Proposal for a COUNCIL DECISION on the extension of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America
Date: 2023-03-29
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: United States, cooperation agreement (EU), renewal of an agreement, scientific cooperation, technical cooperation, technology

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   EUROPEAN COMMISSION  Brussels, 29.3.2023  COM(2023) 176 final 2023/0088 (NLE)  Proposal for a COUNCIL DECISION on the extension of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America    
 
EXPLANATORY MEMORANDUM 

1. 

• 

CONTEXT OF THE PROPOSAL 

Reasons for and objectives of the proposal 

Since  1998  the  European  Union  (EU)  and  the  United  States  of  America  (US)  have  been 
strategic  partners  for  research.  A  first  bilateral  'Agreement  for  scientific  and  technological 
cooperation between the European Community  and the Government of the United States of 
America'1 ('the Agreement') was signed in Washington, DC, on 5 December 1997 and entered 
into  force  on  14  October  1998.  Since  then,  the  Agreement  was  extended  four  times,  i.e.  in 
20032,  in  20083,  in  20134  and  in  20185  for  an  additional  period  of  5  years  each  time.  The 
second  extension  included  an  amendment,  namely  the  addition  of  research  on  security  and 
space to the list of sectors for cooperative activities (Article 4 of the Agreement). 

Article  12  letter  (b)  of  the  Agreement  stipulates  that:  "This  Agreement  is  concluded  for  an 
initial period of five years. Subject to review by the Parties in the final year of each successive 
period, the Agreement may be extended with possible amendments,  thereafter for additional 
periods of five years by mutual written agreement between the Parties". 

The current Agreement is due to expire on 14 October 2023.  

Cooperation  with  the  US  is  a  key  element  of  the  EU’s  Global  Approach  to  research  and 
innovation outlined in the Commission Communication of 18 May 20216. Building research 
and innovation alliances with the US, both bilaterally and within multilateral fora, contributes 
to  Europe’s  capacity  to  succeed  on  the  green  and  digital  transitions  and  will  strengthen 
resilience  to  global  health  threats  and  other  global  challenges  .  In  the  area  of  science  and 
technology the EU and the US share basic values of ethics, integrity of research, openness and 
transparency,  and  evidence-based  policy  making,  which  make  them  natural  partners.  By 
stepping  up  their  partnership  on  research  and  development  activities  in  science  and 
technology,  the  EU  and  the  US  can  move  forward  faster  towards  clean  energy;  sustainable 
and  safe  transport;  clean  oceans  and  blue  economy;  smart  cities;  a  resilient  and  inclusive 
society; and other advances that will serve our shared interests. 

Against this backdrop, an assessment of how the cooperation with the US is evolving and how 
it contributes to the objectives of the strategy  for international  cooperation has been  carried 
out  by  the  Commission  services.  This  assessment  clearly  demonstrates  that  the  Agreement 
provides an important framework for facilitating cooperation between the EU and the US in 
common  Science  &  Technology  (S&T)  priority  areas  leading  to  mutual  benefits.  The  main 
instrument for cooperation is the EU Framework Programme for Research and Innovation.  

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OJ L 284, 22.10.1998, p.37. 
Council Decision 2004/756/EC (OJ L 335, 11.11.2004, p. 5). 
Council Decision 2009/306/EC (OJ L 90, 02.04.2009, p. 20). 
Council Decision 2014/240/EU (OJ L 128, 30.04.2014, p. 43). 
Council Decision (EU) 2018/1578 (OJ L 263/1, 22.10.2018, p.1) 
“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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The EU's relationship with the US in Science & Technology is stronger than with any other 
country outside Europe. Among non-Associated third countries, the US was  by far the most 
active country participating in Horizon 2020. This is true for the amounts of mutual research 
and development (R&D) investment, flows of scientists, volumes of cooperative activities and 
the number of co-authored publications and patents. 

Under the current Agreement cooperation has been thriving both at a bilateral and multilateral 
level.  Multilaterally,  a  particularly  valuable  example  of  a  Global  Alliance,  promoted  by  the 
EU and the US, is the All-Atlantic Ocean Research Alliance, which inspired to a great extent 
the  whole  conception  of  Global  Alliances  outlined  in  the  above-referred  Commission 
Communication of 18 May 2021. 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.  The  EU  is  working  closely  with  the  US  in  a  variety  of  other 
multilateral  initiatives  including  in  the  field  of  health,  bioeconomy  and  earth  observation. 
Bilateral  cooperation  is  very  dynamic  in  the  fields  of  health,  transport,  advanced  materials, 
research  infrastructures,  information  and  communication  technologies,  food  security  and 
sustainable  agriculture,  climate  and  the  environment,  areas  where  the  US  participation  in 
Horizon 2020 and Horizon Europe has been particularly important. 

The last EU-US Joint Counsultative Group on S&T cooperation that took place on 12 October 
2022 at Directorate General level confirmed the strong willingness of both Parties to continue 
and expand cooperation across the board under the Agreement. 

Both Parties confirmed their wish to extend the Agreement by exchange of letters, i.e. letter from 
DG  R&I  dated  7  November  2022,  and  letter  from  US  Department  of  State  dated  13  December 
2022. 

The  extension  of  the  Agreement  reflects  the  importance  of  the  US  as  a  key  partner  country  in 
science and technology and will allow building on the already existing strong ties in a wide range 
of  thematic  areas  and  to  underpin  substantial  dialogue  and  cooperation  in  the  next  five-year 
period.  

The substance of the extended 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).  

The Global Approach Strategy confirms the role of the US as a key partner country for the EU 
by stressing that “Cooperation with the United States, with which the EU shares high levels of 
research  and  innovation  capacity  and  common  values  and  principles,  ensures  that 
researchers,  innovators  and  the  best  facilities  are  combined  in  the  search  for  solutions  to 
global challenges. In particular, the recommitment of the United States to climate goals and 
to  the  strengthening  of  the  multilateral  order  provides  the  opportunity  for  a  renewed 
relationship in research and innovation. The Joint Communication ‘A new EU-US agenda for 
global change’ sets out a number of proposals for cooperation with the US, and notably a call 
to form a Green Technology Alliance and to establish a new EU-US Trade and Technology 
Council.  Building  on  this  text,  the  Commission  also  proposes  to  increase  reciprocity  in 
bilateral cooperation, and raise the levels of coordination and coherence between EU and US 

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research and innovation investments, beginning with climate, digital, energy, environmental 
and health challenges.”  

• 

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, including with the US. 

The  last  EU-US  Summit  confirmed  the  importance  of  R&I  cooperation  to  address  common 
challenges  related to  global  healh  and green  transition and  called for reinforced cooperation 
on R&I particularly in the areas of health, energy, oceans and through the recently established 
Trade and Technology Council. 

EU-US  R&I  cooperation  under  the  Agreement  contributes  to  overarching  EU  policy 
objectives related notably  to: i) the Green Transition, for example with initiatives stemming 
from  Mission  Innovation,  the  All  Atlantic  Ocean  Research  Alliance,  Arctic  research,  the 
International  Bioeconomy  Forum  (IBF),  and  the  Group  on  Earth  Observation  (GEO);  ii) 
Global  Health  through  multilateral  and  bilateral  cooperation  on  infectious  diseases,  cancer, 
mental heath, and many others; iii) Digital transition, innovation, and data sharing through for 
example  work  on  smart  Specialisation  methodology,  Open  Access  and  Open  Science,  and 
bilateral ICT cooperation.  

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  Article 
218(6) TFEU. 

Subsidiarity (for non-exclusive competence)  

The EU and its Members States have shared 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  and  are  set  out  in  the  "Legislative 
Financial Statement". 

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

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- 
approves,  on  behalf  of  the  Union,  and  with  the  consent  of  the  European  Parliament, 
the  extension  of  the  “Agreement  for  scientific  and  technological  cooperation  between  the 
European Community and the Government of the United States of America”, for an additional 
period of five years (i.e. from 14.10.2023 until 13.10.2028); 

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

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2023/0088 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the extension of the Agreement for scientific and technological cooperation between 
the European Community and the Government of the United States of America  

THE COUNCIL OF THE EUROPEAN UNION, 

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

Having regard to the proposal from the European Commission, 

Having regard to the consent of the European Parliament,  

Whereas: 

(1) 

(2) 

(3) 

(4) 

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By Decision 98/591/EC7, the Council approved the conclusion of the  Agreement  for 
scientific  and  technological  cooperation  between  the  European  Community  and  the 
Government of the United States of America8 (the ‘Agreement’). The Agreement was 
signed in Washington, DC, on 5 December 1997 and entered into force on 14 October 
1998. 

In  accordance  with  point  (b)  of  Article  12  of  the  Agreement,  the  Agreement  is 
concluded  for  an  initial  period  of  five  years.  Subject  to  review  by  the  Parties  in  the 
final  year  of  each  successive  period,  the  Agreement  may  be  extended,  with  possible 
amendments,  thereafter  for  additional  periods  of  five  years  by  mutual  written 
agreement between the Parties.  
By  Decisions  2004/756/EC9,  2009/306/EC10,  2014/240/EU11  and  (EU)  2018/157812 
the Council approved the extension of the Agreement for an additional period of five 
years each time. The current Agreement is due to expire on 14 October 2023. 

The assessment carried out by Commission services demonstrates that the Agreement 
provides an important  framework for facilitating cooperation between the Union and 

Council  Decision  98/591/EC  of  13  October  1998  concerning  the  conclusion  of  the  Agreement  for 
scientific and technological cooperation between the European Community and the Government of the 
United States of America (OJ L 284/35, 22.10.1998, p. 37). 
OJ L 284, 22.10.1998, p.37. 
Council  Decision  2004/756/EC  of  4  October  2004  concerning  the  conclusion  of  an  Agreement 
renewing the Agreement for scientific and technological cooperation between the European Community 
and the Government of the United States of America(OJ L 335, 11.11.2004, p. 5). 
Council  Decision  2009/306/EC  of  30  March  2009  concerning  the  extension  and  amendment  of  the 
Agreement  for  scientific  and  technological  cooperation  between  the  European  Community  and  the 
Government of the United States of America (OJ L 90, 02.04.2009, p. 20). 
Council  Decision  2014/240/EU  of  14  April  2014  concerning  the  extension  of  the  Agreement  for 
scientific and technological cooperation between the European Community and the Government of the 
United States of America (OJ L 128, 30.04.2014, p. 43). 
Council  Decision  (EU)  2018/1578 of  18  September  2018 concerning  the  extension  of  the  Agreement 
for scientific and technological cooperation between the European Community and the Government of 
the United States of America. 

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the United States of America in common Science & Technology priority areas leading 
to mutual benefits. It is therefore in the Union’s interest to extend the Agreement for a 
new period of five years. 

(5) 

The exchange of letters between the Parties, dated 7 November 2022 and 13 December 
2022, confirmed their interest in extending  the Agreement for another five years.  

(6) 

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

HAS ADOPTED THIS DECISION:  

The  extension  of  the  Agreement  for  scientific  and  technological  cooperation  between  the 
European  Community  and  the  United  States  of  America,  for  an  additional  period  of  five 
years, is hereby approved on behalf of the Union. 

Article 1 

Article 2 

The  President  of  the  Council  shall  designate  the  person(s)  empowered  to  notify  the 
Government  of  the  United  States  of  America,  on  behalf  of  the  Union,  that  the  Union  has 
completed  its  internal  procedures  necessary  for  the  entry  into  force  of  the  extension  of  the 
Agreement in accordance with point (b) of Article 12 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 on the extension of the Agreement for scientific and 
technological  cooperation  between  the  European  Community  and  the  United  States 
of America 

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 action13  

 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  further  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  both  bilaterally 
and  multilaterally  and  develop  a  more  strategic  partnership  by  increasing  the  scale 
and scope of existing cooperation, by addressing global challenges and by promoting 
reciprocal access to programmes and funding. 

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

1.4.4. 

Indicators of 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  on  cooperation  activities.  This  evaluation  will 
consist, among others, of the following elements: 

 (a) cooperation indicators – analysis of the number and type of participation of US 
entities in EU funded programmes (e.g. number of proposals, number of signed grant 

13 

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

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agreements,  main  collaboration  links,  main  thematic;  generated  output)  and  vice-
versa (whenever the data is available); 

(b)  performance  indicators  –  success  rate  of  US  entities  participating  in  the  EU 
framework  programmes  compared  to  other  third  countries  and  to  Member 
States/Associated Countries; 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  the  US  and  the  Union  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  extension  of  this 
Agreement  will  allow  to  the  EU  to  have  easier  access  to  scientific  knowledge 
produced  in  the  US,  engage  in  more  cooperation  activities  leading  to  additional 
exchange of knowledge and technologies, and provide easier access to the US 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 the US, 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 extension of the Agreement with the US 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-US  cooperation  will  be 
sought, notably through various sectoral initiatives of the Commission, in  particular 
those of DGs AGRI, CLIMA, JRC, EAC, ENER, GROW, CNECT, MARE, MOVE 
and SANTE , among others. 

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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  1.5  FTE  annually  for  the  duration  of  the 
proposed action with the following breakdown: 

Year 2023: 3 months of salary of 1.5 official  

Years 2024-2027: 12 months of salary of 1.5 official 

Year 2028: 9 months of salary of 1.5 official 

1.6. 

Duration and financial impact  

 limited duration  

–    Proposal/initiative in effect from 14/10/2023 to 13/10/2028 

–    Financial impact from 14/10/2023 to 13/10/2028  

 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 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; 

–    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. 

14 

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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Comments  

[…]

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2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

Participation  of  US  entities  in  the  Framework  Programme  for  Research  and 
Innovation and other cooperation activities under the Agreemenet will be monitored 
on  a  regular  basis  through  meetings  of  the  Joint  Consultative  Group  established 
under Article 6(b) 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-US  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 

EN 

13 

  EN 

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 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. 

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  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.15 

from 
EFTA 
countries
16 

from 
candidate 
countries17 

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/NO  YES/NO  YES/NO 

YES/NO 

15 
16 
17 

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 

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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 
202318 

Year 
2024 

Year 
2025 

Year 
2026 

Year 
2027 

Year 
2028 

TOTAL 

 Appropriations  of  an  administrative  nature  financed  from  the 

envelope of specific programmes19  

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 

0.064 

0.262 

0.267 

0.272 

0.278 

0.212 

0.003 

0.012 

0.012 

0.012 

0.012 

0.009 

1.355 

0.060 

0.067 

0.274 

0.279 

0.284 

0.290 

0.221 

1.415 

0.067 

0.274 

0.279 

0.284 

0.290 

0.221 

1.415 

18 

19 

Year 2023 is the year in which implementation of the proposal/initiative starts. Amounts for 2023 calculated based on 3 months of salary of 1.5 FTE; for 2024-2027 calculated based on 
12 months of salary of 1.5 FTE; and 2028 calculated based on 9 months of salary of 1.5 FTE. Average costs to be used as from January 2023, to which an annual indexation of 2% has 
been added for the period 2024-2028 
Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research. 

EN 

16 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
 TOTAL operational appropriations  

Commitments 

Payments 

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

(4) 

(5) 

(6) 

0.067 

0.274 

0.279 

0.284 

0.290 

0.221 

1.415 

TOTAL appropriations  
under HEADING 1 
of the multiannual financial framework 

Commitments 

=4+ 6 

0.067 

0.274 

0.279 

0.284 

0.290 

0.221 

1.415 

Payments 

=5+ 6 

0.067 

0.274 

0.279 

0.284 

0.290 

0.221 

1.415 

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) 

0.067 

0.274 

0.279 

0.284 

0.290 

0.221 

1.415 

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

Commitments 

=4+ 6 

0.067 

0.274 

0.279 

0.284 

0.290 

0.221 

1.415 

Payments 

=5+ 6 

0.067 

0.274 

0.279 

0.284 

0.290 

0.221 

1.415 

EN 

17 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial  
framework  

7 

‘Administrative expenditure’ 

Year 
2023 

Year 
2024 

Year 
2025 

Year 
2026 

Year 
2027 

Year 
2028 

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 
2023 

Year 
2024 

Year 
2025 

Year 
2026 

Year 
2027 

Year 
2028 

TOTAL 

Commitments 

0.067 

0.274 

0.279 

0.284 

0.290 

0.221 

1.415 

Payments 

0.067 

0.274 

0.279 

0.284 

0.290 

0.221 

1.415 

EUR million (to three decimal places) 

EN 

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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  

 

Type20 

Avera
ge 
cost 

SPECIFIC OBJECTIVE No 121… 

- Output 

- Output 

- Output 

Subtotal for specific objective No 1 

SPECIFIC OBJECTIVE No 2 ... 

- Output 

Subtotal for specific objective No 2 

TOTALS  

20 
21 

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 

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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 
2023 22 

Year 
2024 

Year 
2025 

Year 
2026 

Year 
2027 

Year 
2028 

TOTAL 

HEADING 7 
of the multiannual 
financial framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 7 
of the multiannual 
financial framework  

Outside HEADING 723 
of the multiannual 
financial framework  

Human resources  

0.064 

0.262 

0.267 

0.272 

0.278 

0.212 

1.355 

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 7 
of the multiannual 
financial framework  

TOTAL 

0.003 

0.012 

0.012 

0.012 

0.012 

0.009 

 0.067    

0.274 

0.279 

0.284 

0.290 

0.221 

0.060 

1.415 

 0.067    

0.274 

0.279 

0.284 

0.290 

0.221 

1.415 

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. 

22 
23 

Year 2023 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. 

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 
2023 

Year 
2024 

Year 
2025 

Year 
2026 

Year 
2027 

Year 
2028 

 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)24 

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 25 

- 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. 

0.375 

1.5 

1.5 

1.5 

1.5 

1.125 

0.375 

1.5 

1.5 

1.5 

1.5 

1.125 

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 6(b) 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 

24 

25 

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). 

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21 

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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  

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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/initiative26 

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). 

26 

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 

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  EN