Proposal for a Council Decision Concerning the extension of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America
Date: 2008-09-29
Institutions: European Commission
Subjects: EU research policy, United States, cooperation agreement (EU), intellectual property, renewal of an agreement, scientific cooperation, technical cooperation, technology

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 29.9.2008 
COM(2008) 581 final 

2008/0184 (CNS) 

Proposal for a 

COUNCIL DECISION 

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

(presented by the Commission) 

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1. 

2. 

3. 

4. 

5. 

EXPLANATORY MEMORANDUM 

The  Agreement  on  cooperation  in  science  and  technology  between  the  European 
Community  and  the  Government  of  the  United  States  of  America  was  signed  in 
Washington  on  5th  December,  1997  and  entered  into  force  on  14  October  1998. 
Article  12(b) of  the Agreement provides as follows: "This Agreement is concluded 
for an initial period ending 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 by the Parties". 

By Council Decision 2004/756/EC of 4 October, 20041 the Agreement was renewed 
for a further period of five years which became effective as from 14 October 2003. 
The Agreement is due to expire on 13 October, 2008.  

It is in the interest of the Community to extend this Agreement in order to continue 
to facilitate cooperation with the United States of America in common S&T priority 
areas leading to socio-economic benefits for both Parties. 

Both parties confirmed their interest in extending the Agreement in the conclusions 
of the last meeting of the Joint Consultative Group established under the Agreement 
(held in Washington on 19-20 February 2008). 

The  material  content  of  the  extended  Agreement  will  be  identical  to  the  material 
content  of  the  current  Agreement,  apart  from  amendments  of  a  technical  nature  to 
update  the  scope  of  the  agreement  in  line  with  the  Seventh  Community  Research 
Framework  Programme  (FP7),  consisting  mainly  in  adding  research  on  space  and 
security to the list of sectors for cooperative activities.  

6. 

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

– 

– 

to  approve,  on  behalf  of  the  Community,  after  consulting  the  European 
Parliament,  the  extension  for  an  additional  period  of  five  years  of  the 
Agreement for scientific and technological cooperation between the European 
Community and the Government of the United States of America; 

to authorise the President of the Council to designate the person empowered to 
sign  the  Agreement  in  order  to  express  the  consent  of  the  Community  to  be 
bound thereby. 

1 

OJL335, 11/11/2004, p.5 

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2008/0184 (CNS) 

Proposal for a 

COUNCIL DECISION 

Concerning 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, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular  the 
second  paragraph  of  Article  170  thereof  in  conjunction  with  the  first  sentence  of  the  first 
subparagraph of Article 300(2), and the first subparagraph of Article 300(3), 

Having regard to the proposal from the Commission2, 

Having regard to the opinion of the European Parliament3, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

By  its  Decision  of  13  October,  19984,  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. 

Article 12(b) of the Agreement provides as follows: '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  by  the 
Parties’. 

By its Decision of 4 October, 20045 the Council renewed the Agreement for a further 
period of five years which became effective as from 14 October 2003. 

The  authorities  of  the  United  States  of  America  have  informed  the  services  of  the 
Commission  that  they  would  welcome  the  extension  of  the  abovementioned 
Agreement  for  another  five  years.  Rapid  extension  would  therefore  be  in  the  best 
interests of both parties. 

The  material  content  of  the  extended  Agreement  will  be  identical  to  the  material 
content of the Agreement which expires on 13 October 2008, with the exception of a 
technical amendment consisting mainly in adding research on space and security to the 

2 
3 
4 
5 

OJCp. 
OJCp. 
OJL284, 22.10.1998, p.35 
OJL335, 11/11/2004, p.5 

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list of sectors for cooperative activities, in line with the scope of the Seventh Research 
Framework Programme. 

(6) 

The extension of the Agreement for scientific and technological cooperation between 
the European Community and the Government of the United States of America should 
be approved on behalf of the Community, 

HAS DECIDED AS FOLLOWS:  

Article 1 

The  extension  of  the  Agreement  for  scientific  and  technological  cooperation  between  the 
European  Community  and  the  Government  of  the  United  States  of  America,  with  the 
amended Article 4 as attached to this decision, for an additional period of five years is hereby 
approved on behalf of the Community. 

Article 2 

The President of the Council shall, acting on behalf of the Community, give the notification to 
the  Government  of  the  United  States  of  America  that  the  Community  has  completed  its 
internal procedures necessary for the entry into force of this extended Agreement. 

Article 3 

The decision shall be published in the Official Journal. 

Done at Brussels,  

For the Council 
The President 

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Amended text of Article 4 of the Agreement for scientific and technological cooperation 
between the European Community and the Government of the United States of America 

ANNEX  

Article 4 

Areas of cooperative activities 

(a) 

Sectors for cooperative activities are may include : 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

environment (including climate research), 

biomedicine and health (including research on AIDS, infectious diseases 
and drug abuse), 

agriculture, 

fisheries science, 

engineering research, 

non-nuclear energy, 

natural resources, 

materials sciences (including nanotechnology) and metrology, 

information and communication technologies, 

telematics, 

biotechnology, 

marine sciences and technology, 

social sciences research, 

transportation, 

security research 

space research 

science  and  technology  policy,  management,  training  and  mobility  of 
scientists. 

(b) 

The  Parties  may  modify  this  list  upon  recommendation  by  the  Joint 
Consultative  Group  mentioned  in  Article  6,  in  accordance  with  procedures  in 
force for each Party. 

(c) 

The Parties may jointly pursue cooperative activities with third parties. 

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1. 

LEGISLATIVE FINANCIAL STATEMENT NAME OF THE PROPOSAL : 

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

2. 

ABM / ABB FRAMEWORK 

Policy Area(s) concerned and associated Activity/Activities: 

Policy strategy and coordination of, in particular, the Directorates-General RTD, JRC, ENTR, 
INFSO and TREN. 

3. 

BUDGET LINES 

3.1. 

Budget  lines  (operational  lines  and  related  technical  and  administrative 
assistance lines (ex- B.A lines)) including headings: 

Costs  in  connection  with  the  implementation  of  the  Agreement  (workshops,  seminars, 
meetings, etc.) will be charged to the administrative budget lines for the specific programmes 
of the Framework programme of the European Community (xx.01.05.03). 

3.2. 

Duration of the action and of the financial impact: 

Duration of five years, to be extended by mutual agreement between the Parties, as laid down 
in Article 12 of the Agreement. 

3.3. 

Budgetary characteristics : 

Budget 
line 

08.01.05.03 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

Non-comp 

Non-diff6 

NO 

YES 

YES 

No 1a 

4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

4.1.1. 

4.1.1  Summary  of  commitment  appropriations  (CA)  and  payment  appropriations 
(PA) 

EUR million (to 3 decimal places) 

6 

Non-differentiated appropriations hereafter referred to as NDA 

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Section 
no. 

Expenditure type 

2008 

2009 

2010 

2011 

2012 

Total 

Operational expenditure7 

Commitment 
Appropriations (CA) 

8.1 

Payment  Appropriations 
(PA) 

a 

b 

Administrative expenditure within reference amount8 

0.110 

0.110 

0.110 

0.110 

0.110 

0.550 

Technical & administrative 
assistance (NDA) 

8.2.4 

c 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT  

Commitment 
Appropriations 

Payment Appropriations 

a+c 

b+c 

Administrative expenditure not included in reference amount9 

Human 
associated 
(NDA) 

resources 

and 
expenditure 

Administrative  costs,  other 
than  human  resources  and 
associated  costs,  not  included 
in reference amount (NDA) 

8.2.5 

d 

8.2.6 

e 

Total indicative financial cost of intervention 

TOTAL  CA  including 
cost 
Human 
Resources 

of 

TOTAL  PA 
cost 
Resources 

of 

including 
Human 

Co-financing details 

a+c+d+e 

b+c+d+e 

If  the  proposal  involves  co-financing  by  Member  States,  or  other  bodies  (please  specify 
which),  an  estimate  of  the  level  of  this  co-financing  should  be  indicated  in  the  table  below 
(additional  lines  may  be  added  if  different  bodies  are  foreseen  for  the  provision  of  the  co-
financing): 

EUR million (to 3 decimal places) 

7 
8 
9 

Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Expenditure within article xx 01 04 of Title xx. 
Expenditure within chapter xx 01 other than articles xx 01 04 or xx 01 05. 

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Co-financing body 

N+1 

N+2 

N+3 

N+4 

Year 

…………………… 

TOTAL CA including co-
financing 

f 

a+c
+d+
e+f 

N+5 
and 
later 

Total 

4.1.2. 

4.1.2  Compatibility with Financial Programming 

x 

Proposal is compatible with existing financial programming. 

Proposal  will  entail  reprogramming  of  the  relevant  heading  in  the  financial 

(cid:133) 
perspective. 

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional 

(cid:133) 
Agreement10 (i.e. flexibility instrument or revision of the financial perspective). 

4.1.3. 

4.1.3  Financial impact on Revenue 

x 

Proposal has no financial implications on revenue 

(cid:133) 

Proposal has financial impact – the effect on revenue is as follows: 

Budget line 

Revenue 

EUR million (to one decimal place) 

Situation following action 

[Yea
r n] 

[n+1] [n+2] [n+3

] 

[n+4]  [n+5]

11

Prior to
action 
[Year 
n-1] 

a) Revenue in absolute terms 

b) Change in revenue 

 ∆ 

4.2. 

Human Resources FTE (including officials, temporary and external staff) – see 
detail under point 8.2.1. 

Annual requirements 

2008 

2009 

2010 

2011 

2012 

Total 
number 
human resources 

of 

10 
11 

See points 19 and 24 of the Interinstitutional agreement. 
Additional columns should be added if necessary i.e. if the duration of the action exceeds 6 years 

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5. 

CHARACTERISTICS AND OBJECTIVES 

5.1. 

Need to be met in the short or long term 

This decision will allow both Parties to continue, upgrade and intensify their cooperation in 
areas of common scientific and technological interest. 

5.2. 

Value-added  of  Community  involvement  and  coherence  of  the  proposal  with 
other financial instruments and possible synergy 

This  Agreement  is  based  on  the  principles  of  mutual  benefit,  reciprocal  opportunities  for 
cooperation  activities  such  as  joint  or  coordinated  calls  for  joint  projects,  access  to  each 
other's programmes and activities relevant for the purpose of the Agreement and the effective 
protection  of  intellectual  property  and  equitable  sharing  of  intellectual  property  rights.  The 
proposal also provides for missions by EU experts and officials, and for workshops, seminars 
and  meetings  to  be  organised  in  the  European  Community  and  in  the  United  States.  The 
cooperative  activities  in  the  field  of  science  and  technology  under  this  agreement  are 
complementary to and in support of other Community activities vis à vis the USA.  

5.3. 

Objectives, expected results and related indicators of the proposal in the context 
of the ABM framework 

This  decision  should  allow  both  the  USA  and  the  European  Community  to  derive  mutual 
benefit  from  the  scientific  and  technical  progress  achieved  through  their  specific  research 
programmes. It will allow an exchange of specific knowledge and a transfer of know-how to 
the benefit of the scientific community, industry and citizens. 

5.4.  Method of Implementation (indicative) 

Centralised Management 

x 

Directly by the Commission 

Indirectly by delegation to: 

Executive Agencies 

ٱBodies set up by the Communities as referred to in art. 185 of the Financial Regulation 

ٱNational public-sector bodies/bodies with public-service mission 

ٱShared or decentralised management 

ٱ 

ٱ 

With Member states 

With Third countries 

Joint management with international organisations (please specify) 

Relevant comments: 

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6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

The  Commission  departments  will  regularly  evaluate  all  the  actions  carried  out  under  the 
cooperation  agreement,  which  will  also  be  subject  to  a  joint  regular  evaluation  by  the 
Community and the USA. This evaluation will cover: 

(a) 

Performance indicators 

–  number of missions and meetings; 

–  number of different fields of cooperation activities. 

(b) 

gathering of information: 

Based  on  information  from  the  specific  programmes  of  the  Framework  Programme  and 
information  provided  by  the  USA  to  the  Joint  Consultative  Group  provided  for  by  the 
Agreement. 

(c) 

The  Commission  will  evaluate  the  actions  covered  by  this  participation  before  the 
end of the five year implementation period. 

6.2. 

Evaluation 

6.2.1.  Ex-ante evaluation 

The Commission will evaluate the actions covered by this cooperation agreement before the 
end of the five year implementation period. 

6.2.2.  Measures taken  following  an intermediate/ex-post evaluation (lessons  learned from 

similar experiences in the past) 

For the Community the positive decision to extend the agreement was based on the favourable 
assessment by DGs RTD/INFSO/JRC of the benefits accruing for the European participants to 
the  cooperative  activities  with  US  partners,  as  witnessed  in  particular  through  the  regular 
working group and Joint Consultative Group meetings. 

6.2.3.  Terms and frequency of future evaluation 

The Parties to the Agreement will evaluate the application thereof annually in the meetings of 
the Joint Consultative Group referred to in Article 6 thereof. Extension of this agreement will 
be submitted for assessment by each of the Parties. 

7. 

ANTI-FRAUD MEASURES  

When  the  implementation  of  the  framework  programme  calls  for  the  use  of  external 
contractors  or  implies  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. 

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The Community'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 Community 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,  in  carrying  out  the  research  activities,  the  Commission  will  ensure  that  the 
financial interests of the European Communities are protected by effective checks and, where 
irregularities are detected, by proportionate and dissuasive measures and penalties. 

In  order  to  achieve  this  aim,  rules  on  checks,  measures  and  penalties,  with  references  to 
Regulations No 2988/95, 2185/96, 1073/99 and 1074/99 will be set out 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 
EC 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  possible  recovery  orders  in  case  of  irregularities  and  fraud  be 
enforceable according to Article 256 of the EC Treaty. 

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

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8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost 

(Headings of Objectives, actions and 
outputs should be provided) 

Type of 
output 

Av. 
cost 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 and 
later 

TOTAL 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

Commitment appropriations in EUR million (to 3 decimal places) 

OPERATIONAL OBJECTIVE No.1 12 

Action 1………………. 

Output 1 

Output 2 

Action 2………………. 

Output 1 

Sub-total Objective 1 

OPERATIONAL OBJECTIVE No.2  

Action 1………………. 

Output 1 

Sub-total Objective 2 

OPERATIONAL OBJECTIVE No.n 

Sub-total Objective n 

TOTAL COST 

12 

As described under Section 5.3 

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8.2. 

Administrative Expenditure 

8.2.1.  Number and type of human resources 

Types of 
post 

Staff to be assigned to management of the action using existing and/or additional 
resources (number of posts/FTEs) 

2008 

2009 

2010 

2011 

2012 

A*/AD 

1 

1 

1 

1 

1 

B*, 
C*/AST 

Officials 
or 
temporary 
staff13 
(XX 01 
01) 

Staff  financed14  by 
art. XX 01 02 

staff15 
Other 
financed  by  art.  XX 
01 04/05 

TOTAL 

1 

1 

1 

1 

1 

8.2.2.  Description of tasks deriving from the action 

Management  of  the  Agreement  will  entail  missions  and  attending  meetings  by  EU 
and American experts and officials. 

8.2.3. 

Sources of human resources (statutory) 

x 

(cid:133) 

(cid:133) 

(cid:133) 

(cid:133) 

Posts currently allocated to the management of the programme to be replaced 
or extended 

Posts pre-allocated within the APS/PDB exercise for year n 

Posts to be requested in the next APS/PDB procedure 

Posts  to  be  redeployed  using  existing  resources  within  the  managing  service 
(internal redeployment) 

Posts required for year n although not foreseen in the APS/PDB exercise of the 
year in question 

8.2.4.  Other  Administrative  expenditure  included  in  reference  amount  (XX  01  04/05  – 

Expenditure on administrative management) 

EUR million (to 3 decimal places) 

13 
14 
15 

Cost of which is NOT covered by the reference amount 
Cost of which is NOT covered by the reference amount 
Cost of which is included within the reference amount 

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Budget line 

(number and heading) 

1  Technical  and  administrative  assistance 
(including related staff costs) 

Executive agencies16 

2008 

2009 

2010 

2011 

2012 

TOTAL 

Other technical and administrative assistance 

0.110 

0.110 

0.110 

0.110 

0.110 

0.550 

-intra muros  

-extra muros 

Total Technical and administrative assistance 

0.110 

0.110 

0.110 

0.110 

0.110 

0.550 

For  the  organisation  of  workshops,  conferences  and  seminars  to  promote  information 
exchange and enhance scientific cooperation between the USA and the EC. 

Financial cost of human resources and associated costs not included in the reference amount 

Type of human resources 

2008 

2009 

2010 

2011 

2012 

Total 

EUR million (to 3 decimal places) 

Officials and temporary staff (XX 01 
01) 

Staff  financed  by  Art  XX  01  02 
(auxiliary, END, contract staff, etc.) 

(specify budget line) 

Total cost of Human Resources 
and associated costs (NOT in 
reference amount) 

Calculation– Officials and Temporary agents 

Amount given on the basis of the annual cost of an official (all categories included) i.e.:  

Calculation– Staff financed under art. XX 01 02 

Other administrative expenditure not included in reference amount 

16 

Reference should be made to the specific legislative financial statement for the Executive Agency(ies) 
concerned. 

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EUR million (to 3 decimal places) 

2008 

2009 

2010 

2011 

2012 

- 

TOTAL 

XX 01 02 11 01 – Missions 

XX 01 02 11 02 – Meetings & Conferences 

XX 01 02 11 03 – Committees17 

XX 01 02 11 04 – Studies & consultations 

XX 01 02 11 05 - Information systems 

 2.Total Other Management Expenditure (XX 01 02 11) 

3 Other expenditure of an administrative nature (specify 

including reference to budget line) 

Total Administrative expenditure, other than human 
resources and associated costs (NOT included in 
reference amount) 

Calculation - Other administrative expenditure not included in reference amount 

17 

Specify the type of committee and the group to which it belongs. 

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