recommendations Maintain suitable level of resources in core activity Avoid advantages to nuclear enterprises in certain countries More effort on chemical metrology Restructure IRMM to become EU centre of excellence in biological and environmental RMs Broader market for Institute Use "head hunting" agencies to target specific scientists and then employ them on competitive terms Attract staff on worldwide basis with more flexibility for Director, progress review oriented to Institute needs Business like approach needed under new JRC role Overhaul Institute accounting (using consultants), delegate operational decisions to Unit heads Include equipment depreciation in accounting procedures; define project objectives and milestones Provide marketing courses for selected staff from each Unit EVALUATION OF THE INSTITUTE FOR TRANSURANIUM ELEMENTS (ITE) RECOMMENDATIONS FROM THE REPORT OF DR. HANSEN CHAIRMAN OF THE VISITING GROUP No. 1 2 3 4 5 6 7 Recommendations Maintain excellence of staff - transfer knowledge at retirement by early use of pensioners Maintain reputation in actinide research - facilitate access to laboratory Strengthen safety research-develop/improve analytical methods for safeguards Set up interdisciplinary teams for projects - extend project management - promote qost accounting transparency Establish early planning of activities for 3 year contracts; 3 year contracts may not be appropriate in highly specialised areas; continue hosting young scientific fellows Apply adequate resources to maintain present nuclear authorizations Employ stepwise approach to certification and accreditation eft EVALUATION OF THE INSTITUTE FOR ADVANCED MATERIALS (1AM) RECOMMENDATIONS FROM THE REPORT OF PROF. BATHIAS CHAIRMAN OF THE VISITING GROUP No. 1 2 3 4 5 6 7 8 9 10 11 12 13 Recommendations Site work near, upstream of Industrial Research Work in coating^ area to be generic or precompetitive Open access databases encouraged but maximum outsourcing of routine tasks Avoid duplication of activities or important equipment between Units Characterisation is an important core competence for the Institute Encourage shared cost actions More inter-Institute collaboration in JRC Complete project management and total quality management introduction Examine recruitment procedures for scientific staff Enhance educational role, enhance number of doctoral and post-doctoral fellowships Increase mobility with short term attachments New mechanisms to start industrial third party work more quickly Contact European experts when establishing new activity fields EVALUATION OF THE INSTITUTE FOR SYSTEMS, INFORMATICS AND SAFETY (ISIS) RECOMMENDATIONS FROM THE REPORT OF MR. BENTON CHAIRMAN OF THE VISITING GROUP No. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Test results against competitive approach where technology is widespread in many laboratories Evaluate 3-D holographic image processing by industrial panel and confront industrial market Recommendations Opto-instrumentation for ELSA application should be further tested Develop analytical package for masonry structures Encourage collaboration with Japan in seismic research Critical mass not yet achieved in repair and strengthening structures Suggest external evaluation of ADIN 3 year staff should be allowed to apply for admission to Reserve List Reserve List laureates should be free to apply for 3 year contracts Director should carry reserve of 1 to 3 persons Patent administration should be moved to Institutes - with revenues to initiating Institutes Encourage Programme User Advisory Boards Explore establishment of commercial incubator facility Encourage exploratory research Develop and calibrate analytical tools, modelling techniques, system integration methods Encourage mobility of some senior ISIS staff to relevant Directorates General tô improve technology transfer 17 Extended competition is encouraged EVALUATION OF THE ENVIRONMENT INSTITUTE (El) RECOMMENDATIONS FROM THE REPORT OF PROF. BORREGO CHAIRMAN OF THE VISITING GROUP No. Recommendations Maintain scientific support to environmental and consumer protection policies Extend collaboration to all EU Member States and Associated countries Increase multi-disciplinary approach - particularly including Life Sciences Follow developments in food and drugs area for possible future actions Follow developments in water research and resource management as potential development area CO Continue concentration of laboratories and facilities Foster internal collaboration with inter-Unit projects Plan early for coming retirements to safeguard competences Seek means of inserting new staff at the necessary time 10 11 12 Maintain user satisfaction, regularly check opinions, follow-up discrepancies Be prepared to increase competitive activities to 20% Encourage documentation of output, preferably in peer reviewed journals EVALUATION OF THE SPACE APPLICATIONS INSTITUTE (SAI) RECOMMENDATIONS FROM THE REPORT OF PROF. URPO CHAIRMAN OF THE VISITING GROUP No. Recommendations Avoid unnecessary duplication of radiation transfer modelling (one small group for the Institute) Establish regular cooperation between units concerned with remote sensing of forests Don't develop 3-D models, cooperate with experienced groups - concentrate on remote sensing part Explore recruitment of experienced staff in UV radiation for atmospheric research Appoint advisory group or convene Visiting Group every two years Maximise collaboration with other JRC institutes Include industry representatives in working groups and Committees EVALUATION OF THE INSTITUTE FOR PROSPECTIVE TECHNOLOGICAL STUDIES (IPTS) RECOMMENDATIONS FROM THE REPORT OF DR. WHELAN * CHAIRMAN OF THE VISITING GROUP No. 1 2 3 4 5 6 7 8 Widen project teams via ESTO with policy makers, academics, industrialists Recommendations Make more use of JRC specialists Form projects' relationships with best research groups Help to animate discussions on European foresight actions Form working relationships with ETAN programme Continue developing IT and communication utilisation Introduce formal Project Management and Quality procedures Build more experienced Brussels team, exchanges with customers 9 10 Increase customer interaction and measure project outcome - develop value indicators vake leading proactive stance in identified major European issues ANNEX lu • V" JOINT RESEARCH CENTRE JRC COMPOSITION OF THE VISITING GROUPS TO THE JRC INSTITUTES 1996 V A-^o Visiting Group to the Joint Research Centre's Institute for Reference Materials and Measurements (IRMM) - Geel Members Dr. Maria Grazia DEL MONTE (Chairwoman) Tel: + 39. 6. 592. 40. 85 (505. 52. 61) Director Fax: + 39. 6. 592. 40. 85 (505. 02. 50) National Centre for Reference Materials Via di Castel Romano 100-102 1-00129 Rome Mr. PeterJ. JENKS Product Manager Biological, Elemental and Pharmaceutical Reference Materials PROMOCHEM GmbH D-46469 Wesel Tel: +49-281 9887-212 Fax: +49-281-9887-199 Mr. Robert KAARLS Director Nederlands Meetinstituut (NMi) P. O. Box 654 NL-2600 AR Delft Tel: +31-15-269. 1500 Fax: +31-15-261. 2971 Secretary Mr. Hans J0rgen Helms Joint Research Centre European Commission Square de Meeûs 8 (SDME 10/20) B-1050 Brussels Tel: + 32-2-29. 58527 Fax: + 32-2-29^. 50146 (\CW Visiting Group to the Joint Research Centre's Institute for Transuranium Elements (ITE) - Karlsruhe Members Dr. Niels HANSEN, Dr. Techn. (Chairman) Tel: + 45. 46. 77. 5701 Fax: +45. 46. 35. 1173 Head E-mail: materials@risoe. dk Materials Department Building 228 Ris0 National Laboratory Frederiksborgvej 399, P. O. Box 49 DK-4000 Roskilde Mr. Richard HOOPER Director IAEA Wagramerstrasse 5 P. O. Box 100 A-1400 Vienna Tel: + 43-1. 2060. 21808 Fax: +43-1. 2060. 29145 Dr. Klaus JANBERG Geschäftsführer GNS Gesellschaft für Nuklear-Service GmbH Hollestr. 7A D-45127 Essen Tel:+49. 201-109. 1401 Fax: +49. 201-109. 1137 Mr. Jean van VLIET Manager MOX plant Belgonucléaire Europalaan 20 B-2480 Dessel Secretary Mr. Hans J0rgen Helms Joint Research Centre European Commission Square de Meeûs 8 (SDME 10/20) B-1050, Brussels Tel: + 32-14 33 02 11 Fax: + 32-14 3170 46 Tel: + 32-2-29. 58527 Fax: + 32-2-29. 50146 i\-°ll Visiting Group to the Joint Research Centre's Institute for Advanced Materials (IAM) - Petten and Ispra Members Prof. Claude BATHIAS (Chairman) Conservatoire National des Arts et Métiers (CNAM) 2 Rue Conté F-75003 Paris Prof. Pier Giulio AVANZINI Direzione Area della Ricerca Consiglio Nazionale Ricerche via De Marini 6 - Torre di Francia 1-16149 Genoa Tel:+ 33. 1. 40. 27. 23. 22 Tel:+ 33. 1. 40. 27. 26. 33 Fax:+ 33. 1. 40. 27. 23. 22 Tel: +39. 10-6475 802 Fax: +39. 10-6475800 Mr. Staffan SÖDERBERG Director AB Sandvik Coromant S-126 80 Stockholm Prof. Dr. T. VARGA Leiter der Techn. Versuchs und Forschungsanstalt TVFA-TUWien Karlsplatz 13 A-1040 Wien Secretary Mr. Samuel Lloyd Oak House Walcote Road South Kilworth Leicestershire LE 17 6EE U. K. Tel: + 46-8-726. 6698 (switchboard) Tel: +46-8-726. 6300 (direct) Fax: +46-8-726. 9092 Tel: +43-1-588. 013. 429 Fax: +43-1-587. 81. 96 Tel: +44-1858-575. 937 Fax: +44-1858-575. 085 r V «^ Visiting Group to the Joint Research Centre's Institute for Systems, Informatics and Safety (ISIS) - Ispra Mr. Peter BENTON (Chairman) Director General British Institute of Management Northgate House 130 Highgate Hill UK-N6 6HD London Prof. J a ne GRIMSON Dean of Engineering and Systems Sciences Department of Computer Science Trinity College Dublin Ireland Mr. Theodossios P. TASSIOS Agias L a v r a s4 GR-15236PaleaPenteli Athens Prof. Dr. Dennis TSICHRITZ1S Chairman of the Executive Board GMD-Forschungszentrum Informationstechnik GmbH Schloß Birlinghoven D-53754 S a n kt Augustin Dr. F. YNDURAIN Director General CIEMAT Av. Complutense 22 E-28023, Madrid Secretary Prof. Ing. Carlo Rinaldini V i a I ) e i B o d e r i , 36 f-21200Varese Italy Members Tel: Fax: +44. 181. 341. 1122 +44. 181. 341. 11. 33 Tel: +353. 1. 60 81707 Fax: +353. 1. 67 72 204 (office) Tel: +30. 1. 77. 21. 237 Tel: + 30. 1. 369. 1111 (Ecole Poly, d'Athens) Tel: +30. 1. 804. 97. 51 Fax: +30. 1. 77. 21. 275 (home) (office) Tel:+49-02241114-2245 Fax:+49-02241114-2110 (2294) Tel: Fax: +34-1-3466060 +34-1-3466082 Tel: Tel: Fax: +39-332-239367 +39-335-6241169 +39-332-239367 iVnn- Visiting Group to the Joint Research Centre's Environment Institute (El) - Ispra Members Prof. Carlos A. BORREGO (Chairman) Department of Environment and Planning University of Aveiro P-3800 Aveiro Tel: + 351. 343. 800. 800 Fax: +351. 343. 828. 76 Prof. A. R. HARDY Research Director Central Science Laboratory Sand Hutton York Y04 1LZ UK Tel: + 44-1904-462384 Fax: +44-904-462256 Prof. Dr. A. KETTRUP* Director GSF Neuherberg Institute of Ecological Chemistry Ingolstädter Landstraße 1 D-8042 Neuherberg 7e/: + 49-89-3187. 404718 Fax: +49-89-3187. 3371 * unable to attend meetings but prouided written comments on documentation Secretary Hans Jprgen Helms Joint Research Centre European Commission Square de Meeûs 8 (SDME 10/20) B-1050 Brussels Tel: + 32-2-29. 58527 Fax: +32-2-29. 50146 fM£ Visiting Group to the Joint Research Centre's Space Applications Institute (SAI) - Ispra Members Prof. Seppo URPO (Chairman) Director Metsâhovi Radio Research Station Metsâhovintie FIN-02540 Kylmalà Tel: + 358. 9. 264. 417 Fax: +358. 9. 264. 531 Prof. Dr. Herbert FISCHER Head Institut für Meteorologie und Klimaforschung Forschungszentrum Karlsruhe Postfach 3640 D-76021 Karlsruhe Tel: + 49. 07247182-3643 Fax: +49. 07247182-4742 Mr. Roy GIBSON Résidence Les Hespérides 51, Allée Jean de Bains F-34000 Montpellier Secretary Prof. Ing. Carlo Rinaldini ViaDeiBoderi,36 1-21100 Varese Italy Tel: +33-67. 67. 81. 81 Fax: + 33-67. 22. 34. 02 Tel: + 39-332-239367 Tel: +39-335-6241169 Fax: +39-332-239367 A -^ Visiting Group to the Joint Research Centre's Institute for Prospective Technological Studies (IPTS) - Seville Members Dr. Robert C. WHELAN (Chairman) 36 Green End Comberton Cambridge CD3 7DY UK Dr. Josef FRÖHLICH Head Austrian Research Centre Seibersdorf Division of Systems Research Technology-Economy-Environment A-2444 Seibersdorf Austria Prof. Dr. Herbert PASCHEN Leiter des Instituts für Angewandte Systemanalyse und Technikfolgenabschätzung (ITAS) Forschungszentrum Karlsruhe Postfach 36 40 76021 Karlsruhe Tel: +44. 1. 223. 263. 137 Fax: +44. 1. 223. 263. 940 Tel: +43(0)2254-780-3880 Fax; +43(0)2254-780-3888 E-Mail: froehlichj@zdfzs. arcs. ac. at Tel: +49. 7247182-2500 Fax: +49. 7247182-4806 Prof. Walter ZEGVELD Chairman Rathenau Institute P. O. Box 85525 NL-2506 CA The Hague The Netherlands Secretary Mr. Samuel Lloyd Oak House Walcote Road South Kilworth Leicestershire LE 17 6EE U. K. Tel: +31. 70. 342. 15. 42 Fax: +31. 70. 363. 34. 88 Fax: + 31. 70. 393. 0173 (home no. ) Tel: +44-1858-575. 937 Fax: +44-1858-575. 085 (V^n ANNEX IV NX- JOINT RESEARCH CENTRE JRC TERMS OF REFERENCE OF THE VISITING GROUPS TO THE JRC INSTITUTES 1996 V <\-^sr TERMS OF REFERENCE FOR THE VISITING GROUPS FOR THE EVALUATION OF THE JOINT RESEARCH CENTRE'S INSTITUTES 1. 2. To evaluate progress in performing work in accordance with the objectives set out in Council Decisions 94/918/EC and 94/919/Euratom, documents addressed to the Board of Governors, the JRC's Annual Workschedules, budget etc. , taking into account the results of the last JRC evaluation performed in 1993-94. To ensure that the Institute has effective mechanisms to set its local scientific objectives, monitor progress towards those objectives and evaluate outputs. 3. To review the various research activities to assess: a) b) c) the relevance of the work with respect to Community needs, including the relevance of work performed for external customers, when applicable. In particular whether the objectives initially set for the Institute are still valid against evolving S&T, industrial and socio-economic conditions; the scientific quality and productivity of the Institute; whether full advantage is being taken of scientific opportunities in the light of funding and other constraints. 4. 5. 6. 7. To assess the effectiveness of the scientific management leadership within the Institute. To advise on whether the Institute has been making efficient, effective and economical use of resources in carrying out its programmes and management functions. Resources include manpower, money, services, facilities, data and equipment. To review the extent and effectiveness of the Institute's external scientific links, including cooperation with research organisations, the higher education sector, industry and government departments in the Member States. To examine the relationship of the Institute's work in general, to the mission of the Joint Research Centre and to its forward strategic planning as well as to the overall objectives of the Framework Programme. Therefore assessing: the contribution towards the improvement of the competitiveness of European industry and the economic impact (both direct and indirect) that has already been, plus that which is expected to be achieved; the contributions to strengthening the scientific and technological bases; the contributions to relevant Community policies such as environment, industry, agriculture, transport, employment, cohesion, etc. To assess the European added value of the Institute's activities on the basis of the subsidiarity principle. 8. To make recommendations and report to the Board of Governors of the Joint Research Centre. ft-11 ISSN 0254-1467 KOM(97) 164 endg. DOKUMENTE DE 15 01 Katalognummer : CB-CO-97-152-DE-C ISBN 92-78-18372-5 Amt für amtliche Veröffentlichungen der Europäischen Gemeinschaften L-2985 Luxemburg 1oo