# COM_2017_0336_FIN.ENG.xhtml.1_EN_ACT_part1_v4.docx

european flagEUROPEAN COMMISSION

Brussels, 22.6.2017

COM(2017) 336 final

2017/0139(NLE)

Proposal for a

COUNCIL DECISION

concerning the renewal of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil

EXPLANATORY MEMORANDUM

1.CONTEXT OF THE PROPOSAL

•Reasons for and objectives of the proposal

The Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil
  1
  (‘the Agreement’) entered into force on 7 August 2007. Article XII(2) of the Agreement provides that it ‘shall initially be valid for a period of five years and may be renewed by agreement between the Parties after evaluation during the penultimate year of each subsequent renewal period’. The Agreement was last renewed in 2012 and remains in force until 7 August 2017, unless the Parties renew it for the next five-year period.

Since the Agreement was last renewed (Decision 2012/646/EU
  2
  ), Brazil has made significant advances in its science, technology and innovation (STI) policy, which has contributed to the institutional strengthening of the STI system. This included an improvement in the number and qualifications of human resources and in R&D infrastructure. Brazil remains at the forefront of research in the field of agriculture, as well as in tropical and infectious diseases. It is also a world-class player in the fields of information and communication technologies, nanotechnologies and energy and it hosts some of Latin America’s top universities. These research areas are of interest to the European Union. The links between Brazil and the EU in science, technology and innovation have been growing through intense cooperation at EU and Member State level.

The evaluation carried out by the Commission clearly demonstrates that the Agreement provides an important framework for facilitating cooperation between the EU and Brazil in common S&T priority areas leading to mutual benefits. As Brazil’s potential as a research and innovation partner continues to grow, it should be seen as a strategic partner for the EU in Latin America. The main instruments for cooperation are the EU framework programmes for research and innovation. Among non-Associated third countries, Brazil was the 6th most active country in FP 7 (2007-2013) and the 5th in Horizon 2020 so far. Cooperation between the EU and the Brazilian research community led, among other results, to the development of a new drug for Chagas disease (already registered with Food and Drug Administration to start clinical testing) and to the development of a new biomass pre-treatment process for advanced bioethanol (allowing the set-up of the first commercial advanced bioethanol plant in Europe).

It is, therefore, in the EU’s interest to renew the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil for a new period of five years.

Both Parties confirmed their wish to renew the Agreement by exchange of letters, dated 14 November 2016 and 5 January 2017.

The substance of the renewed Agreement will be identical to that of the current Agreement, as discussed and agreed with the Brazilian counterpart.

•Consistency with existing policy provisions in the policy area

•

Consistency with existing policy provisions in the policy area

This initiative is fully in line with the EU’s international cooperation strategy for research & innovation
  3
  . The EU’s strategy clearly states the importance of science & technology agreements as vehicles for defining and implementing multiannual roadmaps for cooperation with non-EU countries. The Agreement is also means of implementing the EU’s international cooperation strategy for research and innovation, which calls for more internationalisation and openness in the EU’s research & innovation landscape.

•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 socioeconomic ties, notably with Latin American countries.

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 (v) of Article 218(6)(a) 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 (v) of Article 218(6)(a) TFEU.

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

Only human and administrative resources are required; these 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 renewal of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil which will apply, following the expiry of the five years, for an additional period of five years (i.e., from 08.08.2017 until 07.08.2022)

-

-
     authorise the President of the Council to designate the person(s) empowered to notify the Government of the Federative Republic of Brazil that the Union has completed the internal procedures necessary for the entry into force of this renewed Agreement

-

2017/0139 (NLE)

2017/0139 (NLE)

Proposal for a

Proposal for a

COUNCIL DECISION

COUNCIL DECISION

concerning the renewal of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil

concerning the renewal of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil

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 point (v) of Article 218(6)(a) thereof,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 186, in conjunction with point (v) of Article 218(6)(a) 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 2005/781/EC
  4
  , the Council approved the conclusion of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil (the ‘Agreement’).

(1)

By Decision 2005/781/EC

4

, the Council approved the conclusion of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil (the ‘Agreement’).

(2)The Agreement, in accordance with Article XII, enters into force on the date on which both Parties have notified each other in writing that their respective internal procedures necessary for the Agreement to enter into force have been completed. The Agreement is initially valid for a period of five years and may be renewed by agreement between the Parties after evaluation during the penultimate year of each subsequent renewal period.

(2)

The Agreement, in accordance with Article XII, enters into force on the date on which both Parties have notified each other in writing that their respective internal procedures necessary for the Agreement to enter into force have been completed. The Agreement is initially valid for a period of five years and may be renewed by agreement between the Parties after evaluation during the penultimate year of each subsequent renewal period.

(3)By Decision 2012/646/EU
  5
  , the Council approved the renewal of the Agreement for an additional period of five years.

(4)The exchange of letters between the Parties, dated 14 November 2016 and 5 January 2017, confirmed their interest in renewing the Agreement for another five years.

(5)As a consequence of the entry into force of the Treaty of Lisbon on 1 December 2009, the European Union has replaced and succeeded the European Community.

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

HAS ADOPTED THIS DECISION:

Article 1

The renewal of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil, for an additional period of five years, is hereby approved on behalf of the European Union.

Article 2

The President of the Council shall designate the person(s) empowered to notify the Government of the Federative Republic of Brazil, on behalf of the Union and in accordance with Article XII(2) of the Agreement, that the Union has completed the internal procedures necessary for the entry into force of this renewed Agreement and make the following notification to Brazil:

'As a consequence of the entry into force of the Treaty of Lisbon on 1 December 2009, the European Union has replaced and succeeded the European Community and from that date exercises all rights and assumes all obligations of the European Community. Therefore, references to "the European Community" in the text of the Agreement are, where appropriate to be read as "the European Union".'.

Article 3

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

Done at Brussels,

For the Council

The President

LEGISLATIVE FINANCIAL STATEMENT

LEGISLATIVE FINANCIAL STATEMENT

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 in the ABM/ABB structure

1.2.Policy area(s) concerned in the ABM/ABB structure

1.3.Nature of the proposal/initiative

1.4.Objective(s)

1.5.Grounds for the proposal/initiative

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

2.3.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 on expenditure

3.2.1.Summary of estimated impact on expenditure

3.2.2.Estimated impact on 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 concerning the renewal of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil

1.2.Policy area(s) concerned in the ABM/ABB structure
  6

1.2.

Policy area(s) concerned in the ABM/ABB structure

6

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

1.3.Nature of the proposal/initiative

1.3.

Nature of the proposal/initiative

◻ The proposal/initiative relates to a new action

◻

The proposal/initiative relates to

a new action

◻ The proposal/initiative relates to a new action following a pilot project/preparatory action
  7

◻

The proposal/initiative relates to

a new action following a pilot project/preparatory action

7

☑ The proposal/initiative relates to the extension of an existing action

☑

The proposal/initiative relates to

the extension of an existing action

◻ The proposal/initiative relates to an action redirected towards a new action

◻

The proposal/initiative relates to

an action redirected towards a new action

1.4.Objective(s)

1.4.

Objective(s)

1.4.1.The Commission’s multiannual strategic objective(s) targeted by the proposal/initiative

1.4.1.

The Commission’s multiannual strategic objective(s) targeted by the proposal/initiative

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

1.4.2.Specific objective(s) and ABM/ABB activity(ies) concerned

1.4.2.

Specific objective(s) and ABM/ABB activity(ies) concerned

Specific objective No

This decision should allow both Parties to enhance the cooperation and develop a more strategic partnership by increasing the scale and scope of existing cooperation, addressing key societal challenges in common and promoting reciprocal access to programmes and funding. It will also allow regional cooperation to increase where appropriate.

ABM/ABB activity(ies) concerned

1.4.3.Expected result(s) and impact

1.4.3.

Expected result(s) and impact

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

This decision will allow both Brazil and the European Union to derive mutual benefit from the scientific and technical progress achieved through research in their respective research programmes and 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 results and impact

1.4.4.

Indicators of results and impact

Specify the indicators for monitoring implementation of the proposal/initiative.

Specify the indicators for monitoring implementation of the proposal/initiative.

The Commission will regularly monitor all actions carried out under the Agreement, including of cooperation activities. This evaluation will cover the following points, among others:

(a) cooperation indicators — analysis of the number and type of participation of Brazilian 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 Brazilian entities participating in the EU framework programmes compared to other non-EU countries and to Member States/Associated countries to a Research Framework Programme; 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

1.5.1.

Requirement(s) to be met in the short or long term

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 EU involvement

1.5.2.

Added value of EU involvement

Cooperation in research & innovation between Brazil and the EU and its Member States 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 renewal of this Agreement will allow the EU to have easier access to scientific knowledge produced in Brazil and to engage in more cooperation activities leading to additional exchange of knowledge and technologies. It will also provide easier access to the Brazilian 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 scientific and technological cooperation, it is considered mutually beneficial to continue research cooperation with Brazil, as a strategic partner of the Union in research and innovation.

1.5.4.Compatibility and possible synergy with other appropriate instruments

1.5.4.

Compatibility and possible synergy with other appropriate instruments

The renewal of the Agreement with Brazil is considered to be fully consistent with the overall policy framework on international cooperation in research and innovation (COM(2012)497).

1.6.Duration and financial impact

1.6.

Duration and financial impact

☑ Proposal/initiative of limited duration

☑

Proposal/initiative of

limited duration

–☑
     Proposal/initiative in effect from 08/08/2017 to 07/08/2022

–

☑

–☑
     Financial impact from YYYY to YYYY

–

☑

◻ Proposal/initiative of unlimited duration

◻

Proposal/initiative of

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
  8

1.7.

Management mode(s) planned

8

☑ 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

◻

Shared management

with the Member States

◻ Indirect management by entrusting budget implementation tasks to:

◻

Indirect management

by entrusting budget implementation tasks to:

–◻ third countries or the bodies they have designated;

–

◻

third countries or the bodies they have designated;

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

–

◻

international organisations and their agencies (to be specified);

–◻the EIB and the European Investment Fund;

–

◻

the EIB and the European Investment Fund;

–◻ bodies referred to in Articles 208 and 209 of the Financial Regulation;

–

◻

bodies referred to in Articles 208 and 209 of the Financial Regulation;

–◻ public law bodies;

–

◻

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.

Brazil’s participation in the framework programme is monitored on a regular basis through meetings of the Joint Steering Committee established under Article VI of the Agreement.

2.2.Management and control system

2.2.

Management and control system

2.2.1.Risk(s) identified

2.2.1.

Risk(s) identified

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.

2.2.2.Information concerning the internal control system set up

2.2.2.

Information concerning the internal control system set up

2.2.3.Estimate of the costs and benefits of the controls and assessment of the expected level of risk of error

2.2.3.

Estimate of the costs and benefits of the controls and assessment of the expected level of risk of error

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 1073/99 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 insertion of specific clauses in the contracts 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 1073/1999 and No 1074/1999;

- 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 programme of checks on scientific and budgetary aspects of cooperation will be carried out by the staff responsible in the Directorate-General (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 carried out 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.

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
  9
  . | from EFTA countries
  10 | from candidate countries
  11 | from third countries | within the meaning of Article 21(2)(b) of the Financial Regulation |
| 1a | 08.01.05 | Non-diff. | YES | YES | NO | NO |

Heading of multiannual financial framework

Heading of multiannual financial framework

Budget line

Budget line

Type of

  expenditure

Type of

expenditure

Contribution

Contribution

Number

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

Number

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

Diff./Non-diff
  9
  .

Diff./Non-diff

9

.

from EFTA countries
  10

from EFTA countries

10

from candidate countries
  11

from candidate countries

11

from third countries

from third countries

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

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

1a

1a

08.01.05

08.01.05

Non-diff.

Non-diff.

YES

YES

YES

YES

NO

NO

NO

NO

·New budget lines requested

·

New budget lines requested

In order of multiannual financial framework headings and budget lines.

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 on expenditure

[This section should be filled in using the

  spreadsheet on budget data of an administrative nature

  (second document in annex to this financial statement) and uploaded to CISNET for interservice consultation purposes.]

3.2.1.Summary of estimated impact on expenditure

EUR million (to three decimal places)

| Heading of multiannual financial

  framework | Number | [Heading...........................................................................................] |
| --- | --- | --- |

Heading of multiannual financial

  framework

Number

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

DG: <RTD>

| DG: <RTD> | | | Year

  2017
  12 | Year

  2018 | Year

  2019 | Year

  2020 | Year

  2021 | Year

  2022 | TOTAL |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| • Operational appropriations | | | | | | | |
| Number of budget line | Commitments | (1) | | | | | | | |
| | Payments | (2) | | | | | | | |
| Number of budget line | Commitments | (1a) | | | | | | | |
| | Payments | (2a) | | | | | | | |
| Appropriations of an administrative nature financed from the envelope of specific programmes
  13 | | | | | | | |
| Number of budget line | 08.01.05 | (3) | | | | | | | |
| TOTAL appropriations

  for DG | Commitments | =1+1a +3 | 0.024 | 0.061 | 0.061 | 0.061 | 0.061 | 0.037 | 0.305 |
| | Payments | =2+2a


  +3 | 0.024 | 0.061 | 0.061 | 0.061 | 0.061 | 0.037 | 0.305 |

Year

  2017
  12

Year

  2018

Year

  2019

Year

  2020

Year

  2021

Year

  2022

TOTAL

• Operational appropriations

Number of budget line

Commitments

(1)

Payments

(2)

Number of budget line

Commitments

(1a)

Payments

(2a)

Appropriations of an administrative nature financed from the envelope of specific programmes
  13

Number of budget line

08.01.05

(3)

TOTAL appropriations

  for DG

Commitments

=1+1a +3

0.024

0.061

0.061

0.061

0.061

0.037

0.305

Payments

=2+2a

+3

0.024

0.061

0.061

0.061

0.061

0.037

0.305

| • TOTAL operational appropriations | Commitments | (4) | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| | Payments | (5) | | | | | | | | |
| • TOTAL appropriations of an administrative nature financed from the envelope for specific programmes | (6) | 0.024 | 0.061 | 0.061 | 0.061 | 0.061 | 0.061 | 0.037 | 0.305 |
| TOTAL appropriations

  under HEADING <....>
  of the multiannual financial framework | Commitments | =4+ 6 | 0.024 | 0.061 | 0.061 | 0.061 | 0.061 | 0.061 | 0.037 | 0.305 |
| | Payments | =5+ 6 | 0.024 | 0.061 | 0.061 | 0.061 | 0.061 | 0.061 | 0.037 | 0.305 |

• TOTAL operational appropriations

Commitments

(4)

Payments

(5)

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

(6)

0.024

0.061

0.061

0.061

0.061

0.061

0.037

0.305

TOTAL appropriations

  under HEADING <....>
  of the multiannual financial framework

Commitments

=4+ 6

0.024

0.061

0.061

0.061

0.061

0.061

0.037

0.305

Payments

=5+ 6

0.024

0.061

0.061

0.061

0.061

0.061

0.037

0.305

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

| • TOTAL operational appropriations | Commitments | (4) | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| | Payments | (5) | | | | | | | | |
| • TOTAL appropriations of an administrative nature financed from the envelope for specific programmes | (6) | | | | | | | | |
| TOTAL appropriations

  under HEADINGS 1 to 4
  of the multiannual financial framework

  (Reference amount) | Commitments | =4+ 6 | | | | | | | | |
| | Payments | =5+ 6 | | | | | | | | |

• TOTAL operational appropriations

Commitments

(4)

Payments

(5)

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

(6)

TOTAL appropriations

  under HEADINGS 1 to 4
  of the multiannual financial framework

  (Reference amount)

Commitments

=4+ 6

Payments

=5+ 6

| Heading of multiannual financial

  framework | 5 | ‘Administrative expenditure’ |
| --- | --- | --- |

Heading of multiannual financial

  framework

5

‘Administrative expenditure’

EUR million (to three decimal places)

| | | | Year

  2017
  14 | Year

  20181 | Year

  2019 | Year

  2020 | Year

  2021 | Year


  2022 | TOTAL |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| DG: <.......> |
| • Human resources | | | | | | | | |
| • Other administrative expenditure | 0.003 | 0.008 | 0.008 | 0.008 | 0.008 | 0.005 | 0.04 |
| TOTAL DG <.......> | Appropriations | 0.003 | 0.008 | 0.008 | 0.008 | 0.008 | 0.005 | 0.04 |

Year

  2017
  14

Year

  20181

Year

  2019

Year

  2020

Year

  2021

Year

2022

TOTAL

DG: <.......>

• Human resources

• Other administrative expenditure

0.003

0.008

0.008

0.008

0.008

0.005

0.04

TOTAL DG <.......>

Appropriations

0.003

0.008

0.008

0.008

0.008

0.005

0.04

TOTAL appropriations

  under HEADING 5
  of the multiannual financial framework

| TOTAL appropriations

  under HEADING 5
  of the multiannual financial framework | (Total commitments = Total payments) | 0.003 | 0.008 | 0.008 | 0.008 | 0.008 | 0.005 | 0.04 |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |

(Total commitments = Total payments)

0.003

0.008

0.008

0.008

0.008

0.005

0.04

EUR million (to three decimal places)

| | | | Year

  2017
  15 | Year

  2018 | Year

  2019 | Year

  2020 | Year


  2021 | Year


  2022 | TOTAL |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| TOTAL appropriations

  under HEADINGS 1 to 5
  of the multiannual financial framework | Commitments | 0.027 | 0.069 | 0.069 | 0.069 | 0.069 | 0.042 | 0.345 |
| | Payments | 0.027 | 0.069 | 0.069 | 0.069 | 0.069 | 0.042 | 0.345 |

Year

  2017
  15

Year

  2018

Year

  2019

Year

  2020

Year

2021

Year

2022

TOTAL

TOTAL appropriations

  under HEADINGS 1 to 5
  of the multiannual financial framework

Commitments

0.027

0.069

0.069

0.069

0.069

0.042

0.345

Payments

0.027

0.069

0.069

0.069

0.069

0.042

0.345

3.2.2.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:

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
  16 | Average cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | Total No | Total cost |
| SPECIFIC OBJECTIVE No 1
  17
  ... | | | | | | | | | | | | | | | | |
| - Output | | | | | | | | | | | | | | | | | | |
| - Output | | | | | | | | | | | | | | | | | | |
| - Output | | | | | | | | | | | | | | | | | | |
| Subtotal for specific objective No 1 | | | | | | | | | | | | | | | | |
| SPECIFIC OBJECTIVE No 2 ... | | | | | | | | | | | | | | | | |
| - Output | | | | | | | | | | | | | | | | | | |
| Subtotal for specific objective No 2 | | | | | | | | | | | | | | | | |
| TOTAL COST | | | | | | | | | | | | | | | | |

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
  16

Average cost

No

Cost

No

Cost

No

Cost

No

Cost

No

Cost

No

Cost

No

Cost

Total No

Total cost

SPECIFIC OBJECTIVE No 1
  17
  ...

- Output

- Output

- Output

Subtotal for specific objective No 1

SPECIFIC OBJECTIVE No 2 ...

- Output

Subtotal for specific objective No 2

TOTAL COST

3.2.3.Estimated impact on appropriations of an administrative nature

3.2.3.1.Summary

–◻
     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

  2017
  18 | Year

  2018 | Year

  2019 | Year

  2020 | Year

  2021 | Year

  2022 | TOTAL |
| --- | --- | --- | --- | --- | --- | --- | --- |

Year

  2017
  18

Year

  2018

Year

  2019

Year

  2020

Year

  2021

Year

  2022

TOTAL

HEADING 5

  of the multiannual financial framework

| HEADING 5

  of the multiannual financial framework | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- |
| Human resources | | | | | | | |
| Other administrative expenditure | 0.003 | 0.008 | 0.008 | 0.008 | 0.008 | 0.005 | 0.04 |
| Subtotal HEADING 5

  of the multiannual financial framework | 0.003 | 0.008 | 0.008 | 0.008 | 0.008 | 0.005 | 0.04 |

Human resources

Other administrative expenditure

0.003

0.008

0.008

0.008

0.008

0.005

0.04

Subtotal HEADING 5

  of the multiannual financial framework

0.003

0.008

0.008

0.008

0.008

0.005

0.04

Outside HEADING 5
  19


  of the multiannual financial framework

| Outside HEADING 5
  19


  of the multiannual financial framework | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- |
| Human resources | 0.024 | 0.061 | 0.061 | 0.061 | 0.061 | 0.037 | 0.305 |
| Other expenditure

  of an administrative nature | | | | | | | |
| Subtotal

  outside HEADING 5

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

Human resources

0.024

0.061

0.061

0.061

0.061

0.037

0.305

Other expenditure

  of an administrative nature

Subtotal

  outside HEADING 5

  of the multiannual financial framework

TOTAL

| TOTAL | 0.027 | 0.069 | 0.069 | 0.069 | 0.069 | 0.042 | 0.345 |
| --- | --- | --- | --- | --- | --- | --- | --- |

0.027

0.069

0.069

0.069

0.069

0.042

0.345

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.

3.2.3.2.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

  2017 | Year

  2018 | Year


  2019 | Year


  2020 | Year 2021 | Year 2022 |
| --- | --- | --- | --- | --- | --- | --- |
| • Establishment plan posts (officials and temporary staff) | | |
| XX 01 01 01 (Headquarters and Commission’s Representation Offices) | | | | | | |
| XX 01 01 02 (Delegations) | | | | | | |
| 08 01 05 01 (Indirect research) | 0.2 | 0.5 | 0.5 | 0.5 | 0.5 | 0.3 |
| 10 01 05 01 (Direct research) | | | | | | |
| • External staff (in Full Time Equivalent unit: FTE)
  20 | |
| XX 01 02 01 (AC, END, INT from the ‘global envelope’) | | | | | | |
| XX 01 02 02 (AC, AL, END, INT and JED in the delegations) | | | | | | |
| XX 01 04 yy 
  21 | - at Headquarters | | | | | | |
| | - in Delegations | | | | | | |
| XX 01 05 02 (AC, END, INT — Indirect research) | | | | | | |
| 10 01 05 02 (AC, END, INT — Direct research) | | | | | | |
| Other budget lines (specify) | | | | | | |
| TOTAL | 0.2 | 0.5 | 0.5 | 0.5 | 0.5 | 0.3 |

Year

  2017

Year

  2018

Year

2019

Year

2020

Year 2021

Year 2022

• Establishment plan posts (officials and temporary staff)

XX 01 01 01 (Headquarters and Commission’s Representation Offices)

XX 01 01 02 (Delegations)

08 01 05 01 (Indirect research)

0.2

0.5

0.5

0.5

0.5

0.3

10 01 05 01 (Direct research)

• External staff (in Full Time Equivalent unit: FTE)
  20

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

XX 01 02 02 (AC, AL, END, INT and JED in the delegations)

XX 01 04 yy 
  21

- at Headquarters

- in Delegations

XX 01 05 02 (AC, END, INT — Indirect research)

10 01 05 02 (AC, END, INT — Direct research)

Other budget lines (specify)

TOTAL

0.2

0.5

0.5

0.5

0.5

0.3

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 as provided for in Article VI of the Agreement, as well as follow-up of functioning and implementation 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 as provided for in Article VI of the Agreement, as well as follow-up of functioning and implementation 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 is compatible the current multiannual financial framework.

–◻
     The proposal/initiative will entail reprogramming of the relevant heading in the multiannual financial framework.

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

–◻
     The proposal/initiative requires application of the flexibility instrument or revision of the multiannual financial framework.

–

◻

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 does not provide for co-financing by third parties.

–

☑

The proposal/initiative does not provide for co-financing by third parties.

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

–

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

Appropriations in EUR million (to three decimal places)

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
  22 |
| --- | --- | --- |
| | | 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
  22

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 miscellaneous ‘assigned’ revenue, specify the budget expenditure line(s) affected.

Specify the method for calculating the impact on revenue.

Specify the method for calculating the impact on revenue.