Proposal for a COUNCIL DECISION concerning the renewal of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil
Date: 2021-10-27
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: Brazil, cooperation agreement (EU), renewal of an agreement, scientific cooperation

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   EUROPEAN COMMISSION  Brussels, 27.10.2021  COM(2021) 653 final 2021/0336 (NLE)  Proposal for a COUNCIL DECISION concerning the renewal of the Agreement for scientific and technological cooperation between the European Community and the Federative Republic of Brazil     
 
EXPLANATORY MEMORANDUM 

1. 

• 

CONTEXT OF THE PROPOSAL 

Reasons for and objectives of the proposal 

The  Agreement  for  scientific  and  technological  cooperation  between  the  European 
Community and the Federative Republic of Brazil1 (hereinafter referred to as 'the Agreement') 
entered  into  force  on  7  August  2007.  The  Agreement  provides  in  its  Article  XII  (2)  that  it 
"shall initially be valid for a period of five years and may be renewed by agreement between 
the Parties after evaluation during the penultimate  year of each subsequent renewal period". 
The Agreement was last renewed in 2017 and remains in force until 7 August 2022, unless the 
Parties renew it for the next five year period. 

Since  the  Agreement  was  last  renewed  (Decision  2018/343/EU2),  Brazil  has  continued  to 
advance in its science, technology and innovation (STI) development. A continent in itself by 
its  size  and  resources,  the  country  can  be  considered  a  ‘science  powerhouse’  in  the  Latin 
American  continent.  The  country  continues  to  be  the  EU’s  major  STI  partner  in  the  region, 
with research and innovation (R&I) cooperation remaining an important and positive building 
block of the EU’s overall relations with this country.  

The  main  instruments  for  cooperation  are  the  EU  framework  programmes  for  research  and 
innovation. Among non-associated third countries, Brazil was the 6th most active in Horizon 
2020  (representing  over  25%  of  the  whole  Latin  American  and  Caribbean  (LAC)  countries 
participation), with a success rate well above the average. The evaluation  carried out by the 
European  Commission  clearly  demonstrates  that  the  Agreement  provides  an  important 
framework  for  facilitating  cooperation  between  the  EU  and  Brazil  in  common  S&T  priority 
areas, leading to mutual benefits. 

During  the  time-life  of  Horizon  2020  (2014-2020),  cooperation  between  the  EU  and  the 
Brazilian  research  community  led,  among  other  results,  to  the  further  development  of 
transatlantic marine research & innovation within the All-Atlantic Ocean Research Alliance, 
based  on  the  Belém  Statement  with  the  EU  and  South  Africa.  Additionally,  there  was 
important collaboration in health research, tackling global challenges such as the Zika virus, 
with strong Brazilian participation in the calls for proposals launched by the EU in 2016. The 
fruitful collaboration for tackling COVID-19 needs to be highlighted, with Brazilian entities 
taking  part  in  two  projects  under  the  ‘emergency  calls’  launched  by  the  European 
Commission,  as  well  as  under  multilateral  initiatives,  in  particular  Global  Research 
Collaboration for  Infectious Disease Preparedness (GloPID-R).  Furthermore, in the last  five 
years a positive involvement of Brazilian entities in research infrastructures (RI) projects has 
contributed to the mapping of LAC RIs. 

Brazil  is  a  key  player  in  any  future  global  climate  change  and  sustainability  scenario,  the 
country is a valuable partner in biodiversity research and in any ecosystems-based approach to 
addressing  environmental  challenges.  Cooperation  has  been  intensified  in  sustainability-
related areas contributing to the Green Deal, e.g. in fresh water management and biodiversity 
through  active  Brazilian  involvement  in  BiodivERsA  calls  for  research  proposals;  indeed 
Brazil is at the centre of ERA-LAC collaboration in biodiversity research. There is potential 
for  new  actions,  in  a  Team  Europe  approach,  on  climate  related  topics  such  as  forest 
degradation, deforestation and sustainable agriculture. 

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2 

OJ L 295, 11.11.2005, p. 38. 
OJ L 67, 09.03.2018, p. 1. 

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Another  area  in  which  cooperation  has  been  promoted  is  sustainable,  greener  and  safer 
aviation.  The  EU  and  Brazil  have  also  embarked  on  cooperation  on  sustainable  and  smart 
cities.  EU-Brazil  cooperation  on  digital  key  topics,  including  5G,  Internet  of  Things  and 
Cloud computing under Horizon 2020, placed EU as a major partner of Brazil in this area. It 
has culminated  in  the  inauguration of the optical  fibre  cable under  the BELLA  project  with 
significant Brazil funding and strong potential for valuable R&I partnerships in areas such as 
high performance and quantum computing and space.   

A  Collaboration  Arrangement,  under  the  Agreement,  signed  in  2013,  and  renewed  in  2018, 
between the Joint Research Centre and the Ministry of Science, Technology and Innovation of 
Brazil,  has  enhanced  bilateral  cooperation  in  several  areas  namely  disaster  prevention  and 
crisis  management,  monitoring  of  wildfires  and  forests  degradation  by  means  of  remote 
sensing; climate change and critical raw materials.  

Legal  entities  established  in  non-associated,  high-income  third  countries  such  as  Brazil, 
generally  bear  the  costs  of  their  participation  in  collaborative  activities  under  the  EU 
framework  programme  for  research  and  innovation.  In  this  context,  it is  noteworthy  that  an 
Administrative Arrangement between the Brazilian Federal and State Funding bodies and the 
European Commission was signed in May 2018, aiming to facilitate the cooperation with the 
Agencies  that  provided  funding  to  Brazilian  legal  entities  taking  part  in  Horizon  2020 
collaborative  activities.  A  similar  arrangement  is  to  be  signed  in  the  context  of  Horizon 
Europe as well, ensuring that Brazilian entities are supported for their participation in Horizon 
Europe projects selected for funding. 

The  EU-Brazil  S&T  Joint  Steering  Committee  Meeting  of  24  March  2021  confirmed  the 
positive dynamics in our dialogue in all the above areas, with the prospect of continuing and 
stepping  up  bilateral  R&I  cooperation  under  Horizon  Europe  (2021-2027).  All  this  augurs 
well  for  the  prospects  of  Brazilian  participation  in  the  future  Missions  and  Partnerships  of 
Horizon  Europe.  Additionally,  Brazil  features  high  in  the  next  EEAS  programming  for  the 
period  2021-2027,  with  several  EU-Brazil  Team  Europe  Initiatives  (TEIs),  focused  on 
overarching EU objectives. This reaffirms the position of Brazil as a strategic STI partner of 
the EU and the significant potential of synergies. 

In view of all above, it is therefore in the EU’s interest to renew the Agreement for scientific 
and technological cooperation between the European Community and the Federative Republic 
of Brazil for a new period of five years. 

Both  Parties  confirmed their  wish to  renew the  Agreement by exchange of letters, dated 11 
May 2021 and 24 May 2021. 

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

• 

Consistency with existing policy provisions in the policy area 

This  initiative is  fully in line with  the Commission Communication of 18 May 2021 on the 
Global Approach to Research and Innovation, Europe's strategy for international cooperation 
in a changing world (COM(2021)252 final/2)3.  

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“Communication  from  the  Commission  to  the  European  Parliament,  the  Council,  the  European 
Economic  and  Social  Committee  and  the  Committee  of  the  Regions  on  the  Global  Approach  to 
Research  and  Innovation,  Europe’s  strategy  for  international  cooperation  in  a  changing  world” 
(COM(2021) 252 final/2). 

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A particularly valuable example of a Global Alliance, promoted by the EU and Brazil, is the 
already mentioned All-Atlantic Ocean Research Alliance, which inspired to a great extent the 
whole  conception  of  Global  Alliances  in  the  above-referred  Communication.  A  further 
example  is  Mission  Innovation  (MI),  which  is  a  global  initiative  of  22  countries  and  the 
European Union, with the aim to accelerate effort in innovation in clean energy. MI members 
represent over 90% of global government investment in clean energy research and innovation. 
In MI both EU and Brazil are very active members, namely in the field of bio-fuels. 

The Global Approach Strategy upholds the idea that “stronger engagement should be sought 
with  Brazil  […]  and  other  EU  partners  in  the  region,  in  areas  such  as  green  and  digital 
transition, health, or developing common solutions for a sustainable recovery. An increasing 
collaboration  with  the  EU  Space  programme  and  the  new  Copernicus  hubs  and  Galileo 
centres in LAC will play a key role to drive innovation and research in the region”. 

• 

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 socio-economic ties, notably with Latin American countries. It is 
also  important  to  mention  that  the  Commission  Communication  on  the  Global  Approach  to 
Research  and  Innovation  reaffirms  the  EU’s  commitment  to  international  openness  and 
respect for fundamental values in the field of research and innovation. In this sense, it recalls 
the  importance  of  multilateral  as  well  as  bilateral  cooperation  with  different  international 
partners, including Brazil. The EU’s overarching policy priorities such as the Green Deal & 
sustainable development, the digital transition and global health are reflected in the EU’s STI 
bilateral relations with Brazil, notably in cooperation through the Horizon Europe programme. 

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. 

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  and  are  set  out  in  the  "Legislative 
Financial Statement". 

In the light of the above considerations, the Commission requests that the Council: 

- 
approves,  on  behalf  of  the  Union,  and  with  the  consent  of  the  European  Parliament, 
the  renewal  of  the  Agreement  for  scientific  and  technological  cooperation  between  the 
European Community and the Federative Republic of Brazil which will apply, following the 
expiry  of  the  five  years,  for  an  additional  period  of  five  years  (i.e.  from  08.08.2022  until 
07.08.2027); 

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

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2021/0336 (NLE) 

Proposal for a 

COUNCIL DECISION 

concerning the renewal of the Agreement for scientific and technological cooperation 
between the European Community and the Federative Republic of Brazil   

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article  186  in  conjunction  with  point  (a)  (v)  of  the  second  subparagraph  of  Article  218(6) 
thereof, 

Having regard to the proposal from the European Commission, 

Having regard to the consent of the European Parliament,  

Whereas: 

(1) 

(2) 

(3) 

(4) 

By Decision 2005/781/EC4, the Council approved the conclusion of the Agreement for 
scientific  and  technological  cooperation  between  the  European  Community  and  the 
Federative Republic of Brazil5 (the 'Agreement'). 

In accordance with Article XII of the Agreement, the Agreement enters into force on 
the date on which both Parties have notified each other in writing that their respective 
internal  procedures  necessary  for  the  Agreement  to  enter  into  force  have  been 
completed.  The  Agreement  was  initially  valid  for  a  period  of  five  years  and  may  be 
renewed by agreement between the Parties after evaluation during the penultimate year 
of each subsequent renewal period.  
By Decisions 2012/646/EU6 and 2018/343/EU7, the Council approved the renewal of 
the Agreement for an additional period of five years each time. 

The exchange of letters between the parties to the Agreement, dated 11 May 2021 and 
24  May  2021  confirmed  their  interest  in  renewing  the  Agreement  for  another  five 
years. 

(5) 

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

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Council Decision 2005/781/EC of 6 June 2005 on the  conclusion of the  Agreement  for scientific and 
technological cooperation between the European Community and the Federative Republic of Brazil (OJ 
L 295, 11.11.2005, p. 37). 
OJ L 295, 11.11.2005, p.38. 
Council  Decision  2012/646/EU  of  10  October  2012  concerning  the  renewal  of  the  Agreement  for 
scientific and technological cooperation between the European Community and the Federative Republic 
of Brazil (OJ L 287, 18.10.2012, p. 4). 
Council Decision 2018/343/EU of 5 March 2018 concerning the renewal of the Agreement for scientific 
and technological cooperation between the European Community and the Federative Republic of Brazil 
(OJ L 67, 09.03.2018, p. 1).  

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HAS ADOPTED THIS DECISION:  

Article 1 

The  renewal  of  the  Agreement  for  scientific  and  technological  cooperation  between  the 
European Community and the Federative Republic of Brazil, for an additional period of five 
years, is hereby approved on behalf of the Union. 

Article 2 

The  President  of  the  Council  shall  designate  the  person(s)  empowered  to  notify  the 
Government of the Federative Republic of Brazil, on behalf of the Union, that the Union has 
completed its internal procedures necessary for the  renewal of the Agreement in accordance 
with Article XII(2) of the Agreement.  

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

Article 3 

Done at Brussels, 

For the Council 
The President 

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LEGISLATIVE FINANCIAL STATEMENT 

Contents 

1. 

1.1. 

1.2. 

1.3. 

1.4. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE ................................................. 9 

Title of the proposal/initiative ...................................................................................... 9 

Policy area(s) concerned .............................................................................................. 9 

The proposal/initiative relates to: ................................................................................. 9 

Objective(s) .................................................................................................................. 9 

1.4.1.  General objective(s) ..................................................................................................... 9 

1.4.2.  Specific objective(s) ..................................................................................................... 9 

1.4.3.  Expected results(s) and impact..................................................................................... 9 

1.4.4. 

Indicators of performance ............................................................................................ 9 

1.5. 

Grounds for the proposal/initiative ............................................................................ 10 

1.5.1.  Requirement(s) to be met in the short or long term including a detailed timeline for 

roll-out of the implementation of the initiative .......................................................... 10 

1.5.2.  Added value of Union involvement (it may result from different factors, e.g. 

coordination gains, legal certainty, greater effectiveness or complementarities). For 
the purposes of this point 'added value of Union involvement' is the value resulting 
from Union intervention which is additional to the value that would have been 
otherwise created by Member States alone. ............................................................... 10 

1.5.3.  Lessons learned from similar experiences in the past ................................................ 10 

1.5.4.  Compatibility with the Multiannual Financial Framework and possible synergies 

with other appropriate instruments............................................................................. 10 

1.5.5.  Assessment of the different available financing options, including scope for 

redeployment .............................................................................................................. 11 

1.6. 

1.7. 

2. 

2.1. 

2.2. 

2.2.1. 

2.2.2. 

Duration and financial impact .................................................................................... 11 

Management mode(s) planned ................................................................................... 11 

MANAGEMENT MEASURES................................................................................. 13 

Monitoring and reporting rules .................................................................................. 13 

Management and control system ................................................................................ 13 

Justification of the management mode(s), the funding implementation mechanism(s), 
the payment modalities and the control strategy proposed ........................................ 13 

Information concerning the risks identified and the internal control system(s) set up 
to mitigate them.......................................................................................................... 13 

2.2.3.  Estimation and justification of the cost-effectiveness of the controls (ratio of "control 

costs ÷ value of the related funds managed"), and assessment of the expected levels 
of risk of error (at payment & at closure) .................................................................. 13 

2.3. 

3. 

Measures to prevent fraud and irregularities .............................................................. 13 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE ............ 15 

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3.1. 

Heading(s) of the multiannual financial framework and expenditure budget line(s) 
affected ....................................................................................................................... 15 

3.2. 

Estimated impact of the proposal on appropriations .................................................. 16 

3.2.1.  Summary of estimated impact on operational appropriations.................................... 16 

3.2.2.  Estimated output funded with operational appropriations ......................................... 19 

3.2.3.  Estimated impact on appropriations of an administrative nature ............................... 20 

3.2.4.  Compatibility with the current multiannual financial framework.............................. 22 

3.2.5.  Third-party contributions ........................................................................................... 22 

3.3. 

Estimated impact on revenue ..................................................................................... 23 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

Proposal  for  a  Council  Decision  concerning  the  renewal  of  the  Agreement  for 
scientific  and  technological  cooperation  between  the  European  Community  and  the 
Federative Republic of Brazil 

1.2. 

Policy area(s) concerned   

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

1.3. 

The proposal/initiative relates to:  

 a new action  

 a new action following a pilot project/preparatory action8  

 the extension of an existing action  

 a merger or redirection of one or more actions towards another/a new action  

1.4. 

Objective(s) 

1.4.1.  General objective(s)  

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)  

Specific objective  

This  decision  should  allow  both  Parties  to  enhance  the  cooperation  and  develop  a 
more strategic partnership by increasing the scale and scope of existing cooperation, 
by addressing commonly key societal challenges and by promoting reciprocal access 
to programmes and funding. It will also allow to increase regional cooperation where 
appropriate. 

1.4.3.  Expected results(s) and impact 

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted. 

This decision will allow both Brazil and the European Union to derive mutual benefit 
from  the  scientific  and  technical  progress  achieved  through  research  in  their 
respective research programmes and ongoing cooperation activities. It will allow for 
exchange  of  specific  knowledge  and  transfer  of  know-how  to  the  benefit  of  the 
scientific community, industry and citizens of both Parties. 

1.4.4. 

Indicators of performance  

Specify the indicators for monitoring progress and achievements. 

The  Commission  services  will  regularly  monitor  all  actions  carried  out  under  the 
Agreement,  including  an  evaluation  by  the  EU  on  cooperation  activities.  This 
evaluation will consist, among others, of the following elements: 

8 

As referred to in Article 58(2)(a) or (b) of the Financial Regulation. 

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(a)  cooperation  indicators  –  analysis  of  the  number  and  type  of  participation  of 
Brazilian  entities  in  EU  funded  programmes  (e.g.  number  of  proposals,  number  of 
signed grant agreements, main collaboration links, main thematic; generated output) 
and vice-versa (whenever the data is available); 

(b) performance indicators – success rate of Brazilian entities participating in the EU 
framework programmes compared to other third countries and to MS/AC; analysis of 
the quality of the participation (e.g. number of best ranked universities taking part on 
the  programme,  number  of  patents  and  publications  coming  from  collaborative 
projects); 

(c)  data  collection  regarding  cooperation  activities  and  links  beyond  the  respective 
research funding programmes and  assessment of the impact  of these  activities, like 
participation in multilateral initiatives and working groups. 

1.5. 

Grounds for the proposal/initiative  

1.5.1.  Requirement(s) to be met in the short or long term including a detailed timeline for 

roll-out of the implementation of the initiative   

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  Union  involvement  (it  may  result  from  different  factors,  e.g. 
coordination gains, legal certainty, greater effectiveness or complementarities). For 
the purposes of this point 'added value of Union involvement' is the value resulting 
from  Union  intervention  which  is  additional  to  the  value  that  would  have  been 
otherwise created by Member States alone. 

Cooperation  in  research  &  innovation  between  Brazil  and  the  EU  and  its  Member 
States has been growing steadily in the past years. The involvement of the EU allows 
activities  with  larger  scale  and  scope  for  the  benefit  of  all  Member  States.  The 
renewal  of  this  Agreement  will  allow  to  the  EU  to  have  easier  access  to  scientific 
knowledge produced in  Brazil and to  engage in  more cooperation activities leading 
to  additional  exchange  of  knowledge  and  technologies.  It  will  also  provide  easier 
access to the Brazilian market for European companies.  

1.5.3.  Lessons learned from similar experiences in the past 

Based  on  the  experience  so  far  in  the  field  of  scientific  and  technological 
cooperation,  it  is  considered  mutually  beneficial  to  continue  research  cooperation 
with Brazil, as a strategic partner of the Union in research and innovation. 

1.5.4.  Compatibility  with  the  Multiannual  Financial  Framework  and  possible  synergies 

with other appropriate instruments 

The renewal of the Agreement with Brazil is considered to be fully coherent and in 
line with the overall policy framework on International Cooperation in Research and 
Innovation,  namely  the  recently  adopted  Commission  Communication  of  18  May 
2021  on  the  Global  Approach  to  Research  and  Innovation,  Europe's  strategy  for 
international cooperation in a changing world (COM(2021)252 final/2) 

Synergies with other Union instruments in the area of EU-Brazil cooperation will be 
sought,  notably  through  the  corresponding  Team  Europe  Initiatives  in  the  region, 
with the NDICI instrument and with various sectoral initiatives of the Commission, 

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in particular those of DGs EAC, CNECT, DEFIS, ENV, CLIMA and REGIO, among 
others. 

1.5.5.  Assessment  of  the  different  available  financing  options,  including  scope  for 

redeployment 

The  financial  needs  to  cover  the  proposed  action  are  available  within  the  Horizon 
Europe  Programme  (administrative  appropriations).  The  coordination  of  the 
proposed  action  and  its  implementation  will  be  covered  internally  by  the 
Commission,  requiring  an  estimated  0.5  FTE  annually  for  the  duration  of  the 
proposed action with the following breakdown: 

Year 2022: 7 months of salary of 0.5 official  

Years 2023-2026: 12 months of salary of 0.5 official 

Year 2027: 5 months of salary of 0.5 official 

1.6. 

Duration and financial impact  

 limited duration  

–    Proposal/initiative in effect from 08/08/2022 to 07/08/2027 

–    Financial impact from 08/08/2022 to 07/08/2027  

 unlimited duration 

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

–  followed by full-scale operation. 

1.7.  Management mode(s) planned9  

 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 70 and 71 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; 

9 

Details  of  management  modes  and  references  to  the  Financial  Regulation  may  be  found  on  the 
BudgWeb 
site: 
https://myintracomm.ec.europa.eu/budgweb/EN/man/budgmanag/Pages/budgmanag.aspx  

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–    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  

[…]

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2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

Brazil's  participation  in  the  Framework  programme  is  monitored  on  a  regular  basis 
through meetings of the Joint Steering Committee established under Article VI of the 
Agreement. 

2.2.  Management and control system  

2.2.1. 

Justification of the management mode(s), the funding implementation mechanism(s), 
the payment modalities and the control strategy proposed 

The proposed initiative in the context of the Horizon Europe Framework Progamme 
for Research & Innovation will be implemented through direct management mode. 

As an activity to  be fully  carried out  by  a policy  officer of the Commission,  direct 
management  is  the  most  appropriate  implementation  mode.  In  particular,  the 
expected core tasks necessary for a proper implementation of the proposed activity, 
such  as  policy  dialogue,  assessment  of  the  EU-Brazil  research  and  innovation 
cooperation  landscape,  identification  of  joint  collaboration  priorities  and  similar 
tasks,  are  principal  activities  of  the  implementing  service  of  the  Commission  –  the 
'Global Approach & International Cooperation in R&I' Directorate of DG R&I. 

Additional  support  tasks  of  organisational,  logistical,  administrative  and  advisory 
nature may be assigned under a future framework contract for support actions for the 
international cooperation in research and innovation. Such support tasks, designed to 
enhance  the  efficiency  and  effectiveness  of  the  proposed  action,  will  be  supervised 
by the Commission and will remain under its direct management. 

2.2.2. 

Information concerning the risks identified and the internal control system(s) set up 
to mitigate them  

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. 

2.2.3.  Estimation and justification of the cost-effectiveness of the controls (ratio of "control 
costs ÷ value of the related funds managed"), and assessment of the expected levels 
of risk of error (at payment & at closure) 

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

third  parties, 

to 

The  Union's  financial  audits  will  be  carried  out  either  by  its  own  staff  or  by 
accounting  experts  approved  according  to  the  law  of  the  audited  party.  The  Union 
will choose the latter freely, while avoiding any  risks of conflicts  of interest  which 

EN 

13 

  EN 

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 introduction of specific contractual clauses 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 883/2013; 

-  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 control programme in respect of the scientific 
and  budgetary  aspects  will  be  carried  out  by  the  responsible  staff  in  the  DG  for 
Research and Innovation; an internal audit will be carried out by the Internal Audit 
unit of DG Research and Innovation; and local inspections will be undertaken by the 
European Court of Auditors. 

EN 

14 

  EN 

3. 

3.1. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

  Existing budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of  
expenditure 

Contribution  

Heading of 
multiannual 
financial 
framework 

Heading  1  –  Single  market,  Innovation  and 
Digital  –  Research  and  Innovation  –  Horizon 
Europe  

Diff./Non-
diff.10 

from 
EFTA 
countries
11 

from 
candidate 
countries12 

from third 
countries 

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

1 

1 

Heading of 
multiannual 
financial 
framework 

01 01 01 01 

Non-diff. 

YES 

YES 

YES 

NO 

01 01 01 03  

Non-diff. 

YES 

YES 

YES 

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 

10 
11 
12 

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. 

EN 

15 

  EN 

 
 
 
 
 
 
 
 
 
 
                                                 
3.2. 

Estimated impact of the proposal on appropriations  

3.2.1. 

Summary of estimated impact on operational appropriations  

 

 

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

The proposal/initiative requires the use of operational appropriations, as explained below: 

Heading of multiannual financial  
framework  

1 

‘Single market, Innovation and Digital – Research and Innovation – Horizon Europe’ 

EUR million (to three decimal places) 

DG: RTD 

 Operational appropriations  

Budget line 

Budget line 

Commitments 

Payments 

Commitments 

Payments 

(1a) 

(2a) 

(1b) 

(2b) 

Year 
202213 

Year 
2023 

Year 
2024 

Year 
2025 

Year 
2026 

Year 
2027 

TOTAL 

 Appropriations  of  an  administrative  nature  financed  from  the 

envelope of specific programmes14  

Budget line 01 01 01 01 

Budget line 01 01 01 03 

TOTAL appropriations 
for DG RTD 

Commitments & 
Payments 

Commitments & 
Payments 

Commitments 

Payments 

(3) 

(3) 

=1a+1b 
+3 

=2a+2b 

+3 

0.044 

0.076 

0.076 

0.076 

0.076 

0.032 

0.004 

0.012 

0.012 

0.012 

0.012 

0.008 

0.380 

0.060 

0.048 

0.088 

0.088 

0.088 

0.088 

0.040 

0.440 

0.048 

0.088 

0.088 

0.088 

0.088 

0.040 

0.440 

13 

14 

EN 

Year 2022 is the year in which implementation of the proposal/initiative starts. Amounts for 2022 calculated based on 7 months of salary of 0.5 FTE; for 2023-2026 calculated based on 
12 months of salary of 0.5 FTE; and 2027 calculated based on 5 months of salary of 0.5 FTE. 
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. 

16 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
 TOTAL operational appropriations  

Commitments 

Payments 

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

(4) 

(5) 

(6) 

0.048 

0.088 

0.088 

0.088 

0.088 

0.040 

0.440 

TOTAL appropriations  
under HEADING 1 
of the multiannual financial framework 

Commitments 

=4+ 6 

0.048 

0.088 

0.088 

0.088 

0.088 

0.040 

0.440 

Payments 

=5+ 6 

0.048 

0.088 

0.088 

0.088 

0.088 

0.040 

0.440 

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

  TOTAL  operational  appropriations  (all 
operational heading) 

Commitments 

Payments 

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

(4) 

(5) 

(6) 

0.048 

0.088 

0.088 

0.088 

0.088 

0.040 

0.440 

TOTAL appropriations  
under HEADINGS 1 to 6 
of the multiannual financial framework 
(Reference amount) 

Commitments 

=4+ 6 

0.048 

0.088 

0.088 

0.088 

0.088 

0.040 

0.440 

Payments 

=5+ 6 

0.048 

0.088 

0.088 

0.088 

0.088 

0.040 

0.440 

EN 

17 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial  
framework  

7 

‘Administrative expenditure’ 

Year 
2022 

Year 
2023 

Year 
2024 

Year 
2025 

Year 
2026 

Year 
2027 

TOTAL 

EUR million (to three decimal places) 

DG: <…….> 

 Human resources  

 Other administrative expenditure  

TOTAL DG <…….> 

Appropriations  

TOTAL appropriations 
under HEADING 7 
of the multiannual financial 
framework  

(Total  commitments  = 
Total payments) 

TOTAL appropriations  
under HEADINGS 1 to 7 
of the multiannual financial 
framework  

Year 
2022 

Year 
2023 

Year 
2024 

Year 
2025 

Year 
2026 

Year 
2027 

TOTAL 

Commitments 

0.048 

0.088 

0.088 

0.088 

0.088 

0.040 

0.440 

Payments 

0.048 

0.088 

0.088 

0.088 

0.088 

0.040 

0.440 

EUR million (to three decimal places) 

EN 

18 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.2.2.  Estimated output funded with 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 

o
N

Cost 

o
N

Cost 

o
N

Cost 

o
N

Cost  N

o

Cost 

o
N

Cost 

Total 
No 

Total 
cost 

Indicate 
objectives and 
outputs  

 

Type15 

Avera
ge 
cost 

SPECIFIC OBJECTIVE No 116… 

- Output 

- Output 

- Output 

Subtotal for specific objective No 1 

SPECIFIC OBJECTIVE No 2 ... 

- Output 

Subtotal for specific objective No 2 

TOTALS  

15 
16 

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 

19 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.  Estimated impact on appropriations of an administrative nature 

–    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 
2022 17 

Year 
2023 

Year 
2024 

Year 
2025 

Year 
2026 

Year 
2027 

TOTAL 

HEADING 7 
of the multiannual 
financial framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 7 
of the multiannual 
financial framework  

Outside HEADING 718 
of the multiannual 
financial framework  

Human resources  

0.044 

0.076 

0.076 

0.076 

0.076 

0.032 

0.380 

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

TOTAL 

0.004 

0.012 

0.012 

0.012 

0.012 

0.008 

0.060 

0.048 

0.088 

0.088 

0.088 

0.088 

0.040 

0.440 

0.048 

0.088 

0.088 

0.088 

0.088 

0.040 

0.440 

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. 

17 
18 

Year 2022 is the year in which implementation of the proposal/initiative starts. 
Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of 
EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research. 

EN 

20 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.1.  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 
2022 

Year 
2023 

Year 
2024 

Year 
2025 

Year 
2026 

Year 
2027 

 Establishment plan posts (officials and temporary staff) 

20 01 02 01 (Headquarters and Commission’s 
Representation Offices) 

20 01 02 03 (Delegations) 

01 01 01 01  (Indirect research) 

01 01 01 11 (Direct research) 

 External staff (in Full Time Equivalent unit: FTE)19 

20 02 01 (AC, END, INT from the ‘global envelope’) 

20 02 03  (AC, AL, END, INT and JPD in the delegations) 

XX 01 xx yy zz 20 

- at Headquarters 

- in Delegations  

01 01 01 02  (AC, END, INT - Indirect research) 

01 01 01 12 (AC, END, INT - Direct research) 

Other budget lines (specify) 

TOTAL 

XX is the policy area or budget title concerned. 

0.35 

0.5 

0.5 

0.5 

0.5 

0.25 

0.35 

0.5 

0.5 

0.5 

0.5 

0.25 

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 

Preparation and  management of Joint Committee Meetings foreseen under Article VI of the 
Agreement  and  missions  ensuring  the  good  functioning  and  implementation,  as  well  as 
regular review, of the Agreement. 

Calculations are done proportionally considering the duration of the Agreement. 

External staff 

19 

20 

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 

21 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.4.  Compatibility with the current multiannual financial framework  

The proposal/initiative: 

–    can be fully financed through redeployment within the relevant heading of the 

Multiannual Financial Framework (MFF). 

Explain what reprogramming is required, specifying the budget lines concerned and the corresponding 
amounts. Please provide an excel table in the case of major reprogramming. 

–    requires use of the unallocated margin under the relevant heading of the MFF 

and/or use of the special instruments as defined in the MFF Regulation. 

Explain  what  is  required,  specifying  the  headings  and  budget  lines  concerned,  the  corresponding 
amounts, and the instruments proposed to be used. 

–    requires a revision of the MFF. 

Explain what is required, specifying the  headings and budget lines concerned and the corresponding 
amounts. 

3.2.5.  Third-party contributions  

The proposal/initiative: 

–   does not provide for co-financing by third parties.  

–  The proposal/initiative provides for the co-financing estimated below: 

Appropriations in EUR million (to three decimal places) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

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

Total 

Specify  the  co-financing 
body  

TOTAL appropriations 
co-financed  

EN 

22 

  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/initiative21 

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 assigned revenue, specify the budget expenditure line(s) affected. 

Other  remarks  (e.g.  method/formula  used  for  calculating  the  impact  on  revenue  or  any  other 
information). 

21 

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 20 % for collection costs. 

EN 

23 

  EN