Proposal for a COUNCIL DECISION on the renewal of the Agreement on cooperation in science and technology between the European Community and Ukraine
Date: 2020-01-30
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: Ukraine, cooperation agreement (EU), renewal of an agreement, scientific cooperation, technology

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   EUROPEAN COMMISSION  Brussels, 30.1.2020  COM(2020) 32 final 2020/0016 (NLE)  Proposal for a COUNCIL DECISION on the renewal of the Agreement on cooperation in science and technology between the European Community and Ukraine  
 
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  Ukraine’1  (‘the  Agreement’)  was  signed  in  Copenhagen  on  4  July  2002  and  was 
concluded  for  an  initial  period  ending  31  December  2002.  Point  (b)  of  Article  12  of  the 
Agreement provides for  a possibility of renewal  by common  agreement between the Parties 
for additional periods of five years. The Agreement has been renewed two times in 20112 and 
20143.  

The Agreement expired on 7 November 2019. 

The renewal of the Agreement for an additional period of five years is in the mutual interest 
of both Parties to the Agreement in order to continue facilitating cooperation between EU and 
Ukraine in common science and technology (S&T) priority areas leading to mutual benefits. 

Ukraine has a long tradition of science and technology excellence and despite the difficulties 
of  the  last  years,  the  country  has  still  first  class  science  and  scientists,  and  is  an  important 
science,  technology  and  innovation  (STI)  actor  in  the  neighbourhood  of  the  Union. 
Cooperation between the Union and Ukraine has traditionally been very active notably in the 
fields  of  advanced/new  materials,  IT-technology,  physics  and  astronomy,  engeering, 
agricultural technology, nanotechnology, biotechnology and their applications across various 
sectors such as aviation, energy, and biomedicine, in particular immunotherapies for cancer.  

At  the  meeting  of  the  EU-Ukraine  Joint  Science  and  Technology  Cooperation  Committee, 
established under the Agreement, held in Kyiv on 29 January 2019, both Parties took note of 
their intention to renew the Agreement for an additional period of five years, recognising the 
progress  made  to  enhance  EU-Ukraine  cooperation  in  research  and  innovation.  The 
Government of Ukraine has already started the renewal process on their side. 

The substance of the renewed Agreement will be identical to that of the content of the current 
Agreement. The renewed Agreement will not create new or additional rights and obligations 
for  either  of  the  Parties,  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  with  the  EU’s  international  cooperation  strategy  for 
research and innovation4, in addition, with the international outreach of the previous and the 
new  Commission,  whereby  Ukraine  is  a  strategic  partner  of  the  EU  in  research  and 
innovation.  

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4 

OJ L 036, 12.02.2003, p. 32. 
Council Decision 2011/182/EU of 9 March 2011 concerning the renewal of the Agreement for scientific 
and technological cooperation between the European Community and Ukraine (OJ L 79, 25.3.2011, p. 
3).  
Council Decision (EU) 2015/344 concerning the  renewal of the  Agreement on cooperation in science 
and technology between the European Community and Ukraine (OJ L 60, 4.3.2015, p. 37). 
Enhancing and focusing EU international cooperation in research and innovation: a strategic approach, 
COM(2012) 497.  

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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 and innovation landscape. 

This  Agreement  is  complementary  to  the  Horizon  2020  Association  Agreement,  which 
focuses specifically on terms and conditions  of  Ukrainian participation in  the Horizon 2020 
Programme.  The  renewal  of  this  S&T  Agreement  would  allow  to  keep  the  general 
overarching  legal  framework  for  bilateral  STI  cooperation  and  would  send  an  important 
political signal about the importance, which the EU attaches to cooperation with Ukraine on 
STI. 

• 

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. 

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. 

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  Ukraine,  for  an  additional  period  of  five  years  (i.e.,  from  09/11/2019  until 
08/11/2024); and  

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

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2020/0016 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the renewal of the Agreement on cooperation in science and technology between the 
European Community and Ukraine 

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

Having regard to the proposal from the European Commission, 
Having regard to the consent of the European Parliament1,  

Whereas: 

(1) 

(2) 

(3) 

(4) 

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5 

By Decision 2003/96/EC2 of 6 February 2003, the Council approved the conclusion of 
the  Agreement  on  cooperation  in  science  and  technology  between  the  European 
Community  and  Ukraine3  (‘the  Agreement’).  The  Agreement  was  signed  in 
Copenhagen on 4 July 2002 and entered into force on 11 February 2003.  

Point  (b)  of  Article  12  of  the  Agreement  provided  that  the  Agreement  would  be 
concluded for an initial period ending on 31 December 2002 and would be renewable 
by  common  agreement  between  the  Union  and  Ukraine  (‘the  Parties’)  for  additional 
periods of five years.  
Based  on  Decisions  2011/182/EU4  and  (EU)  2015/3445  the  Agreement  was  renewed 
for  additional  periods  of  five  years  each  time,  with  a  retroactive  effect  as  of  8 
November  2009  and  8  November  2014,  respectively.  The  Agreement  expired  on  7 
November 2019. 

Ukraine  is  an  important  science,  technology  and  innovation  (STI)  actor  in  the 
neighbourhood of the Union. In order to continue facilitating cooperation in common 
science and technology (S&T) priority areas both Parties consider that the renewal of 
this Agreement would be in their mutual interest.  

OJ C , , p. . 
Council Decision 2003/96/EC of 6 of February 2003 concerning the conclusion of the 
Agreement for scientific and technological cooperation between the European 
Community and Ukraine (OJ L 36, 12.2.2003, p. 31). 
Agreement on cooperation in science and technology between the European 
Community and Ukraine (OJ L 36, 12.2.2003, p. 32). 
Council Decision 2011/182/EU of 9 March 2011 concerning the renewal of the 
Agreement for scientific and technological cooperation between the European 
Community and Ukraine (OJ L79, 25.3.2011, p. 3). 
Council Decision (EU) 2015/344 of 17 February 2015 concerning the renewal of the 
Agreement on cooperation in science and technology between the European 
Community and Ukraine (OJ L 60, 4.3.2015, p. 37). 

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(5) 

Both Parties confirmed their intention to renew the Agreement for an additional period 
of  five  years.  The  content  of  the  renewed  Agreement  should  remain  identical  to  the 
content of the Agreement. 

(6) 

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

HAS ADOPTED THIS DECISION:  

The  renewal  of  the  Agreement  on  cooperation  in  science  and  technology  between  the 
European Community and Ukraine for an additional period of five years, is hereby approved 
on behalf of the Union. The renewal shall take effect on 8 November 2019. 

Article 1 

Article 2 

The  President  of  the  Council  is  hereby  authorised  to  designate  the  person(s)  empowered, 
acting on behalf of the Union and in accordance with point (a) of Article 12 of the Agreement, 
to notify Ukraine that the Union has completed its internal procedures necessary for the entry 
into force of this renewed Agreement. 

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

Article 3 

The decision shall be published in the Official Journal of the European Union. 

Article 4 

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  on 
cooperation  in  science  and  technology  between  the  European  Community  and 
Ukraine. 
Policy area(s) concerned in the ABM/ABB structure1  

1.2. 

Policy strategy and coordination of, in particular, the Secretariat-General, Legal Service, 
the  EEAS  the  Directorates-General,  AGRI,  BUDG,  CLIMA,  CNECT,  EAC,  ENER, 
GROW, JRC, MARE and MOVE  

1.3. 

Nature of the proposal/initiative  

 The proposal/initiative relates to a new action  

  The  proposal/initiative 
project/preparatory action2  

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.  At  the  meeting  of  the  EU-
Ukraine  Joint  Science  and  Technology  Cooperation  Committee,  established  by  the 
Agreement, held in Kyiv on 29 January 2019, both Parties took note of their intention to 
renew the Agreement, for an additional period of five years. 

1.4.2. 

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

Specific objective No 

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 

1 
2 

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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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 EU and Ukraine to mutually gain 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. 

1.4.3. 

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  Ukrainian 
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  Ukrainian  entities  participating  in  the  EU 
framework programmes compared to other non-EU countries and to Member States; 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  Ukraine  has  been 
intensifying  steadily  over  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  the  Agreement  will  allow  the  EU  to  have  better  access  to  scientific 
knowledge  produced  in  the  Ukraine  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  Ukraine,  as  a 
strategic partner of the EU in research and innovation. 

1.5.4.  Compatibility and possible synergy with other appropriate instruments 

The renewal of the Agreement with the Ukraine 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 [DD/MM]YYYY to [DD/MM]YYYY  

–    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) planned3  

 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  

3 

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  Ukrainian  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  letter  (a)  of 
Article 6 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  therupon.  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; 

- 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; 

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- 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 R&I). An internal audit will be carried out by the Internal 
Audit  unit  of  DG  R&I,  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  

Heading of 
multiannual 
financial 
framework 

1a 

1a 

Heading of 
multiannual 
financial 
framework 

  Existing budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of  
expenditure 

Contribution  

Heading1a  –  Competitiveness  for  growth  and 
jobs 

Diff./Non-
diff.1 

from 
EFTA 
countries2 

from 
candidate 
countries3 

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 

1 
2 
3 

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  

1a 

'Competetiveness for growth and jobs'  

Year 
20191 

Year 
2020 

Year 
2021 

Year 
2022 

Year 
2023 

Year 
2024 

TOTAL 

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 programmes2  

Number of budget line: 08.01.05.01 

Number of budget line: 08.01.05.03 

TOTAL appropriations 
for DG RTD 

Commitments 

Payments 

(3) 

(3) 

=1+1a 
+3 

=2+2a 

+3 

0.010 

0.002 

0.060 

0.012 

0.060 

0.012 

0.060 

0.012 

0.060 

0.012 

0.050 

0.010 

0.012 

0.072 

0.072 

0.072 

0.072 

0.060 

0.012 

0.072 

0.072 

0.072 

0.072 

0.060 

0.300 

0.060 

0.360 

0.360 

1 
2 

EN 

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

0.010 

0.010 

0.060 

0.060 

0.060 

0.060 

0.060 

0.060 

0.060 

0.060 

0.050 

0.050 

0.002 

0.012 

0.012 

0.012 

0.012 

0.010 

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

Commitments 

=4+ 6 

0.012 

0.072 

0.072 

0.072 

0.072 

0.060 

Payments 

=5+ 6 

0.012 

0.072 

0.072 

0.072 

0.072 

0.060 

0.300 

0.300 

0.060 

0.360 

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 

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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 
20193 

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 

0.012 

0.072 

0.072 

0.072 

0.072 

0.060 

Payments 

0.012 

0.072 

0.072 

0.072 

0.072 

0.060 

0.360 

0.360 

3 

EN 

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

14 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.2.  Estimated impact on operational appropriations  

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

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  

 

Type1 

Avera
ge 
cost 

SPECIFIC OBJECTIVE No 12… 

- Output 

- Output 

- Output 

Subtotal for specific objective No 1 

SPECIFIC OBJECTIVE No 2 ... 

- Output 

Subtotal for specific objective No 2 

TOTAL COST 

1 
2 

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 

15 

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 
20191 

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 52 
of the multiannual 
financial framework  

Human resources  

0.010 

0.060 

0.060 

0.060 

0.060 

0.050 

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

0.002 

0.012 

0.012 

0.012 

0.012 

0.010 

0.012 

0.072 

0.072 

0.072 

0.072 

0.060 

0.300 

0.060 

0.360 

TOTAL 

0.012 

0.072 

0.072 

0.072 

0.072 

0.060 

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 
constraints.
allocation 

procedure 

budgetary 

light 

and 

the 

of 

in 

1 

2 

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

16 

  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) 

0.1 

0.5 

0.5 

0.5 

0.5 

0.4 

10 01 05 01 (Direct research) 

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

1

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 
2
04 yy 

- 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 

0.1 

0.5 

0.5 

0.5 

0.5 

0.4 

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  Committee  established  under 
Art.  6(a)  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. 

1 

2 

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 

17 

  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  

EN 

18 

  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/initiative1 

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. 

1 

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 

19 

  EN