# IMMC.COM%282023%29176%20final.ENG.xhtml.1_EN_ACT_part1_v2.docx

european flagEUROPEAN COMMISSION

Brussels, 29.3.2023

COM(2023) 176 final

2023/0088(NLE)

Proposal for a

COUNCIL DECISION

on the extension of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America

EXPLANATORY MEMORANDUM

1.CONTEXT OF THE PROPOSAL

•Reasons for and objectives of the proposal

Since 1998 the European Union (EU) and the United States of America (US) have been strategic partners for research. A first bilateral 'Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America'
  1
  ('the Agreement') was signed in Washington, DC, on 5 December 1997 and entered into force on 14 October 1998. Since then, the Agreement was extended four times, i.e. in 2003
  2
  , in 2008
  3
  , in 2013
  4
  and in 2018
  5
  for an additional period of 5 years each time. The second extension included an amendment, namely the addition of research on security and space to the list of sectors for cooperative activities (Article 4 of the Agreement).

Article 12 letter (b) of the Agreement stipulates that: "This Agreement is concluded for an initial period of five years. Subject to review by the Parties in the final year of each successive period, the Agreement may be extended with possible amendments, thereafter for additional periods of five years by mutual written agreement between the Parties".

The current Agreement is due to expire on 14 October 2023.

Cooperation with the US is a key element of the EU’s Global Approach to research and innovation outlined in the Commission Communication of 18 May 2021
  6
  . Building research and innovation alliances with the US, both bilaterally and within multilateral fora, contributes to Europe’s capacity to succeed on the green and digital transitions and will strengthen resilience to global health threats and other global challenges . In the area of science and technology the EU and the US share basic values of ethics, integrity of research, openness and transparency, and evidence-based policy making, which make them natural partners. By stepping up their partnership on research and development activities in science and technology, the EU and the US can move forward faster towards clean energy; sustainable and safe transport; clean oceans and blue economy; smart cities; a resilient and inclusive society; and other advances that will serve our shared interests.

Against this backdrop, an assessment of how the cooperation with the US is evolving and how it contributes to the objectives of the strategy for international cooperation has been carried out by the Commission services. This assessment clearly demonstrates that the Agreement provides an important framework for facilitating cooperation between the EU and the US in common Science & Technology (S&T) priority areas leading to mutual benefits. The main instrument for cooperation is the EU Framework Programme for Research and Innovation.

Against this backdrop, an assessment of how the cooperation with the US is evolving and how it contributes to the objectives of the strategy for international cooperation has been carried out by the Commission services. This assessment clearly demonstrates that the Agreement provides an important framework for facilitating cooperation between the EU and the US in common Science & Technology (S&T) priority areas leading to mutual benefits. The main instrument for cooperation is the EU Framework Programme for Research and Innovation.

The EU's relationship with the US in Science & Technology is stronger than with any other country outside Europe. Among non-Associated third countries, the US was by far the most active country participating in Horizon 2020. This is true for the amounts of mutual research and development (R&D) investment, flows of scientists, volumes of cooperative activities and the number of co-authored publications and patents.

The EU's relationship with the US in Science & Technology is stronger

than with any other country outside Europe.

Among non-Associated third countries, the US was by far the most active country participating in Horizon 2020.

This is true for the amounts of mutual research and development (R&D) investment, flows of scientists, volumes of cooperative activities and the number of co-authored publications and patents.

Under the current Agreement cooperation has been thriving both at a bilateral and multilateral level. Multilaterally, a particularly valuable example of a Global Alliance, promoted by the EU and the US, is the All-Atlantic Ocean Research Alliance, which inspired to a great extent the whole conception of Global Alliances outlined in the above-referred Commission Communication of 18 May 2021. A further example is Mission Innovation (MI), which is a global initiative of 22 countries and the European Union, with the aim to accelerate effort in innovation in clean energy. The EU is working closely with the US in a variety of other multilateral initiatives including in the field of health, bioeconomy and earth observation. Bilateral cooperation is very dynamic in the fields of health, transport, advanced materials, research infrastructures, information and communication technologies, food security and sustainable agriculture, climate and the environment, areas where the US participation in Horizon 2020 and Horizon Europe has been particularly important.

Under the current Agreement cooperation has been thriving both at a bilateral and multilateral level. Multilaterally, a particularly valuable example of a Global Alliance, promoted by the EU and the US, is the All-Atlantic Ocean Research Alliance, which inspired to a great extent the whole conception of Global Alliances outlined in the above-referred Commission Communication of 18 May 2021. A further example is Mission Innovation (MI), which is a global initiative of 22 countries and the European Union, with the aim to accelerate effort in innovation in clean energy. The EU is working closely with the US in a variety of other multilateral initiatives including in the field of health, bioeconomy and earth observation. Bilateral cooperation is very dynamic in the fields of health, transport, advanced materials, research infrastructures, information and communication technologies, food security and sustainable agriculture, climate and the environment, areas where the US participation in Horizon 2020 and Horizon Europe has been particularly important.

The last EU-US Joint Counsultative Group on S&T cooperation that took place on 12 October 2022 at Directorate General level confirmed the strong willingness of both Parties to continue and expand cooperation across the board under the Agreement.

The last EU-US Joint Counsultative Group on S&T cooperation that took place on 12 October 2022 at Directorate General level confirmed the strong willingness of both Parties to continue and expand cooperation across the board under the Agreement.

Both Parties confirmed their wish to extend the Agreement by exchange of letters, i.e. letter from DG R&I dated 7 November 2022, and letter from US Department of State dated 13 December 2022.

Both Parties confirmed their wish to extend the Agreement by exchange of letters, i.e. letter from DG R&I dated 7 November 2022, and letter from US Department of State dated 13 December 2022.

The extension of the Agreement reflects the importance of the US as a key partner country in science and technology and will allow building on the already existing strong ties in a wide range of thematic areas and to underpin substantial dialogue and cooperation in the next five-year period.

The substance of the extended Agreement will be identical to that of the current Agreement.

•Consistency with existing policy provisions in the policy area

This initiative is fully in line with the Commission Communication of 18 May 2021 on the Global Approach to Research and Innovation, Europe's strategy for international cooperation in a changing world (COM(2021)252 final/2).

The Global Approach Strategy confirms the role of the US as a key partner country for the EU by stressing that “Cooperation with the United States, with which the EU shares high levels of research and innovation capacity and common values and principles, ensures that researchers, innovators and the best facilities are combined in the search for solutions to global challenges. In particular, the recommitment of the United States to climate goals and to the strengthening of the multilateral order provides the opportunity for a renewed relationship in research and innovation. The Joint Communication ‘A new EU-US agenda for global change’ sets out a number of proposals for cooperation with the US, and notably a call to form a Green Technology Alliance and to establish a new EU-US Trade and Technology Council. Building on this text, the Commission also proposes to increase reciprocity in bilateral cooperation, and raise the levels of coordination and coherence between EU and US research and innovation investments, beginning with climate, digital, energy, environmental and health challenges.”

•Consistency with other Union policies

•

Consistency with other Union policies

The EU's 'Global Strategy for the EU's Foreign and Security Policy' confirms that research cooperation is an important aspect of EU foreign policy and sees research cooperation as an essential element of stronger socio-economic ties, including with the US.

The last EU-US Summit confirmed the importance of R&I cooperation to address common challenges related to global healh and green transition and called for reinforced cooperation on R&I particularly in the areas of health, energy, oceans and through the recently established Trade and Technology Council.

EU-US R&I cooperation under the Agreement contributes to overarching EU policy objectives related notably to: i) the Green Transition, for example with initiatives stemming from Mission Innovation, the All Atlantic Ocean Research Alliance, Arctic research, the International Bioeconomy Forum (IBF), and the Group on Earth Observation (GEO); ii) Global Health through multilateral and bilateral cooperation on infectious diseases, cancer, mental heath, and many others; iii) Digital transition, innovation, and data sharing through for example work on smart Specialisation methodology, Open Access and Open Science, and bilateral ICT cooperation.

2.LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY

2.

LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY

•Legal basis

•

Legal basis

The EU’s power to act internationally in research and technological development is based on Article 186 TFEU. The procedural legal basis for the proposal is point (a) (v) of Article 218(6) TFEU.

The EU’s power to act internationally in research and technological development is based on Article 186 TFEU. The procedural legal basis for the proposal is point (a) (v) of Article 218(6) TFEU.

Subsidiarity (for non-exclusive competence)

Subsidiarity (for non-exclusive competence)

The EU and its Members States have shared parallel competence in the area of research and technological development in accordance with Article 4(3) TFEU. Therefore EU's action cannot be replaced by action of Member States.

3.RESULTS OF EX-POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS

3.

RESULTS OF EX-POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS

•Regulatory fitness and simplification

•

Regulatory fitness and simplification

This initiative is not part of the REFIT agenda

4.BUDGETARY IMPLICATIONS

4.

BUDGETARY IMPLICATIONS

Only human and administrative resources are required and are set out in the "Legislative Financial Statement".

In the light of the above considerations, the Commission requests that the Council:

In the light of the above considerations, the Commission requests that the Council:

-
     approves, on behalf of the Union, and with the consent of the European Parliament, the extension of the “Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America”, for an additional period of five years (i.e. from 14.10.2023 until 13.10.2028);

-

approve

s

, on be

half of the Union, and with

the consent of the

European Parliament, the extension

of the

“

Agreement for scientific and technological cooperation between the European Community and th

e Government of the United States of America”,

for an additional period of five years

(i.e. from 14.10.2023 until 13.10.2028

)

;

-
     authorises the President of the Council to designate the person(s) empowered to notify the Government of the United States of America that the Union has completed its internal procedures necessary for the entry into force of this renewed Agreement.

-

authorise

s

the President of the Council to designate the person(s) empowered to notify the Government of the

United States of America

that the Union has completed its internal procedures necessary for the entry into force of this renewed Agreement.

2023/0088 (NLE)

2023/0088 (NLE)

Proposal for a

Proposal for a

COUNCIL DECISION

COUNCIL DECISION

on the extension of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America

on the extension of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America

THE COUNCIL OF THE EUROPEAN UNION,

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 186 in conjunction with Article 218(6) (a) (v) thereof,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 186 in conjunction with Article 218(6) (a) (v) thereof,

Having regard to the proposal from the European Commission,

Having regard to the proposal from the European Commission,

Having regard to the consent of the European Parliament,

Having regard to the consent of the European Parliament,

Whereas:

Whereas:

(1)By Decision 98/591/EC
  7
  , the Council approved the conclusion of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America
  8
  (the ‘Agreement’). The Agreement was signed in Washington, DC, on 5 December 1997 and entered into force on 14 October 1998.

(1)

By Decision 98/591/EC

7

, the Council approved the conclusion of the Agreement for scientific and technological cooperation between the European Community and the

Government of the United States of America

8

(the ‘Agreement’).

The

Agreement was signed in Washington, DC, on 5 December 1997 and entered into force on 14 October 1998.

(2)In accordance with point (b) of Article 12 of the Agreement, the Agreement is concluded for an initial period of five years. Subject to review by the Parties in the final year of each successive period, the Agreement may be extended, with possible amendments, thereafter for additional periods of five years by mutual written agreement between the Parties.

(2)

In accordance with

point (b) of

Article 12

of the Agreement,

t

he Agreement is concluded for an initial period of five years. Subject to review by the Parties in the final year of each successive period, the Agreement may be extended, with possible amendments, thereafter for additional periods of five years by mutual written agreement between the Parties.

(3)By Decisions 2004/756/EC
  9
  , 2009/306/EC
  10
  , 2014/240/EU
  11
   and (EU) 2018/1578
  12
   the Council approved the extension of the Agreement for an additional period of five years each time. The current Agreement is due to expire on 14 October 2023.

(3)

By Decisions 2004/756/EC

9

, 2009/306/EC

10

,

2014/240/EU

11

and

(EU) 2018/1578

12

the Council approved the extension of the Agreement for an additional period of five years each time.

The current

Agreement is

due to expire on 14 October 2023

.

(4)The assessment carried out by Commission services demonstrates that the Agreement provides an important framework for facilitating cooperation between the Union and the United States of America in common Science & Technology priority areas leading to mutual benefits. It is therefore in the Union’s interest to extend the Agreement for a new period of five years.

(4)

The assessment carried out by Commission service

s

demonstrates that the Agreement provides an important framework for facilitating cooperation between the Union and

the

United States of America

in common S

cience

&

T

echnology

priority areas lead

ing

to mutual benefits.

It is therefore in the Union

’

s interest to extend the Agreement for a new period of five years.

(5)The exchange of letters between the Parties, dated 7 November 2022 and 13 December 2022, confirmed their interest in extending the Agreement for another five years.

(5)

The exchange of letters between the Parties, dated

7

November 20

22

and

13 December 202

2

,

confirmed their interest in

extending

the Agreement for another five years.

(6)The extension of the Agreement should be approved on behalf of the Union,

(6)

The extension

of the Agreement should be

approved on behalf of the Union,

HAS ADOPTED THIS DECISION:

Article 1

The extension of the Agreement for scientific and technological cooperation between the European Community and the United States of America, for an additional period of five years, is hereby approved on behalf of the Union.

Article 2

The President of the Council shall designate the person(s) empowered to notify the Government of the United States of America, on behalf of the Union, that the Union has completed its internal procedures necessary for the entry into force of the extension of the Agreement in accordance with point (b) of Article 12 of the Agreement.

Article 3

This Decision shall enter into force on the date of its adoption.

Done at Brussels,

For the Council

The President

LEGISLATIVE FINANCIAL STATEMENT

LEGISLATIVE FINANCIAL STATEMENT

Contents

Contents

1.FRAMEWORK OF THE PROPOSAL/INITIATIVE

1.

FRAMEWORK OF THE PROPOSAL/INITIATIVE

1.1.Title of the proposal/initiative

1.1.

Title of the proposal/initiative

1.2.Policy area(s) concerned

1.2.

Policy area(s) concerned

1.3.The proposal/initiative relates to:

1.3.

The proposal/initiative relates to:

1.4.Objective(s)

1.4.

Objective(s)

1.4.1.General objective(s)

1.4.1.

General objective(s)

1.4.2.Specific objective(s)

1.4.2.

Specific objective(s)

1.4.3.Expected results(s) and impact

1.4.4.Indicators of performance

1.5.Grounds for the proposal/initiative

1.5.1.Requirement(s) to be met in the short or long term including a detailed timeline for roll-out of the implementation of the initiative

1.5.2.Added value of Union involvement (it may result from different factors, e.g. coordination gains, legal certainty, greater effectiveness or complementarities). For the purposes of this point 'added value of Union involvement' is the value resulting from Union intervention which is additional to the value that would have been otherwise created by Member States alone.

1.5.3.Lessons learned from similar experiences in the past

1.5.4.Compatibility with the Multiannual Financial Framework and possible synergies with other appropriate instruments

1.5.5.Assessment of the different available financing options, including scope for redeployment

1.6.Duration and financial impact

1.7.Management mode(s) planned

2.MANAGEMENT MEASURES

2.1.Monitoring and reporting rules

2.2.Management and control system

2.2.1.Justification of the management mode(s), the funding implementation mechanism(s), the payment modalities and the control strategy proposed

2.2.2.Information concerning the risks identified and the internal control system(s) set up to mitigate them

2.2.3.Estimation and justification of the cost-effectiveness of the controls (ratio of "control costs ÷ value of the related funds managed"), and assessment of the expected levels of risk of error (at payment & at closure)

2.3.Measures to prevent fraud and irregularities

3.ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE

3.1.Heading(s) of the multiannual financial framework and expenditure budget line(s) affected

3.2.Estimated impact of the proposal on appropriations

3.2.1.Summary of estimated impact on operational appropriations

3.2.2.Estimated output funded with operational appropriations

3.2.3.Estimated impact on appropriations of an administrative nature

3.2.4.Compatibility with the current multiannual financial framework

3.2.5.Third-party contributions

3.3.Estimated impact on revenue

LEGISLATIVE FINANCIAL STATEMENT

1.FRAMEWORK OF THE PROPOSAL/INITIATIVE

1.1.Title of the proposal/initiative

Proposal for a Council Decision on the extension of the Agreement for scientific and technological cooperation between the European Community and the United States of America

1.2.Policy area(s) concerned

1.2.

Policy area(s) concerned

Policy strategy and coordination of, in particular, the Directorates-General RTD, AGRI, CLIMA, JRC, EAC, ENER, GROW, CNECT, MARE, MOVE and SANTE.

1.3.The proposal/initiative relates to:

1.3.

The proposal/initiative relates to:

◻ a new action

◻

a new action

◻ a new action following a pilot project/preparatory action
  13

◻

a new action following a pilot project/preparatory action

13

☑ the extension of an existing action

☑

the extension of an existing action

◻ a merger or redirection of one or more actions towards another/a new action

◻

a merger or redirection of one or more actions towards another/a new action

1.4.Objective(s)

1.4.

Objective(s)

1.4.1.General objective(s)

The present initiative will allow both Parties to improve and further intensify their cooperation in scientific and technological areas of common interest.

1.4.2.Specific objective(s)

1.4.2.

Specific objective(s)

Specific objective

This decision should allow both Parties to enhance the cooperation both bilaterally and multilaterally and develop a more strategic partnership by increasing the scale and scope of existing cooperation, by addressing global challenges and by promoting reciprocal access to programmes and funding.

1.4.3.Expected results(s) and impact

1.4.3.

Expected results(s) and impact

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted.

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted.

This decision will allow both the Union and the US to derive mutual benefit from the scientific and technical progress achieved through ongoing cooperation activities. It will allow for exchange of specific knowledge and transfer of know-how to the benefit of the scientific community, industry and citizens of both Parties.

1.4.4.Indicators of performance

1.4.4.

Indicators of

performance

Specify the indicators for monitoring progress and achievements.

Specify the indicators for monitoring progress and achievements.

The Commission services will regularly monitor all actions carried out under the Agreement, including an evaluation on cooperation activities. This evaluation will consist, among others, of the following elements:

(a) cooperation indicators – analysis of the number and type of participation of US entities in EU funded programmes (e.g. number of proposals, number of signed grant agreements, main collaboration links, main thematic; generated output) and vice-versa (whenever the data is available);

(b) performance indicators – success rate of US entities participating in the EU framework programmes compared to other third countries and to Member States/Associated Countries; analysis of the quality of the participation (e.g. number of best ranked universities taking part on the programme, number of patents and publications coming from collaborative projects);

(c) data collection regarding cooperation activities and links beyond the respective research funding programmes and assessment of the impact of these activities, like participation in multilateral initiatives and working groups.

1.5.Grounds for the proposal/initiative

1.5.

Grounds for the proposal/initiative

1.5.1.Requirement(s) to be met in the short or long term including a detailed timeline for roll-out of the implementation of the initiative

1.5.1.

Requirement(s) to be met in the short or long term including a detailed timeline for roll-out of the implementation of the initiative

This decision will allow the two Parties to continue to improve and intensify their cooperation in scientific and technological areas for mutual benefit.

1.5.2.Added value of Union involvement (it may result from different factors, e.g. coordination gains, legal certainty, greater effectiveness or complementarities). For the purposes of this point 'added value of Union involvement' is the value resulting from Union intervention which is additional to the value that would have been otherwise created by Member States alone.

1.5.2.

Added value of Union

involvement (it may result from different factors, e.g. coordination gains, legal certainty, great

er effectiveness or complementarities).

For the purposes of this point 'added value of Union involvement' is the value resulting from Union intervention which is additional to the value that would have been otherwise created by Member States alone.

Cooperation in research & innovation between the US and the Union has been growing steadily in the past years. The involvement of the EU allows activities with larger scale and scope for the benefit of all Member States. The extension of this Agreement will allow to the EU to have easier access to scientific knowledge produced in the US, engage in more cooperation activities leading to additional exchange of knowledge and technologies, and provide easier access to the US market for European companies.

1.5.3.Lessons learned from similar experiences in the past

1.5.3.

Lessons learned from similar experiences in the past

Based on the experience so far in the field of scientific and technological cooperation, it is considered mutually beneficial to continue research cooperation with the US, as a strategic partner of the Union in research and innovation.

1.5.4.Compatibility with the Multiannual Financial Framework and possible synergies with other appropriate instruments

1.5.4.

Compatibility

with the Multiannual Financial

Framework

and possible synerg

ies

with other appropriate instruments

The extension of the Agreement with the US is considered to be fully coherent and in line with the overall policy framework on International Cooperation in Research and Innovation, namely the recently adopted Commission Communication of 18 May 2021 on the Global Approach to Research and Innovation, Europe's strategy for international cooperation in a changing world (COM(2021)252 final/2)

Synergies with other Union instruments in the area of EU-US cooperation will be sought, notably through various sectoral initiatives of the Commission, in particular those of DGs AGRI, CLIMA, JRC, EAC, ENER, GROW, CNECT, MARE, MOVE and SANTE , among others.

1.5.5.Assessment of the different available financing options, including scope for redeployment

1.5.5.

Assessment of the different available financing options, including scope for redeployment

The financial needs to cover the proposed action are available within the Horizon Europe Programme (administrative appropriations). The coordination of the proposed action and its implementation will be covered internally by the Commission, requiring an estimated 1.5 FTE annually for the duration of the proposed action with the following breakdown:

Year 2023: 3 months of salary of 1.5 official

Years 2024-2027: 12 months of salary of 1.5 official

Year 2028: 9 months of salary of 1.5 official

1.6.Duration and financial impact

1.6.

Duration and financial impact

☑ limited duration

☑

limited duration

–☑
     Proposal/initiative in effect from 14/10/2023 to 13/10/2028

–

☑

14

/

10/2023

to

13

/

10/2028

–☑
     Financial impact from 14/10/2023 to 13/10/2028

–

☑

ct from 14/10/2023 to 13

/10/2028

◻ unlimited duration

◻

unlimited duration

–Implementation with a start-up period from YYYY to YYYY,

–

Implementation with a start-up period from YYYY to YYYY,

–followed by full-scale operation.

–

followed by full-scale operation.

1.7.Management mode(s) planned
  14

1.7.

Management mode(s) planned

14

☑ Direct management by the Commission

☑

Direct management

by the Commission

–◻ by its departments, including by its staff in the Union delegations;

–

◻

by its departments, including by its staff in the Union delegations;

–◻
     by the executive agencies

–

◻

◻ Shared management with the Member States

◻ Indirect management by entrusting budget implementation tasks to:

–◻ third countries or the bodies they have designated;

–◻ international organisations and their agencies (to be specified);

–◻ the EIB and the European Investment Fund;

–◻ bodies referred to in Articles 70 and 71 of the Financial Regulation;

–◻ public law bodies;

–◻ bodies governed by private law with a public service mission to the extent that they provide adequate financial guarantees;

–◻ bodies governed by the private law of a Member State that are entrusted with the implementation of a public-private partnership and that provide adequate financial guarantees;

–◻ persons entrusted with the implementation of specific actions in the CFSP pursuant to Title V of the TEU, and identified in the relevant basic act.

–If more than one management mode is indicated, please provide details in the ‘Comments’ section.

Comments

[...]

2.MANAGEMENT MEASURES

2.

MANAGEMENT MEASURES

2.1.Monitoring and reporting rules

2.1.

Monitoring and reporting rules

Specify frequency and conditions.

Specify frequency and conditions.

Participation of US entities in the Framework Programme for Research and Innovation and other cooperation activities under the Agreemenet will be monitored on a regular basis through meetings of the Joint Consultative Group established under Article 6(b) of the Agreement.

2.2.Management and control system

2.2.

Management and control system

2.2.1.Justification of the management mode(s), the funding implementation mechanism(s), the payment modalities and the control strategy proposed

2.2.1.

Justification of the management mode(s), the funding implementation mechanism(s), the payment modalities and the control strategy proposed

The proposed initiative in the context of the Horizon Europe Framework Progamme for Research & Innovation will be implemented through direct management mode.

As an activity to be fully carried out by a policy officer of the Commission, direct management is the most appropriate implementation mode. In particular, the expected core tasks necessary for a proper implementation of the proposed activity, such as policy dialogue, assessment of the EU-US research and innovation cooperation landscape, identification of joint collaboration priorities and similar tasks, are principal activities of the implementing service of the Commission – the 'Global Approach & International Cooperation in R&I' Directorate of DG R&I.

Additional support tasks of organisational, logistical, administrative and advisory nature may be assigned under a future framework contract for support actions for the international cooperation in research and innovation. Such support tasks, designed to enhance the efficiency and effectiveness of the proposed action, will be supervised by the Commission and will remain under its direct management.

2.2.2.Information concerning the risks identified and the internal control system(s) set up to mitigate them

2.2.2.

Information concerning the risks identified and the internal control system(s) set up to mitigate them

Meetings and bilateral contacts take place on a regular basis allowing for the systematic sharing of information and control. No risks have been identified in the control system.

2.2.3.Estimation and justification of the cost-effectiveness of the controls (ratio of "control costs ÷ value of the related funds managed"), and assessment of the expected levels of risk of error (at payment & at closure)

2.2.3.

Estimation and justification of the cost-effectiveness of the controls (ratio of "control costs ÷ value of the related funds managed"), and assessment of the expected levels of risk of error (at payment & at closure)

N/A

2.3.Measures to prevent fraud and irregularities

2.3.

Measures to prevent fraud and irregularities

Specify existing or envisaged prevention and protection measures.

Specify existing or envisaged prevention and protection measures.

When the implementation of the Framework programme calls for the use of external contractors or entails granting financial contributions to third parties, the Commission will carry out, where appropriate, financial audits, in particular if it has reason to doubt the realistic nature of work performed or described in the activity reports.

The Union's financial audits will be carried out either by its own staff or by accounting experts approved according to the law of the audited party. The Union will choose the latter freely, while avoiding any risks of conflicts of interest which might be indicated to it by the party subject to the audit. In addition, the Commission will make sure, in carrying out the research activities, that the financial interests of the Union are protected by effective checks and, where irregularities are detected, by deterrent and proportionate measures and penalties.

In order to achieve this aim, rules on checks, measures and penalties, with reference to Regulations No 2988/95, No 2185/96 and No 883/2013 will be incorporated in all contracts used in the implementation of the Framework programme.

In particular, the following points will have to be provided for in the contracts:

- the introduction of specific contractual clauses to protect the financial interests of the EU in carrying out checks and controls in relation to the work performed;

- the carrying out of administrative checks as part of anti-fraud measures, in accordance with Regulations No 2185/96, No 883/2013;

- the application of administrative penalties for all intentional or negligent irregularities in the implementation of the contracts, in accordance with the Framework Regulation No 2988/95, including a blacklisting mechanism;

- the fact that any recovery orders in the event of irregularities and fraud must be enforceable according to Article 299 of the Treaty on the Functioning of the European Union.

In addition and as a routine measure, a control programme in respect of the scientific and budgetary aspects will be carried out by the responsible staff in the DG for Research and Innovation; an internal audit will be carried out by the Internal Audit unit of DG Research and Innovation; and local inspections will be undertaken by the European Court of Auditors.

3.ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE

3.

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE

3.1.Heading(s) of the multiannual financial framework and expenditure budget line(s) affected

3.1.

Heading(s) of the multiannual financial framework and expenditure budget line(s) affected

·Existing budget lines

·

Existing budget lines

In order of multiannual financial framework headings and budget lines.

| Heading of multiannual financial framework | Budget line | Type of

  expenditure | Contribution |
| --- | --- | --- | --- |
| | Heading 1 – Single market, Innovation and Digital – Research and Innovation – Horizon Europe | Diff./Non-diff.
  15 | from EFTA countries
  16 | from candidate countries
  17 | from third countries | within the meaning of Article 21(2)(b) of the Financial Regulation |
| 1 | 01 01 01 01 | Non-diff. | YES | YES | YES | NO |
| 1 | 01 01 01 03 | Non-diff. | YES | YES | YES | NO |

Heading of multiannual financial framework

Budget line

Type of

  expenditure

Contribution

Heading 1 – Single market, Innovation and Digital – Research and Innovation – Horizon Europe

Diff./Non-diff.
  15

from EFTA countries
  16

from candidate countries
  17

from third countries

within the meaning of Article 21(2)(b) of the Financial Regulation

1

01 01 01 01

Non-diff.

YES

YES

YES

NO

1

01 01 01 03

Non-diff.

YES

YES

YES

NO

·New budget lines requested

In order of multiannual financial framework headings and budget lines.

| Heading of multiannual financial framework | Budget line | Type of

  expenditure | Contribution |
| --- | --- | --- | --- |
| | Number [Heading.............................................] | Diff./Non-diff. | from EFTA countries | from candidate countries | from third countries | within the meaning of Article 21(2)(b) of the Financial Regulation |
| | [XX.YY.YY.YY] | | YES/NO | YES/NO | YES/NO | YES/NO |

Heading of multiannual financial framework

Budget line

Type of

  expenditure

Contribution

Number [Heading.............................................]

Diff./Non-diff.

from EFTA countries

from candidate countries

from third countries

within the meaning of Article 21(2)(b) of the Financial Regulation

[XX.YY.YY.YY]

YES/NO

YES/NO

YES/NO

YES/NO

3.2.Estimated impact of the proposal on appropriations

3.2.1.Summary of estimated impact on operational appropriations

☑
     The proposal/initiative does not require the use of operational appropriations

◻
     The proposal/initiative requires the use of operational appropriations, as explained below:

EUR million (to three decimal places)

| Heading of multiannual financial

  framework | 1 | ‘Single market, Innovation and Digital – Research and Innovation – Horizon Europe’ |
| --- | --- | --- |

Heading of multiannual financial

  framework

1

‘Single market, Innovation and Digital – Research and Innovation – Horizon Europe’

DG: RTD

| DG: RTD | | | Year

  2023
  18 | Year

  2024 | Year

  2025 | Year

  2026 | Year

  2027 | Year

  2028 | TOTAL |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| • Operational appropriations | | | | | | | |
| Budget line | Commitments | (1a) | | | | | | | |
| | Payments | (2a) | | | | | | | |
| Budget line | Commitments | (1b) | | | | | | | |
| | Payments | (2b) | | | | | | | |
| ·Appropriations of an administrative nature financed from the envelope of specific programmes
  19 | | | | | | | |
| Budget line 01 01 01 01 | Commitments & Payments | (3) | 0.064 | 0.262 | 0.267 | 0.272 | 0.278 | 0.212 | 1.355 |
| Budget line 01 01 01 03 | Commitments & Payments | (3) | 0.003 | 0.012 | 0.012 | 0.012 | 0.012 | 0.009 | 0.060 |
| TOTAL appropriations

  for DG RTD | Commitments | =1a+1b +3 | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
| | Payments | =2a+2b


  +3 | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |

Year

  2023
  18

Year

  2024

Year

  2025

Year

  2026

Year

  2027

Year

  2028

TOTAL

• Operational appropriations

Budget line

Commitments

(1a)

Payments

(2a)

Budget line

Commitments

(1b)

Payments

(2b)

·Appropriations of an administrative nature financed from the envelope of specific programmes
  19

Budget line 01 01 01 01

Commitments & Payments

(3)

0.064

0.262

0.267

0.272

0.278

0.212

1.355

Budget line 01 01 01 03

Commitments & Payments

(3)

0.003

0.012

0.012

0.012

0.012

0.009

0.060

TOTAL appropriations

  for DG RTD

Commitments

=1a+1b +3

0.067

0.274

0.279

0.284

0.290

0.221

1.415

Payments

=2a+2b

+3

0.067

0.274

0.279

0.284

0.290

0.221

1.415

• TOTAL operational appropriations

| • TOTAL operational appropriations | Commitments | (4) | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| | Payments | (5) | | | | | | | |
| • TOTAL appropriations of an administrative nature financed from the envelope for specific programmes | (6) | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
| TOTAL appropriations

  under HEADING 1
  of the multiannual financial framework | Commitments | =4+ 6 | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
| | Payments | =5+ 6 | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |

Commitments

(4)

Payments

(5)

• TOTAL appropriations of an administrative nature financed from the envelope for specific programmes

(6)

0.067

0.274

0.279

0.284

0.290

0.221

1.415

TOTAL appropriations

  under HEADING 1
  of the multiannual financial framework

Commitments

=4+ 6

0.067

0.274

0.279

0.284

0.290

0.221

1.415

Payments

=5+ 6

0.067

0.274

0.279

0.284

0.290

0.221

1.415

If more than one heading is affected by the proposal / initiative:

| • TOTAL operational appropriations (all operational heading) | Commitments | (4) | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| | Payments | (5) | | | | | | | |
| • TOTAL appropriations of an administrative nature financed from the envelope for specific programmes | (6) | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
| TOTAL appropriations

  under HEADINGS 1 to 6
  of the multiannual financial framework

  (Reference amount) | Commitments | =4+ 6 | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
| | Payments | =5+ 6 | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |

• TOTAL operational appropriations (all operational heading)

Commitments

(4)

Payments

(5)

• TOTAL appropriations of an administrative nature financed from the envelope for specific programmes

(6)

0.067

0.274

0.279

0.284

0.290

0.221

1.415

TOTAL appropriations

  under HEADINGS 1 to 6
  of the multiannual financial framework

  (Reference amount)

Commitments

=4+ 6

0.067

0.274

0.279

0.284

0.290

0.221

1.415

Payments

=5+ 6

0.067

0.274

0.279

0.284

0.290

0.221

1.415

| Heading of multiannual financial

  framework | 7 | ‘Administrative expenditure’ |
| --- | --- | --- |

Heading of multiannual financial

  framework

7

‘Administrative expenditure’

EUR million (to three decimal places)

| | | | Year

  2023 | Year

  2024 | Year

  2025 | Year

  2026 | Year 2027 | Year 2028 | TOTAL |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| DG: <.......> |
| • Human resources | | | | | | | |
| • Other administrative expenditure | | | | | | | |
| TOTAL DG <.......> | Appropriations | | | | | | | |

Year

  2023

Year

  2024

Year

  2025

Year

  2026

Year 2027

Year 2028

TOTAL

DG: <.......>

• Human resources

• Other administrative expenditure

TOTAL DG <.......>

Appropriations

TOTAL appropriations

  under HEADING 7

  of the multiannual financial framework

| TOTAL appropriations

  under HEADING 7

  of the multiannual financial framework | (Total commitments = Total payments) | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |

(Total commitments = Total payments)

EUR million (to three decimal places)

| | | | Year

  2023 | Year 2024 | Year

  2025 | Year

  2026 | Year 2027 | Year 2028 | TOTAL |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| TOTAL appropriations

  under HEADINGS 1 to 7

  of the multiannual financial framework | Commitments | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
| | Payments | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |

Year

  2023

Year 2024

Year

  2025

Year

  2026

Year 2027

Year 2028

TOTAL

TOTAL appropriations

  under HEADINGS 1 to 7

  of the multiannual financial framework

Commitments

0.067

0.274

0.279

0.284

0.290

0.221

1.415

Payments

0.067

0.274

0.279

0.284

0.290

0.221

1.415

3.2.2.Estimated output funded with operational appropriations

Commitment appropriations in EUR million (to three decimal places)

| Indicate objectives and outputs



  ⇩ | | | Year

  N | Year

  N+1 | Year

  N+2 | Year

  N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) | TOTAL |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| | OUTPUTS |
| | Type
  20 | Average cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | Total No | Total cost |
| SPECIFIC OBJECTIVE No 1
  21
  ... | | | | | | | | | | | | | | | | |
| - Output | | | | | | | | | | | | | | | | | | |
| - Output | | | | | | | | | | | | | | | | | | |
| - Output | | | | | | | | | | | | | | | | | | |
| Subtotal for specific objective No 1 | | | | | | | | | | | | | | | | |
| SPECIFIC OBJECTIVE No 2 ... | | | | | | | | | | | | | | | | |
| - Output | | | | | | | | | | | | | | | | | | |
| Subtotal for specific objective No 2 | | | | | | | | | | | | | | | | |
| TOTALS | | | | | | | | | | | | | | | | |

Indicate objectives and outputs

⇩

Year

  N

Year

  N+1

Year

  N+2

Year

  N+3

Enter as many years as necessary to show the duration of the impact (see point 1.6)

TOTAL

OUTPUTS

Type
  20

Average cost

No

Cost

No

Cost

No

Cost

No

Cost

No

Cost

No

Cost

No

Cost

Total No

Total cost

SPECIFIC OBJECTIVE No 1
  21
  ...

- Output

- Output

- Output

Subtotal for specific objective No 1

SPECIFIC OBJECTIVE No 2 ...

- Output

Subtotal for specific objective No 2

TOTALS

3.2.3.Estimated impact on appropriations of an administrative nature

–◻
     The proposal/initiative does not require the use of appropriations of an administrative nature

–☑
     The proposal/initiative requires the use of appropriations of an administrative nature, as explained below:

EUR million (to three decimal places)

| | Year

  2023 
  22 | Year

  2024 | Year

  2025 | Year

  2026 | Year

  2027 | Year

  2028 | TOTAL |
| --- | --- | --- | --- | --- | --- | --- | --- |

Year

  2023 
  22

Year

  2024

Year

  2025

Year

  2026

Year

  2027

Year

  2028

TOTAL

HEADING 7

  of the multiannual financial framework

| HEADING 7

  of the multiannual financial framework | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- |
| Human resources | | | | | | | |
| Other administrative expenditure | | | | | | | |
| Subtotal HEADING 7

  of the multiannual financial framework | | | | | | | |

Human resources

Other administrative expenditure

Subtotal HEADING 7

  of the multiannual financial framework

Outside HEADING 7
  23


  of the multiannual financial framework

| Outside HEADING 7
  23


  of the multiannual financial framework | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- |
| Human resources | 0.064 | 0.262 | 0.267 | 0.272 | 0.278 | 0.212 | 1.355 |
| Other expenditure

  of an administrative nature | 0.003 | 0.012 | 0.012 | 0.012 | 0.012 | 0.009 | 0.060 |
| Subtotal

  outside HEADING 7

  of the multiannual financial framework | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |

Human resources

0.064

0.262

0.267

0.272

0.278

0.212

1.355

Other expenditure

  of an administrative nature

0.003

0.012

0.012

0.012

0.012

0.009

0.060

Subtotal

  outside HEADING 7

  of the multiannual financial framework

0.067

0.274

0.279

0.284

0.290

0.221

1.415

TOTAL

| TOTAL | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
| --- | --- | --- | --- | --- | --- | --- | --- |

0.067

0.274

0.279

0.284

0.290

0.221

1.415

The appropriations required for human resources and other expenditure of an administrative nature will be met by appropriations from the DG that are already assigned to management of the action and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual allocation procedure and in the light of budgetary constraints.

3.2.3.1.Estimated requirements of human resources

–◻
     The proposal/initiative does not require the use of human resources.

–☑
     The proposal/initiative requires the use of human resources, as explained below:

Estimate to be expressed in full time equivalent units

| | Year

  2023 | Year

  2024 | Year


  2025 | Year


  2026 | Year 2027 | Year 2028 |
| --- | --- | --- | --- | --- | --- | --- |
| • Establishment plan posts (officials and temporary staff) | | |
| 20 01 02 01 (Headquarters and Commission’s Representation Offices) | | | | | | |
| 20 01 02 03 (Delegations) | | | | | | |
| 01 01 01 01 (Indirect research) | 0.375 | 1.5 | 1.5 | 1.5 | 1.5 | 1.125 |
| 01 01 01 11 (Direct research) | | | | | | |
| • External staff (in Full Time Equivalent unit: FTE)
  24 | |
| 20 02 01 (AC, END, INT from the ‘global envelope’) | | | | | | |
| 20 02 03 (AC, AL, END, INT and JPD in the delegations) | | | | | | |
| XX 01 xx yy zz 
  25 | - at Headquarters | | | | | | |
| | - in Delegations | | | | | | |
| 01 01 01 02 (AC, END, INT - Indirect research) | | | | | | |
| 01 01 01 12 (AC, END, INT - Direct research) | | | | | | |
| Other budget lines (specify) | | | | | | |
| TOTAL | 0.375 | 1.5 | 1.5 | 1.5 | 1.5 | 1.125 |

Year

  2023

Year

  2024

Year

2025

Year

2026

Year 2027

Year 2028

• Establishment plan posts (officials and temporary staff)

20 01 02 01 (Headquarters and Commission’s Representation Offices)

20 01 02 03 (Delegations)

01 01 01 01 (Indirect research)

0.375

1.5

1.5

1.5

1.5

1.125

01 01 01 11 (Direct research)

• External staff (in Full Time Equivalent unit: FTE)
  24

20 02 01 (AC, END, INT from the ‘global envelope’)

20 02 03 (AC, AL, END, INT and JPD in the delegations)

XX 01 xx yy zz 
  25

- at Headquarters

- in Delegations

01 01 01 02 (AC, END, INT - Indirect research)

01 01 01 12 (AC, END, INT - Direct research)

Other budget lines (specify)

TOTAL

0.375

1.5

1.5

1.5

1.5

1.125

XX is the policy area or budget title concerned.

The human resources required will be met by staff from the DG who are already assigned to management of the action and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual allocation procedure and in the light of budgetary constraints.

Description of tasks to be carried out:

| Officials and temporary staff | Preparation and management of Joint Committee Meetings foreseen under Article 6(b) of the Agreement and missions ensuring the good functioning and implementation, as well as regular review, of the Agreement.


  Calculations are done proportionally considering the duration of the Agreement. |
| --- | --- |
| External staff | |

Officials and temporary staff

Preparation and management of Joint Committee Meetings foreseen under Article 6(b) of the Agreement and missions ensuring the good functioning and implementation, as well as regular review, of the Agreement.

Calculations are done proportionally considering the duration of the Agreement.

External staff

3.2.4.Compatibility with the current multiannual financial framework

The proposal/initiative:

–☑
     can be fully financed through redeployment within the relevant heading of the Multiannual Financial Framework (MFF).

Explain what reprogramming is required, specifying the budget lines concerned and the corresponding amounts. Please provide an excel table in the case of major reprogramming.

–◻
     requires use of the unallocated margin under the relevant heading of the MFF and/or use of the special instruments as defined in the MFF Regulation.

–

◻

requires use of the unallocated margin under the relevant heading of the MFF and/or use of the special instruments as defined in the MFF Regulation

.

Explain what is required, specifying the headings and budget lines concerned, the corresponding amounts, and the instruments proposed to be used.

–◻
     requires a revision of the MFF.

–

◻

requires a revision of the MFF

.

Explain what is required, specifying the headings and budget lines concerned and the corresponding amounts.

3.2.5.Third-party contributions

3.2.5.

Third-party contributions

The proposal/initiative:

The proposal/initiative:

–☑ does not provide for co-financing by third parties.

–The proposal/initiative provides for the co-financing estimated below:

Appropriations in EUR million (to three decimal places)

| | Year

  N | Year

  N+1 | Year

  N+2 | Year

  N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) | Total |
| --- | --- | --- | --- | --- | --- | --- |
| Specify the co-financing body | | | | | | | | |
| TOTAL appropriations co-financed | | | | | | | | |

Year

  N

Year

  N+1

Year

  N+2

Year

  N+3

Enter as many years as necessary to show the duration of the impact (see point 1.6)

Total

Specify the co-financing body

TOTAL appropriations co-financed

3.3.Estimated impact on revenue

–☑
     The proposal/initiative has no financial impact on revenue.

–◻
     The proposal/initiative has the following financial impact:

–◻
     on own resources

–◻
     on miscellaneous revenue

EUR million (to three decimal places)

| Budget revenue line: | Appropriations available for the current financial year | Impact of the proposal/initiative
  26 |
| --- | --- | --- |
| | | Year

  N | Year

  N+1 | Year

  N+2 | Year

  N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) |
| Article ............. | | | | | | | | |

Budget revenue line:

Appropriations available for the current financial year

Impact of the proposal/initiative
  26

Year

  N

Year

  N+1

Year

  N+2

Year

  N+3

Enter as many years as necessary to show the duration of the impact (see point 1.6)

Article .............

For assigned revenue, specify the budget expenditure line(s) affected.

Other remarks (e.g. method/formula used for calculating the impact on revenue or any other information).

Other remarks (e.g. method/formula used for calculating the impact on revenue or any other information).