Proposal for a Council Decision Concerning the renewal of the Agreement for scientific and technological cooperation between the European Community and Ukraine
Date: 2009-04-21
Institutions: European Commission
Subjects: EU environmental policy, Ukraine, cooperation agreement (EU), industrial property, renewal of an agreement, scientific cooperation, technical cooperation, technology

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 21.4.2009 
COM(2009)182 final 

2009/0062 (CNS) 

Proposal for a 

COUNCIL DECISION 

Concerning the renewal of the Agreement for scientific and technological cooperation 
between the European Community and Ukraine 

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1. 

2. 

3. 

4. 

5. 

6. 

EXPLANATORY MEMORANDUM 

The  Agreement  on  cooperation  in  science  and  technology  between  the  European 
Community and Ukraine was signed in Copenhagen on 4 July 2002 and entered into 
force  on  11  February  2003.  Article  12  (b)  of  the  Agreement  provides  as  follows: 
"This  Agreement  shall  be  concluded  for  an  initial  period  ending  on  31  December 
2002 and will be renewable by common agreement between the Parties for additional 
periods of five years". 

By  Council  Decision  2003/737/EC  of  22  September  20031  the  Agreement  was 
renewed for a further period of five years which entered into force on 8 November, 
2004. The Agreement is due to expire on 7 November, 2009.  

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

Both Parties confirmed their intention to renew the agreement at the 3rd meeting of 
the EU-Ukraine Sub Committee N° 7, held in Kyiv on 26 and 27 November, 2008. 

The  material  content  of  the  renewed  Agreement  will  be  identical  to  the  material 
content of the current Agreement.  

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  renewal  of  the  Agreement  for  scientific  and  technological 
cooperation  between  the  European  Community  and  Ukraine  for  an  additional 
period of five years; 

to  express  the  consent  of  the  Community  to  be  bound  by  the  Agreement's 
provisions. 

1 

L267 of 17 Oct.2003, p.25 

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2009/0062 (CNS) 

Proposal for a 

COUNCIL DECISION 

Concerning the renewal of the Agreement for scientific and technological cooperation 
between the European Community and Ukraine 

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) 

(6) 

2 
3 
4 
5 

By  its  Decision  2003/96/EC  of  6  February,  20034,  the  Council  approved  the 
conclusion of the Agreement for scientific and technological cooperation between the 
European Community and Ukraine. 

Article  12  (b)  of  the  Agreement  provides  as  follows:  "This  Agreement  shall  be 
concluded for an initial period ending on 31 December 2002 and will be renewable by 
common agreement between the Parties for additional periods of five years". 

By  its  Decision  of  22  September,  20035  the  Council  approved  the  renewal  of  the 
Agreement for a further period of five years which entered into force on 8 November, 
2004. 

At the 3rd meeting of EU-Ukraine Sub-Committee N° 7, held on 26 and 27 November, 
2008 in Kyiv both Parties confirmed their interest in a renewal of the abovementioned 
Agreement for another five years.  

The  material  content  of  the  renewed  Agreement  will  be  identical  to  the  material 
content of the Agreement which expires on 7 November, 2009. 

The  renewal  of  the  Agreement  for  scientific  and  technological  cooperation  between 
the  European  Community  and  Ukraine  should  be  approved  on  behalf  of  the 
Community. 

OJ  
OJ  
OJ L36 of 12 February 2003, p.32 
OJ L267 of 17 October 2003, p.25 

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HAS DECIDED AS FOLLOWS:  

Article 1 

The  renewal  of  the  Agreement  for  scientific  and  technological  cooperation  between  the 
European Community and Ukraine, 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 and in accordance with 
point (b) of Article 12 of the Agreement, give the notification to the Government of Ukraine 
that the Community has completed its internal procedures necessary for the entry into force of 
this renewed Agreement. 

Article 3 

The decision shall be published in the Official Journal. 

Done at Brussels,  

For the Council 
The President 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL : 

Proposal for a Council Decision concerning the renewal of the Agreement for scientific and 
technological cooperation between the European Community and Ukraine.  

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 (08.01.05.03). 

3.2. 

Duration of the action and of the financial impact: 

Duration of five years, to be renewed by mutual agreement between the Parties, as laid down 
in Article 12 (b) 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. 

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

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Non-differentiated appropriations hereafter referred to as NDA 

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4.1.2. 

Section 
no. 

Expenditure type 

2009 

2010 

2011 

2012 

2013 

Total 

EUR million (to 3 decimal places) 

Operational expenditure7 

Commitment 
Appropriations (CA) 

8.1 

Payment  Appropriations 
(PA) 

a 

b 

Administrative expenditure within reference amount8 

Technical & administrative 
assistance (NDA) 

8.2.4 

c 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT  

Commitment 
Appropriations 

Payment Appropriations 

a+c 

b+c 

0.110 

0.110 

0.110 

0.110 

0.110 

0.550 

0.110 

0.110 

0.110 

0.110 

0.110 

0.550 

0.110 

0.110 

0.110 

0.110 

0.110 

0.550 

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 

a+c+d+e 

b+c+d+e 

0.110 

0.110 

0.110 

0.110 

0.110 

0.550 

0.110 

0.110 

0.110 

0.110 

0.110 

0.550 

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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 details 

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) 

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 

4.1.3.  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). 

4.1.4.  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 

 ∆ 

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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4.2. 

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

Annual requirements 

2009 

2010 

2011 

2012 

2013 

Total 
number 
human resources 

of 

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 Ukraine.  

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 Ukraine. As set out 
in the draft EU-Ukraine Association Agreement, it is foreseen that co-operation between the 
Parties shall aim at facilitating the increasing involvement of the Ukraine into the European 
Research Area. Such cooperation shall assist Ukraine to support the reform and reorganisation 
of its science management system and research institutions (including the development of its 
capacity in research and technological development) in order to support the development of a 
competitive economy and knowledge society. 

5.3. 

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

This  decision  should  allow  both  Ukraine  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. 

As  set  out  in  the  draft  EU-Ukraine  Association  Agreement,  it  is  foreseen  that  co-operation 
shall take place particularly through: 

Exchange of information on each other's science and technology policies; 

Participation  in  the  Framework  Programme  of  the  European  Community  (EC)  for  research 
and technological development; 

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Joint implementation of scientific programmes and research activities; 

Joint  research  and  development  activities  aimed  at  encouraging  scientific  progress  and  the 
transfer of technology and know-how; 

Training through mobility programme for researchers and specialists; 

The organisation of joint scientific and technological development events/measures; 

Implementation measure aimed at the development of an environment conducive to research 
and the application of new technologies and adequate  protection of  the intellectual property 
results of research; 

Enhancement  of  co-operation  at  regional  and  international  level  notably  in  the  Black  Sea 
context and within multilateral organisations such as UNESCO, OECD and G8, as well as in 
the  context  of  multilateral  agreements  such  as  the  UN  Framework  Convention  on  Climate 
Change; 

Exchange of expertise on management of research and science institutions in order to develop 
and improve their capacities of conducting and participation in scientific researches. 

5.4.  Method of Implementation (indicative) 

Centralised Management 

x 

Directly by the Commission 

ٱShared or decentralised management 

ٱ 

ٱ 

With Member states 

With Third countries 

Joint management with international organisations (please specify) 

Relevant comments: 

6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

The  Commission  departments  will  regularly  monitor  all  the  actions  carried  out  under  the 
cooperation  agreement,  which  will  also  be  subject  to  a  joint  regular  evaluation  by  the 
Community and Ukraine.  

Evaluation 

6.1.1.  Ex-ante evaluation 

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

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(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 Ukraine to the Joint Community-Ukraine Committee provided for by 
the Agreement. 

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

similar experiences in the past) 

N/A 

6.1.3.  Terms and frequency of future evaluation 

The Parties to the Agreement will evaluate the application thereof annually in the meetings of 
the Joint Community-Ukraine Committee referred to in Article 6 thereof. Further renewal 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. 

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; 

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– 

– 

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) 

2009 

2010 

2011 

2012 

2013 

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 Ukrainian 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

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

Expenditure on administrative management) 

EUR million (to 3 decimal places) 

2009 

2010 

2011 

2012 

2013 

TOTAL 

Budget line 

(number and heading) 

1  Technical  and  administrative  assistance 
(including related staff costs) 

Executive agencies16 

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 Ukraine and the EC. 

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

amount 

Type of human resources 

2009 

2010 

2011 

2012 

2013 

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) 

16 

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

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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 

2009 

2010 

2011 

2012 

2013 

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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