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
Date: 2017-06-22
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: Brazil, cooperation agreement (EU), renewal of an agreement, scientific cooperation

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   EUROPEAN 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  Brazil1  (‘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/EU2), 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.  

1 
2 

OJ L 295, 11.11.2005, p. 38. 
Council  Decision  2012/646/EU  of  10  October  2012  concerning  the  renewal  of  the  Agreement  for 
scientific and technological cooperation between the European Community and the Federative Republic 
of Brazil (OJ L 287, 18.10.2012, p. 4). 

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• 

Consistency with existing policy provisions in the policy area 

This initiative is fully in line with the EU’s international cooperation strategy for research & 
innovation3.  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 

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 

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. 

3. 

• 

RESULTS 
CONSULTATIONS AND IMPACT ASSESSMENTS 

EVALUATIONS, 

POST 

OF 

EX 

STAKEHOLDER 

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: 

- 
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  

3 

Enhancing  and  focusing  EU  international  cooperation  in  research  and  innovation:  a  strategic 
approach, COM(2012) 497. 

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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   

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 proposal from the European Commission, 

Having regard to the consent of the European Parliament, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

By Decision 2005/781/EC4, 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’). 

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.  
By Decision 2012/646/EU5, the Council approved the renewal of the Agreement for an 
additional period of five years. 

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

letters  between 

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, 

4 

5 

Council Decision 2005/781/EC of 6 June 2005 on the conclusion of the Agreement for scientific and 
technological cooperation between the European Community and the Federative Republic of Brazil (OJ 
L 295, 11.11.2005, p. 37). 
Council  Decision  2012/646/EU  of  10  October  2012  concerning  the  renewal  of  the  Agreement  for 
scientific and technological cooperation between the European Community and the Federative Republic 
of Brazil (OJ L 287, 18.10.2012, p. 4). 

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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".'. 

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

Article 3 

Done at Brussels, 

For the Council 
The President 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE 

1.1.  Title of the proposal/initiative 

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

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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 structure6 

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 

 The proposal/initiative relates to a new action 

  The  proposal/initiative 
project/preparatory action7 

relates 

to  a  new  action 

following  a  pilot 

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

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

1.4. 

Objective(s) 

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 

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 

6 
7 

ABM: activity-based management; ABB: activity-based budgeting. 
As referred to in Article 54(2)(a) or (b) of the Financial Regulation. 

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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 

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 

1.5.1.  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 

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. 

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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 

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). 

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1.6. 

Duration and financial impact 

 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 

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

–  followed by full-scale operation. 

1.7.  Management mode(s) planned8 

 Direct management by the Commission 

–   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 208 and 209 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 

[…]

8 

Details  of  management  modes  and  references  to  the  Financial  Regulation  may  be  found  on  the 
BudgWeb site: http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html 

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2. 

MANAGEMENT MEASURES 

2.1.  Monitoring and reporting rules 

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 

2.2.1.  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 

2.2.3.  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 

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 
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. 

third  parties, 

to 

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; 

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-  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. 

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3. 

3.1. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE 

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

  Existing budget lines 

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of  
expenditure 

Contribution  

Heading of 
multiannual 
financial 
framework 

Number  
[Heading………………………...…………] 

Diff./Non-
diff9. 

from 
EFTA 
countries
10 

from 
candidate 
countries11 

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 

  New budget lines requested 

In order of multiannual financial framework headings and budget lines. 

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/N
O 

YES/NO 

YES/N
O 

YES/NO 

9 
10 
11 

Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations. 
EFTA: European Free Trade Association. 
Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 

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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……………...……………………………………………………………….] 

DG: <RTD> 

 Operational appropriations  

Number of budget line 

Number of budget line 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1a) 

(2a) 

Appropriations  of  an  administrative  nature  financed  from  the 
envelope of specific programmes13 

Number of budget line 

TOTAL appropriations 
for DG  

08.01.05 

(3) 

Commitments 

Payments 

=1+1a 
+3 

=2+2a 

+3 

Year 
201712 

Year 
2018 

Year 
2019 

Year 
2020 

Year 
2021 

Year 
2022 

TOTAL 

0.024 

0.061 

0.061 

0.061 

0.061 

0.037 

0.024 

0.061 

0.061 

0.061 

0.061 

0.037 

0.305 

0.305 

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EN 

Year 2017 is the year in which implementation of the proposal/initiative starts. 
Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research, 
direct research. 

14 

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 TOTAL operational appropriations  

Commitments 

Payments 

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

(4) 

(5) 

(6) 

0.024 

0.061 

0.061 

0.061 

0.061 

0.061 

0.037 

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 

Payments 

=5+ 6 

0.024 

0.061 

0.061 

0.061 

0.061 

0.061 

0.037 

0.305 

0.305 

0.305 

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

 TOTAL operational appropriations  

Commitments 

Payments 

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

(4) 

(5) 

(6) 

TOTAL appropriations  
under HEADINGS 1 to 4 
of the multiannual financial framework 
(Reference amount) 

Commitments 

=4+ 6 

Payments 

=5+ 6 

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Heading of multiannual financial  
framework  

5 

‘Administrative expenditure’ 

Year 
201714 

Year 
20181 

Year 
2019 

Year 
2020 

Year 
2021 

Year 

2022 

TOTAL 

EUR million (to three decimal places) 

DG: <…….> 

 Human resources  

 Other administrative expenditure  

0.003 

0.008 

0.008 

0.008 

TOTAL DG <…….> 

Appropriations  

0.003 

0.008 

0.008 

0.008 

0.008 

0.008 

0.005 

0.005 

0.04 

0.04 

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 

Year 
201715 

Year 
2018 

Year 
2019 

Year 
2020 

Year 

2021 

Year 

2022 

TOTAL 

EUR million (to three decimal places) 

TOTAL appropriations  
under HEADINGS 1 to 5 
of the multiannual financial framework  

Commitments 

0.027 

0.069 

0.069 

0.069 

Payments 

0.027 

0.069 

0.069 

0.069 

0.069 

0.069 

0.042 

0.042 

0.345 

0.345 

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Year 2017 is the year in which implementation of the proposal/initiative starts. 
Year 2017 is the year in which implementation of the proposal/initiative starts. 

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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: 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

OUTPUTS 

Commitment appropriations in EUR million (to three decimal places) 

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

TOTAL 

o
N

Cost  N

o

Cost 

o
N

Cost 

o
N

Cost  N

o

Cost  N

o

Cost  N

o

Cost 

Total 
No 

Total 
cost 

Indicate 
objectives and 
outputs 

 

Type16 

Avera
ge 
cost 

SPECIFIC OBJECTIVE No 117… 

- Output 

- Output 

- Output 

Subtotal for specific objective No 1 

SPECIFIC OBJECTIVE No 2 ... 

- Output 

Subtotal for specific objective No 2 

TOTAL COST 

16 
17 

Outputs are products and services to be supplied (e.g. number of student exchanges financed, number of km of roads built, etc.). 
As described in point 1.4.2. ‘Specific objective(s)…’. 

EN 

17 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 519 
of the multiannual 
financial framework 

0.003 

0.008 

0.008 

0.008 

0.008 

0.005 

0.04 

0.003 

0.008 

0.008 

0.008 

0.008 

0.005 

0.04 

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 

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 
constraints.
allocation 

procedure 

budgetary 

light 

and 

the 

of 

in 

18 
19 

Year 2017 is the year in which implementation of the proposal/initiative starts. 
Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of 
EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research. 

EN 

18 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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 

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 

External 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. 

20 

21 

AC=  Contract  Staff;  AL  =  Local  Staff;  END=  Seconded  National  Expert;  INT  =  agency  staff; 
JED= Junior Experts in Delegations. 
Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines). 

EN 

19 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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 

–   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  

EN 

20 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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 

Appropriation
s available for 
the current 
financial year 

Budget revenue line: 

Article …………. 

EUR million (to three decimal places) 

Impact of the proposal/initiative22 

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) 

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

Specify the method for calculating the impact on revenue. 

22 

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 25% for collection costs. 

EN 

21 

   EN