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

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   EUROPEAN COMMISSION  Brussels, 30.1.2020 COM(2020) 29 final 2020/0015 (NLE)  Proposal for a COUNCIL DECISION on the renewal of the Agreement for scientific and technological cooperation between the European Community and the Government of the Republic of India  
 
EXPLANATORY MEMORANDUM 

1. 

• 

CONTEXT OF THE PROPOSAL  

Reasons for and objectives of the proposal 

'Agreement  for  scientific  and  technological  cooperation  between  the  European 
The 
Community  and  the  Government  of  the  Republic  of  India'1  ('the  Agreement')  was  signed  in 
New Delhi on 23 November 2001 and entered into force on 14 October 2002. Article 11(b) 
provides  that  'This  Agreement  shall  be  concluded  for  a  period  of  five  years  and  may  be 
renewed by mutual agreement between the Parties after evaluation during the last year of the 
aforementioned period'. The Agreement has been renewed twice so far; the Council approved 
the renewal in 20092 and in 20153 for an additional period of 5 years each time.  

The current Agreement is due to expire on 17 May 2020.  

The  evaluation  carried  out  by  the  Commission  clearly  demonstrates  that  the  Agreement 
provides an important framework for conducting and facilitating cooperation between the EU 
and India in common S&T priority areas leading to mutual benefits. In the past years, under 
the Horizon 2020 Programme4, a joint call on water resulted in 7 selected projects for a total 
of EUR 30M with the Department of Science and Technology (DST) and the Department of 
Biotechnology (DBT); a joint call on new generation vaccines with DBT for a total of EUR 
30M resulted in  3 selected projects; two innovation initiatives were launched:  an incubators 
network and an innovation platform, resulting on more than 20 innovation partnerships among 
its  participants.  In  addition,  an  Implementing  Arrangement  between  the  Science  and 
Engineering Research Board (SERB) and the European Commission was signed to facilitate 
mobility of Indian researchers to European Research Council grantees teams. Finally, two co-
funding mechanisms were set up by DBT and the Ministry of Earth Science (MoES) to fund 
succesful Indian participants in more than 50 Horizon 2020 calls. 

It is in the interest of the EU to renew this Agreement in order to continue to further engage in 
scientific  and  technological  cooperation  and  facilitation  thereof,  in  areas  of  mutual  interest 
and  leading  to  technological  advances  benefitting  European  scientific  community  and 
increase market access to India through joint cooperation. 

The Agreement is essential to understand each other's scientific and innovation landscape and 
establish together priority areas of mutual interest on international cooperation in  research and 
innovation.  It  offers  a  legal  and  administrative  framework  in  which  the  modalities  of 
cooperation can be discussed ensuring a sound and fair allocation of research and innovation 
funding in  areas  that are in  line with  the EU's interests and policies and  can be adapted and 
adjusted to India's interests and needs.  

It offers also a useful forum to assess past cooperation and determine future actions, including 
on  topics  making  the  cooperation  effective  such  as  Open  access  and  Open  Innovation 
principles. 

1 
2 
3 
4 

OJ L213, 09.08.2002, p. 30. 
Council Decision 2009/501/EC (OJ L 171, 01.07.2009, p. 17). 
Council Decision 2015/1788/EU (OJ L 260, 07.10.2015, p. 18). 
Regulation (EU) No 1291/2013 of the European Parliament and of the Council of 11 December 2013 
establishing Horizon 2020 — the Framework Programme for Research and Innovation (2014-2020) and 
repealing Decision No 1982/2006/EC (OJ L 347, 20.12.2013, p. 104). 

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At the  India –  EU Joint Steering Committee meeting,  established by the Agreement, held  in 
New Delhi on 1 March 2019, both Parties took note of their intention to renew the Agreement 
for another five-year period  without any amendment following an evaluation in  line with its 
Article 11. 

The substance of the renewed Agreement will be identical to that of the current Agreement, as 
discussed  and  agreed  with  the  Indian  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 R&I5. 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 R&I, which calls for more internationalisation and openness in the EU’s R&I landscape.  

Consistency with other Union policies 

• 
The  Agreement  is  instrumental  in  fulfilling  the  objectives  of  the  EU  Strategy  on  India6  to 
jointly  tackling  global  challenges,  supporting  India’s  sustainable  modernisation,  opening 
business opportunities and increasing scientific excellence and competitiveness.7  

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. The objectives of scientific 
and technological international cooperation can be better achieved at EU’s level considering 
the global challenges. Also the Union is best placed to play a leading role in promoting common 
principles  for  the conduct  of  international  research and  innovation activities  in  order  to  create a 
level  playing  field  in  which  researchers  and  innovators  from  across  the  globe  feel  confident  to 
engage  with  each  other.  Therefore  it’s  preferable  for  the  EU  to  take  action  in  the  area  of 
research and technogical development. At the same time the Union's international cooperation 
activities and those of the Member States need to be consistent and complement each other. 

In this context, the Agreement allows for a frame to identify areas of cooperation on research and 
innovation  of  mutual  interest  and  in  line  with  the  EU's  agenda  and  strategy  on  international 
cooperation.  So  far  the  cooperation  between  the  EU  and  India  has  be  proved  to  be  useful  and 
necessary and therefore we seek for its continuation via the renewal of the Agreement.  

5  Enhancing and focusing EU international cooperation in research and innovation: a strategic approach, 

COM(2012) 497.  

6  Joint  Communication  to  the  European  Parliament  and  the  Council  JOIN(2018)  28  -  ‘Elements  for  an  EU 

strategy on India’. 

7  EU Strategy on India – Council conclusions 14634/18 (10 December 2018, p.3). 

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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 for scientific and technological cooperation between the European 
Community  and  the  Government  of  the  Republic  of  India',  for  an  additional  period  of  five 
years (i.e., from 17.05.2020 until 16/05/2025) 

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

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2020/0015 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the renewal of the Agreement for scientific and technological cooperation between 
the European Community and the Government of the Republic of India 

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 Parliament8, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

By Decision 2002/648/EC9, the Council approved the conclusion of the Agreement for 
scientific  and  technological  cooperation  between  the  European  Community  and  the 
Government of the Republic of India (‘the Agreement’)10. The Agreement was signed 
in New Delhi on 23 November 2001 and entered into force on 14 October 2002. 

In  accordance  with  point  (b)  of  Article  11  of  the  Agreement,  the  Agreement  is 
concluded  for  a  period  of  five  years  and  may  be  renewed  by  mutual  agreement 
between the Parties after evaluation during the last year of the five year period. 
By  Decisions  2009/501/EC11,  2015/1788/EU12    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 17 May 2020.  

The evaluation carried out by Commission services demonstrates that the Agreement 
provides an important  framework for facilitating cooperation between the Union and  
India in common Science & Technology priority areas leading to mutual benefits. It is 
therefore  in  the  Union’s  interest  to  renew  the  Agreement  for  a  new  period  of  five 
years. 

(5)     Both Parties confirmed their intention to renew the Agreement for an additional period 

of five years without any amendments to the Agreement.  

(6) 

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

8 
9 

10 

11 

12 

OJ C , , p. . 
Council  Decision  2002/648/EC  of  25  June  2002  concerning  the  conclusion  of  the  Agreement  for 
scientific and technological cooperation between the European Community and the Government of the 
Republic of India (OJ L 213, 9.8.2002, p. 29). 
Agreement  for  scientific  and  technological  cooperation  between  the  European  Community  and  the 
Government of the Republic of India (OJ L 213, 9.8.2002, p. 30). 
Council  Decision  2009/501/EC  of  19  January  2009  concerning  the  conclusion  of  an  Agreement 
renewing the Agreement for scientific and technological cooperation between the European Community 
and the Government of the Republic of India (OJ L 171, 01.07.2009, p. 17). 
Council  Decision  2015/1788/EU  of  1  October  2015  concerning  the  renewal  of  the  Agreement  for 
scientific and technological cooperation between the European Community and the Government of the 
Republic of India (OJ L 260, 07.10.2015, p. 18). 

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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 Government of the Republic of India, 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 Republic of India, 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 11 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 for scientific and 
technological cooperation between the European Community and the Government of 
the Republic of India 
Policy area(s) concerned in the ABM/ABB structure13  

1.2. 

Policy  strategy  and  coordination  of,  in  particular,  the  Directorates-General  RTD, 
AGRI, CLIMA, JRC, EAC, ENER, GROW, CNECT, MARE and MOVE. 

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 in line with the 
EU Strategy on India. 

1.4.2. 

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

Specific objective No 4.1 

It will allow a further exchange of specific knowledge and a transfer of know-how to 
the benefit of the scientific communities, industry and citizens. A useful forum will 
continue  to  be  offered  to  assess  past  cooperation  and  determine  future  actions, 
including on topics making the cooperation effective such as Open access and Open 
Innovation principles. 

ABM/ABB activity(ies) concerned 

13 

ABM: activity-based management; ABB: activity-based budgeting. 

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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 India to derive mutual benefit from the 
scientific  and  technical  progress  achieved  through  research  cooperation  in  their 
respective specific research programmes and facilitate further increased cooperation. 
It  will  allow  the  Union  and  India  to  jointly  tackle  global  challenges,  and  allow  the 
Union to contribute to the sustainable modernisation of India. 

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, 
which will include a review by the Union. This review will cover, among others, the 
following points: 

(a)  cooperation  indicators  —  analysis  of  the  number  and  type  of  participation  of 
Indian  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 Indian 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 

The  Agreement  is  based  on  the  principles  of  mutual  benefit,  reciprocal  access  to 
programmes  and  activities  of  the  other  Party,  in  connection  with  the  subject  of  the 
Agreement,  non-discrimination,  effective  protection  of  intellectual  property  and 
equitable  sharing  of  IPR  and  effective  exploitation  of  results.  The  renewal  of  this 
Agreement  will  allow  for  increased  scientific  knowledge  leading  to  market  access 
opportunities. 

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  India  by 
renewing the Agreement for a further period of 5 years.  

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1.5.4.  Compatibility and possible synergy with other appropriate instruments 

The  renewal  of  the  Agreement  with  India  is  fully  coherent  with  the  overall  policy 
framework 
innovation 
cooperation 
(COM(2012)497).  

international 

research 

and 

on 

in 

1.6. 

Duration and financial impact  

 Proposal/initiative of limited duration  

–    Proposal/initiative in effect from 17/05/2020 to 16/05/2025 

–    Financial impact from 17/05/2020 to 16/05/2025 

 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) planned14  

 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  

14 

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  legal  entities  from  India  in  the  EU  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  (b) 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 and No 883/2013; 

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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 lines15 

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.16 

Contribution  

from 
EFTA 
countries
17 

from 
candidate 
countries18 

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 

15 

16 
17 
18 

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.  
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 

Year 
202019 

Year 
2021 

Year 
2022 

Year 
2023 

Year 
2024 

Year 
2025 

TOTAL 

Appropriations  of  an  administrative  nature  financed  from  the 
envelope of specific programmes20  

Number of budget line: 08.01.05.01 

Number of budget line: 08.01.05.03 

TOTAL appropriations 
for DG RTD 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(3) 

=1+1a 
+3 

=2+2a 

+3 

0.040 
0.040 

0.008 

0.060 
0.060 

0.012 

0.060 
0.060 

0.012 

0.060 
0.060 

0.012 

0.060 
0.060 
0.012 

0.020 
0.020 
0.004 

0.048 

0.072 

0.072 

0.072 

0.072 

0.024 

0.300 
0.300 

0.060 

0.360 

0.048 

0.072 

0.072 

0.072 

0.072 

0.024 

0.360 

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

(6) 

0.048 

0.072 

0.072 

0.072 

0.072 

0.024 

0.360 

TOTAL appropriations  

Commitments 

=4+ 6 

0.048 

0.072 

0.072 

0.072 

0.072 

0.024 

0.360 

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20 

EN 

Year 2020 is the year in which implementation of the proposal/initiative starts.Amounts for 2020 and 2025 correspond to seven months and five 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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under HEADING <1a> 
of the multiannual financial framework 

Payments 

=5+ 6 

0.048 

0.072 

0.072 

0.072 

0.072 

0.024 

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 

14 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial  
framework  

5 

‘Administrative expenditure’ 

Year 
2020 

Year 
2021 

Year 
2022 

Year 
2023 

Year 
2024 

Year 
2025 

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 
202021 

Year 
2021 

Year 
2022 

Year 
2023 

Year 
2024 

Year 
2025 

TOTAL 

EUR million (to three decimal places) 

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

Commitments 

0.048 

0.072 

0.072 

0.072 

0.072 

0.024 

Payments 

0.048 

0.072 

0.072 

0.072 

0.072 

0.024 

0.360 

0.360 

21 

EN 

Year  2020  is  the  year  in  which  implementation  of  the  proposal/initiative  starts.  Amounts  for  2020  and  2025  correspond  to  seven  months  and  five  months 
respectively. 

15 

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  

 

Type22 

Avera
ge 
cost 

SPECIFIC OBJECTIVE No 123… 

- Output 

- Output 

- Output 

Subtotal for specific objective No 1 

SPECIFIC OBJECTIVE No 2 ... 

- Output 

Subtotal for specific objective No 2 

TOTAL COST 

22 
23 

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 

16 

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 
202024 

Year 
2021 

Year 
2022 

Year 
2023 

Year 
2024 

Year 
2025 

TOTAL 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 525 
of the multiannual 
financial framework  

Human resources  

0.040 

0.060 

0.060 

0.060 

0.060 

0.020 

0.300 

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

0.008 

0.012 

0.012 

0.012 

0.012 

0.004 

0.060 

0.048 

0.072 

0.072 

0.072 

0.072 

0.024 

0.360 

TOTAL 

0.048 

0.072 

0.072 

0.072 

0.072 

0.024 

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. 

24 

25 

Year 2020 is the year in which implementation of the proposal/initiative starts. Amounts for 2020 and 
2025 correspond to seven months and five 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 

17 

  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 
2020 

Year 
2021 

Year 
2022 

Year 
2023 

Year 

2024 

Year 

2025 

 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) 

0.3 

0.5 

0.5 

0.5 

0.5 

0.2 

10 01 05 01 (Direct research) 

 External staff (in Full Time Equivalent unit: FTE)26 

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 27 

- 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 

0.3 

0.5 

0.5 

0.5 

0.5 

0.2 

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. 

26 

27 

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 

18 

  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 

19 

  EN