Proposal for a COUNCIL DECISION on the renewal of the Agreement on cooperation in science and technology between the European Community and the Government of the Russian Federation
Date: 2019-01-18
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: Russia, cooperation agreement (EU), renewal of an agreement, scientific cooperation, technical cooperation, technology

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   EUROPEAN COMMISSION  Brussels, 18.1.2019 COM(2019) 7 final 2019/0005 (NLE)  Proposal for a COUNCIL DECISION on the renewal of the Agreement on cooperation in science and technology between the European Community and the Government of the Russian Federation   
 
 
EXPLANATORY MEMORANDUM 

1. 

• 

CONTEXT OF THE PROPOSAL 

Reasons for and objectives of the proposal 

The 'Agreement on cooperation in science and technology between the European Community 
and the Government of the Russian Federation'1 ('the Agreement') was signed in Brussels on 
16 November 2000 and entered into force on 10 May 2001. Since then and in accordance with 
its Article 12, the Agreement has been renewed three times in 20042, 20093 and 20144 for an 
additional period of 5 years each time. 

The current Agreement is due to expire on 20 February 2019.  

It  is  in  the  interest  of  the  EU  to  renew  this  Agreement  in  order  to  continue  to  facilitate 
cooperation with the Russian Federation in common S&T priority areas leading to benefits for 
both Parties. 

Russia  is  the  most  important  Science,  Technology  &  Innovation  (STI)  actor  in  the 
neighbourhood of the EU that is not associated to Horizon 2020. Cooperation in STI between 
the  EU  and  Russia  has  traditionally  been  very  active,  notably  in  the  fields  of  research 
infrastructures, transport and environment. However, while in FP7 Russia was the most active 
non-associated  third-country  participant,  in  Horizon  2020  the  level  of  collaboration  is  far 
below  its  potential.  To  a  large  degree  this  is  due  to  the  change  of  funding  rules  in  Horizon 
2020, whereby legal entities from Russia (together with Brazil, India, China and Mexico) are 
not  anymore  automatically  eligible  for  funding  from  the  EU,  but  also  to  the  political 
circumstances. 

Among  all  non-associated  countries,  Russia  currently  ranks  6th  in  terms  of  participations  in 
collaborative projects of Horizon 2020. Moreover, the Horizon 2020 Work Programme 2018-
2020  aims  to  intensify  cooperation  with  Russia  on  topics  of  mutual  interest  and  common 
benefit. In particular, apart from the general openness of Horizon 2020 to entities from all over 
the world including Russia, there are two major flagship bilateral cooperation initiatives with 
Russia,  in  research  infrastructures  and  health,  and  one  flagship  multilateral  cooperation 
initiative on aeronautics that targets also Russia. 

The  renewal  of  the  Agreement  fits  within  the  EU's  approach  based  on  the  five  guiding 
principles to  manage the EU’s current  relations with  Russia, agreed upon at  the EU Foreign 
Affairs  Council  on  14  March  2016  and  confirmed  at  the  EU  Foreign  Affairs  Council  on  16 
April  2018.  Science  diplomacy  can  be  a  powerful  tool  in  our  relations  with  Russia  as  it 
provides a positive cooperation agenda and is a source of 'soft power' that can be particularly 
instrumental in catalysing and opening channels of communication and building trust between 
our societies. The Agreement provides a framework to enhance people-to-people contacts and 
STI cooperation in areas of EU strategic interest in the years to come, countering the trend of 
decreasing intensity of scientific collaboration between EU and Russian participants. For these 
reasons it is useful to renew the Agreement for the next five-year period.  

1 
2 
3 
4 

OJ L299, 28.11.2000, p.15. 
Council Decision 2003/798/EC (OJ L 229, 18.11.2003, p. 20). 
Council Decision 2009/313/EC (OJ L 92, 04.04.2009, p. 3). 
Council Decision 2014/50/EU (OJ L 32, 01.02.2014, p. 1). 

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At the EU-Russia Joint Science and Technology Cooperation Committee meeting established 
by  the  Agreement,  held  in  Moscow  on  28  September  2018,  both  Parties  took  note  of  their 
intention  to  renew  the  Agreement  for  another  five-year  period,  without  any  amendment 
recognising the progress made to enhance EU-Russia cooperation in research and innovation. 

The substance of the renewed Agreement will be identical to that of the current Agreement as 
discussed  and  agreed  with  the  Russian  counterparts.  It  will  not  create  new  rights  and 
obligations  for  the  EU,  but  instead  it  will  extend  in  time  the  legal  regime  already  existing 
between the Parties in the field of S&T cooperation. 

• 

Consistency with existing policy provisions in the policy area 

This initiative is fully in line with the EU’s international cooperation strategy for research & 
innovation5, whereby Russia is a strategic partner of the EU in research and innovation. 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 a 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. 

The initiative is consistent with the principles guiding current EU-Russia relations, as agreed 
upon at the EU Foreign Affairs Council on 14 March 2016, and confirmed at the EU Foreign 
Affairs Council on 16 April 2018. 

The  Commission  will  ensure  the  compliance  of  the  implementation  of  this  renewed 
Agreement with EU restrictive measures. 

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  (a)(v)  of  the  second 
subparagraph of Article 218(6) TFEU. 

• 

Subsidiarity (for non-exclusive competence)  

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

5 

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

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3. 

• 

RESULTS 
CONSULTATIONS AND IMPACT ASSESSMENTS 

EX-POST 

EVALUATIONS, 

OF 

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  on cooperation in  science and technology between the European 
Community and the Government of the Russian Federation', for an additional period of five 
years (i.e., from 20.02.2019 until 19/02/2024) 

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

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2019/0005 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the renewal of the Agreement on cooperation in science and technology between the 
European Community and the Government of the Russian Federation  

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 186, in conjunction with Article 218(6)(a) 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 2000/742/EC6, the Council approved the conclusion of the Agreement on 
cooperation  in  science  and  technology  between  the  European  Community  and  the 
Governemnt of the Russian Federation (the ‘Agreement’). The Agreement was signed 
in Brussels on 16 November 2000 and entered into force on 10 May 2001. 

In accordance with point (b) of Article 12 of the Agreement, the Agreement –initially 
concluded until 31 December 2002- is renewable by common agreement between the 
Parties for additional periods of five years.  
By  Decisions  2003/798/EC7,  2009/313/EC8  and  2014/50/EU9  the  Council  approved 
the  renewal  of  the  Agreement  for  an  additional  period  of  five  years  each  time.  The 
current Agreement is due to expire on 20 February 2019.  

Both Parties confirmed their intention to renew the Agreement for an additional period 
of five years without any amendments to the Agreement.  

Activities  under  the  Agreement  shall  respect  strictly  the  conditions  and  procedures 
provided in the restrictive measures adopted under Article 215 TFEU10. 

(6) 

The renewal of the Agreement should be approved on behalf of the European Union,  

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7 

8 

9 

10 

Council Decision 2000/742/EC of 16 November 2000 concerning the conclusion of the Agreement on 
cooperation in science and technology between the  European Community and the Government of the 
Russian Federation (OJ L 299, 28.11.2000, p. 14). 
Council  Decision  2003/798/EC  of  5  June  2003  concerning  the  conclusion  of  an  Agreement  aimed  at 
renewing the Agreement on cooperation in science and technology between the European Community 
and the Government of the Russian Federation (OJ L 229, 18.11.2003, p. 20). 
Council  Decision  2009/313/EC  of  30  March  2009  concerning  the  renewal  of  the  Agreement  on 
cooperation in science and technology between the  European Community and the Government of the 
Russian Federation (OJ L 92, 04.04.2009, p. 3). 
Council  Decision  2014/50/EU  of  20  January  2014  concerning  the  renewal  of  the  Agreement  on 
cooperation in science and technology between the  European Community and the Government of the 
Russian Federation (OJ L 32, 01.02.2014, p. 1). 
www.sanctionsmap.eu. It is noted that the sanctions map is an IT tool that lists the restrictive measures 
regimes.  The  restrictive  measures  are  established  in  legal  acts  published  in  the  OJ.  In  case  of 
divergences, the OJ prevails. 

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HAS ADOPTED THIS DECISION:  

Article 1 

The renewal of the Agreement on cooperation in science and technology between the European 
Community and the Government of the Russian Federation, for an additional period of five years, 
is hereby approved on behalf of the Union. 

Article 2 

The President of the Council shall designate the person(s) empowered to notify the Government 
of  the  Russian  Federation,  on  behalf  of  the  Union,  that  the  Union  has  completed  its  internal 
procedures necessary for the renewal of the Agreement in accordance with point (b) of Article 12 
of the Agreement.   

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 on the renewal of the Agreement on cooperation in 
science  and  technology  between  the  European  Community  and  the  Government  of 
the Russian Federation 
Policy area(s) concerned in the ABM/ABB structure11  
Policy  strategy  and  coordination  of,  in  particular,  the  Directorates-General12  RTD, 
AGRI, CLIMA, JRC, EAC, ENER, GROW, CNECT, MARE and MOVE. 

1.2. 

1.3. 

Nature of the proposal/initiative 

 The proposal/initiative relates to a new action  

  The  proposal/initiative 
project/preparatory action   

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 4.1 

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

ABM/ABB activity(ies) concerned 

11 
12 

ABM: activity-based management; ABB: activity-based budgeting. 
Compared to Horizon 2020, DG CLIMA and DG MARE have been added, based on the  Commssion 
Proposal for the next Multiannual Financial Framework (Horizon Europe), still to be adopted. 

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

1.4.4. 

Indicators of 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  cooperation  activities.  This  evaluation  will  cover,  among  others,  the 
following points: 

(a)  cooperation  indicators  —  analysis  of  the  number  and  type  of  participation  of 
Russian  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 Russian 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  that  go  beyond  the 
respective research funding programmes as well as 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  the  EU  and  the  Russian  Federation 
has  been  intensifying  steadily  in  the  past  years.  The  involvement  of  the EU  allows 
for  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  the  Russian  Federation  and  to  engage  in  more  cooperation 
activities leading to additional exchange of knowledge and technologies.  

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  the  Russian 
Federation, as a strategic partner of the EU in research and innovation. 

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1.5.4.  Compatibility and possible synergy with other appropriate instruments 

The renewal of the Agreement with the Russian Federation 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 20/02/2019 to 19/02/2024 

–    Financial impact from 20/02/2019 to 19/02/2024 

 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) planned13  

 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  

13 

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. 

Participation  of  Russian  entities  in  the  Framework  Programme  for  Research  and 
Innovation  and  other  cooperative  activities  under  the  Agreement  will  be  regularly 
followed through meetings of the Joint Committee established under Art. 6 letter (a) 
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 

N/A 

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

of risk of error  

N/A 

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 contribution to third parties, the Commission 
will  carry  out,  where  appropriate,  financial  audits,  in  particular  if  it  has  reason  to 
doubt the realistic nature of work performed or described in the activity reports. 

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

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

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

- the 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; 

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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  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 for Research and Innovation (DG RTD). An internal audit will 
be carried out  by the  Internal  Audit  unit of DG RTD, 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 lines14 

In order of multiannual financial framework headings and budget lines. 

Heading of 
multiannual 
financial 
framework 

1a 

1a 

Heading of 
multiannual 
financial 
framework 

Budget line 

Heading 1a – Competitiveness for growth and 
jobs 

Type of  
expenditure 

Diff./Non-
diff.15 

Contribution  

from 
EFTA 
countries
16 

from 
candidate 
countries17 

from third 
countries 

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

08.01.05.01 

08.01.05.03 

Non-diff. 

YES 

YES 

Non-diff. 

YES 

YES 

NO 

NO 

NO 

NO 

  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 

14 

15 
16 
17 

Appropriations  for  the  period  2021-2024  (Multiannual  Financial  Framework  2021-2027)  and  related 
legal basis are still to be adopted by the European Parliament and Council and the DB 2019 is yet to be 
approved by the budget authority. 
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  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial  
framework  

1a 

'Competetiveness for growth and jobs'  

EUR million (to three decimal places) 

DG: RTD 

 Operational appropriations  

Number of budget line: 08.01.05.01 

Number of budget line 

Year 
201918 

Year 
2020 

Year 
2021 

Year 
2022 

Year 
2023 

Year 
2024 

TOTAL 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1a) 

(2a) 

0.050 
0.050 

0.060 
0.060 

0.060 
0.060 

0.060 
0.060 

0.060 
0.060 

0.010 
0.010 

0.300 
0.300 

Appropriations  of  an  administrative  nature  financed  from  the 
envelope of specific programmes19  

Number of budget line: 08.01.05.03 

(3) 

0.010 

0.012 

0.012 

0.012 

0.012 

0.002 

0.060 

0.072 

0.072 

0.072 

0.072 

0.012 

0.060 

0.360 

TOTAL appropriations 
for DG RTD 

Commitments 

Payments 

=1+1a 
+3 

=2+2a 

+3 

0.060 

0.072 

0.072 

0.072 

0.072 

0.012 

0.360 

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19 

EN 

Year 2019 is the year in which implementation of the proposal/initiative starts. Amounts for 2019 and 2024 correspond to ten months and two months respectively. 
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. 

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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) 

0.050 

0.050 

0.060 

0.060 

0.060 

0.060 

0.060 

0.060 

0.060 

0.060 

0.010 

0.010 

0.010 

0.012 

0.012 

0.012 

0.012 

0.002 

0.300 

0.300 

0.060 

TOTAL appropriations  
under HEADING <1a> 
of the multiannual financial framework 

Commitments 

=4+ 6 

0.06 

0.072 

0.072 

0.072 

0.072 

0.012 

0.360 

Payments 

=5+ 6 

0.06 

0.072 

0.072 

0.072 

0.072 

0.012 

0.360 

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 

EN 

15 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial  
framework  

5 

‘Administrative expenditure’ 

Year 
2019 

Year 
2020 

Year 
2021 

Year 
2022 

Year 
2023 

Year 
2024 

TOTAL 

EUR million (to three decimal places) 

DG: RTD 

 Human resources  

 Other administrative expenditure  

TOTAL DG RTD 

Appropriations  

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total  commitments  = 
Total payments) 

Year 
201920 

Year 
2020 

Year 
2021 

Year 
2022 

Year 
2023 

Year 
2024 

TOTAL 

EUR million (to three decimal places) 

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

Commitments 

0.06 

0.072 

0.072 

0.072 

0.072 

0.012 

Payments 

0.06 

0.072 

0.072 

0.072 

0.072 

0.012 

0.360 

0.360 

20 

EN 

Year 2019 is the year in which implementation of the proposal/initiative starts. Amounts for 2019 and 2024 correspond to ten months and two months respectively. 

16 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.2.  Estimated impact on operational appropriations  

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

Commitment appropriations in EUR million (to three decimal places) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

OUTPUTS 

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  

 

Type21 

Avera
ge 
cost 

SPECIFIC OBJECTIVE No 122… 

- Output 

- Output 

- Output 

Subtotal for specific objective No 1 

SPECIFIC OBJECTIVE No 2 ... 

- Output 

Subtotal for specific objective No 2 

TOTAL COST 

21 
22 

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 
201923 

Year 
2020 

Year 
2021 

Year 
2022 

Year 
2023 

Year 
2024 

TOTAL 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 524 
of the multiannual 
financial framework  

Human resources  

0.050 

0.060 

0.060 

0.060 

0.060 

0.010 

0.300 

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

0.010 

0.012 

0.012 

0.012 

0.012 

0.002 

0.060 

0.060 

0.072 

0.072 

0.072 

0.072 

0.012 

0.360 

TOTAL 

0.060 

0.072 

0.072 

0.072 

0.072 

0.012 

0.360 

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. 

23 

24 

Year 2019 is the year in which implementation of the proposal/initiative starts. Amounts for 2019 and 
2024 correspond to ten months and two months respectively. 
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 
2019 

Year 
2020 

Year 
2021 

Year 
2022 

Year 

2023 

Year 

2024 

 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) 

0.4 

0.5 

0.5 

0.5 

0.5 

0.1 

10 01 05 01 (Direct research) 

 External staff (in Full Time Equivalent unit: FTE)25 

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 26 

- 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 

0.4 

0.5 

0.5 

0.5 

0.5 

0.1 

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 meetings of the Joint Consultative Group established 
under  Art.  6(b)  of  the  Agreement,  as  well  as  follow  –up  of  the  functioning  and 
implementation of the Agreement. 

Calculations are done proportionally considering the duration of the Agreement. 

25 

26 

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. 

Multiannual  Financial  Framework  2021-2027  is  still  to  be  adopted by  the  European  Parliament  and 
Council. 

3.2.5.  Third-party contributions  

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

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  

3.3. 

Estimated impact on revenue  

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

Appropriation
s available for 
the current 
financial year 

Budget revenue line: 

Article …………. 

EUR million (to three decimal places) 

Impact of the proposal/initiative 

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. 

EN 

20 

  EN