Proposal for a COUNCIL DECISION on the renewal of the Agreement on cooperation in science and technology between the European Community and Ukraine
Date: 2024-10-01
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: Ukraine, cooperation agreement (EU), innovation, renewal of an agreement, scientific cooperation, technology

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   EUROPEAN COMMISSION  Brussels, 1.10.2024  COM(2024) 438 final 2024/0240 (NLE)  Proposal for a COUNCIL DECISION on the renewal of the Agreement on cooperation in science and technology between the European Community and Ukraine  
 
EXPLANATORY MEMORANDUM 

1. 

• 

CONTEXT OF THE PROPOSAL 

Reasons for and objectives of the proposal 

The ‘Agreement on cooperation in science and technology between the European Community 
and  Ukraine’1  (‘the  Agreement’)  was  signed  in  Copenhagen  on  4  July  2002  and  was 
concluded originally until 31 December 20022. Article 12 point (b) of the Agreement provides 
for a possibility of renewal by common agreement between the Parties for additional periods 
of five years. The Agreement has been renewed four times: in 20033, 20114, 20155 and 20206.  

The current Agreement will expire on 8 November 2024. 

The renewal of the Agreement for an additional period of five years is in the mutual interest 
of both Parties to the Agreement in order to continue facilitating cooperation between the EU 
and  Ukraine  in  common  science  and  technology  (S&T)  priority  areas  leading  to  mutual 
benefits as laid out in Article 4 of the Agreement. 

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

By  a  letter  of  23  May  2024,  the  Ministry  of  Education  and  Science  of  Ukraine  and  the 
Ministry  of  Foreign  Affairs  of  Ukraine  expressed  their  interest  in  renewing  the  agreement. 
The Government of Ukraine has already started the renewal process on their side. 

The substance of the proposed decision is to extend the existing Agreement. It will in all other 
regards  be  identical  to  that  of  the  content  of  the  current  Agreement.  As  such,  the  renewed 
Agreement  will  not  create  new  or  additional  rights  and  obligations  for  either  of  the  Parties, 
but instead it will extend in time the legal regime already existing between the Parties in the 
field of S&T cooperation. 

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OJ L 036, 12.02.2003, p. 32, http://data.europa.eu/eli/agree_internation/2003/96/oj . 
Council Decision 2003/96/EC of 6 of February 2003 concerning the conclusion of the Agreement for 
scientific  and  technological  cooperation  between  the  European  Community  and  Ukraine  (OJ  L  36, 
12.2.2003, p. 31, ELI: http://data.europa.eu/eli/dec/2003/96(1)/oj ). 
Council  Decision  2003/737/EC  of  22  September  2003  concerning  the  conclusion  of  an  Agreement 
renewing the Agreement on cooperation in science and technology between the European Community 
and Ukraine (OJ L 267, 17.10.2003, p. 24, ELI: http://data.europa.eu/eli/dec/2003/737/oj). 
Council Decision 2011/182/EU of 9 March 2011 concerning the renewal of the Agreement for scientific 
and technological cooperation between the European Community and Ukraine (OJ L 79, 25.3.2011, p. 
3, ELI: http://data.europa.eu/eli/dec/2011/182/oj).  
Council  Decision  (EU)  2015/344  of  17  February  2015  concerning  the  renewal  of  the  Agreement  on 
cooperation  in  science  and  technology  between  the  European  Community  and  Ukraine  (OJ  L  60, 
4.3.2015, p. 37, ELI: http://data.europa.eu/eli/dec/2015/344/oj). 
Council  Decision  (EU)  2020/788  of  9  June  2020  concerning  the  renewal  of  the  Agreement  on 
cooperation  in  science  and  technology  between  the  European  Community  and  Ukraine  (OJ  L  193, 
17.6.2020, p. 1, ELI: http://data.europa.eu/eli/dec/2020/788/oj). 

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• 

Consistency with existing policy provisions in the policy area 

This  initiative  is  fully  in  line  with  with  the  Commission’s  Communication  on  the  Global 
Approach to Research and Innovation7.  

The Agreement is also a means of implementing the EU’s international cooperation strategy 
for  research  and  innovation,  which  calls  for  more  internationalisation  and  openness  in  the 
EU’s research and innovation landscape. 

This  Agreement  is  complemented  by  the  Horizon  Europe  Association  Agreement,  which 
focuses  specifically  on  the  terms  and  conditions  of  Ukrainian  participation  in  the  Horizon 
Europe  and  the  Euratom  Research  and  Training  Programmes8  The  renewal  of  this  S&T 
Agreement  would  allow  to  keep  the  general  overarching  legal  framework  for  bilateral  STI 
cooperation  and  would  send  another  political  signal  about  the  importance,  which  the  EU 
attaches to cooperation with Ukraine on science and technology. 

• 

Consistency with other Union policies 

The European Council Conclusions from 23 – 24 June 2022 reiterated the strong support for 
Ukraine amidst the ongoing conflict with Russia and the commitment to continue to support 
Ukraine’s overall economic, social and financial resilience. Likewise, actions to support and 
strengthen Ukraine’s research and innovation ecosytem are set out in the Ukraine Plan of the 
Ukraine Facility, which  was approved by the Council  Implementing  Decision  2024/1447  of 
14 May 2024. This  Agreement establishes a basis for continued scientific and technological 
cooperation with Ukraine in support of these priorities.  

2. 

• 

LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY 

Legal basis 

The EU’s power to act internationally in research and technological development is based on 
Article  186  TFEU.  The  procedural  legal  basis  for  the  proposal  is  point  (a)(v)  of  the  second 
subparagraph of Article 218(6) TFEU. 

• 

Subsidiarity  

As per Article 4(3) TFEU, in the areas of research, technological development and space, the  
Union  has  competence  to  carry  out  activities,  in  particular  to  define  and  implement 
programmes;  however,  the  exercise  of  that  competence  shall  not  result  in  Member  States 
being prevented from exercising theirs.  

The purpose of the agreement is to encourage, develop and facilitate cooperative activities in 
the  fields  of  common  interest  in  science  and  technology  with  Ukraine  at  Union  level.  It 
includes  the  participation  of  Ukrainian  entities  in  Union  projects  under  the  Framework 
Programmes for Research and Innovation.   

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Communication on the Global Approach to Research and Innovation, COM(2021) 252.  
Agreement between the European Union and European Atomic Energy Community of the one part and 
Ukraine  of  the  other  part,  on  the  participation  of  Ukraine  in  Horizon  Europe  –  the  Framework 
Programme  for  Research  and  Innovation  and  the  Research  and  Training  Programme  of the  European 
Atomic Energy Community (2021-2025) complementing Horizon Europe – the Framework Programme 
for  Research 
1,  ELI: 
http://data.europa.eu/eli/agree_internation/2022/323(1)/oj)  

Innovation,  C/2021/7264, 

23.3.2022, 

(OJ  L 

and 

95, 

p. 

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No bilateral agreement between a Member State and a third country can achieve the effect of 
establishing  cooperation  at  Union  level  with  a  third  country  in  the  fields  of  research  and 
technology development.  

3. 

• 

RESULTS 
CONSULTATIONS AND IMPACT ASSESSMENTS 

EX-POST 

EVALUATIONS, 

OF 

STAKEHOLDER 

Regulatory fitness and simplification 

This initiative is not part of the Commission's regulatory fitness and performance programme 
(REFIT). REFIT applies only in cases where legislative proposals are set to change existing 
EU laws and where regulatory costs arise. 

4. 

BUDGETARY IMPLICATIONS 

This initiative does not require human or administrative resources as set out in the legislative 
financial statement. 

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

–  approves,  on  behalf  of  the  Union,  and  with  the  consent  of  the  European  Parliament,  the 
renewal  of  the  Agreement  on  cooperation  in  science  and  technology  between  the  European 
Community  and  Ukraine,  for  an  additional  period  of  five  years  (i.e.  from  08/11/2024  until 
08/11/2029). 

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2024/0240 (NLE) 

Proposal for a 

COUNCIL DECISION 

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

THE COUNCIL OF THE EUROPEAN UNION, 

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

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

Whereas: 

(1) 

(2) 

(3) 

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

Point  (b)  of  Article  12  of  the  Agreement  provided  that  the  Agreement  would  be 
concluded for an initial period ending on 31 December 2002 and would be renewable 
by  common  agreement  between  the  Union  and  Ukraine  (‘the  Parties’)  for  additional 
periods of five years.  
On  the  basis  of  the  Council  Decision  2003/737/EC4,  the  Agreement  was  thereby 
renewed on 22 September 2003 for an additional period of five years. Furthermore,  on 
the  basis  of  Council  Decisions  2011/182/EU5,  (EU)  2015/3446  and  (EU)  2020/7887, 
the Agreement was renewed for subsequent five-year periods, with a retroactive effect 
as of 8 November 2009, 8 November 2014 and 8 November 2019, respectively. The 
last  renewal expires on 8 November 2024. 

OJ C , , p. . 
Council Decision 2003/96/EC of 6 of February 2003 concerning the conclusion of the Agreement for 
scientific and technological cooperation between the European Community and Ukraine (OJ L 36, 
12.2.2003, p. 31). 
Agreement on cooperation in science and technology between the European Community and Ukraine 
(OJ L 36, 12.2.2003, p. 32-39). 
Council  Decision  2003/737/EC  of  22  September  2003  concerning  the  conclusion  of  an  Agreement 
renewing the Agreement on cooperation in science and technology between the European Community 
and Ukraine (OJ L 267, 17.10.2003, p. 24).    
Council Decision 2011/182/EU of 9 March 2011 concerning the renewal of the Agreement for scientific 
and technological cooperation between the European Community and Ukraine (OJ L 79, 25.3.2011, p. 
3). 
Council Decision (EU) 2015/344 of 17 February 2015 concerning the renewal of the Agreement on 
cooperation in science and technology between the European Community and Ukraine (OJ L 60, 
4.3.2015, p. 37). 
Council  Decision  (EU)  2020/788  of  9  June  2020  concerning  the  renewal  of  the  Agreement  on 
cooperation  in  science  and  technology  between  the  European  Community  and  Ukraine  (OJ  L  193, 
17.6.2020, p. 1). 

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(4) 

(5) 

(6) 

(7) 

is  an 

important  science, 

Ukraine 
the 
neighbourhood of the Union. In order to continue facilitating cooperation in common 
science  and  technology  priority  areas  both  Parties  consider  that  the  renewal  of  the 
Agreement would be in their mutual interest.  

innovation  actor 

technology  and 

in 

Both Parties confirmed their intention to renew the Agreement for an additional period 
of  five  years.  The  content  of  the  renewed  Agreement  should  remain  identical  to  the 
content  of  the  Agreement.  For  the  purpose  of  ensuring  continuity  of  the  Agreement, 
the renewal should become  effective as of 8 November 2024. 

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

The Commission will proceed, on behalf of the Union, in order to express the consent 
of the Union to renew the Agreement, 

HAS ADOPTED THIS DECISION:  

Article 1 

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

[The renewal of the Agreement shall have effect as of 8 November 2024.] 

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

Article 2 

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

Article 3 

Done at Brussels, 

For the Council 
The President 

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LEGISLATIVE FINANCIAL STATEMENT 

Contents 

1. 

• 

• 

2. 

• 

• 

3. 

• 

4. 

1. 

1.1. 

1.2. 

1.3. 

1.4. 

CONTEXT OF THE PROPOSAL ............................................................................... 1 

Reasons for and objectives of the proposal .................................................................. 1 

Consistency with existing policy provisions in the policy area ................................... 1 

LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY ............................... 2 

Legal basis .................................................................................................................... 2 

Subsidiarity (for non-exclusive competence)............................................................... 2 

RESULTS OF EX-POST EVALUATIONS, STAKEHOLDER CONSULTATIONS 
AND IMPACT ASSESSMENTS ................................................................................ 2 

Regulatory fitness and simplification .......................................................................... 2 

BUDGETARY IMPLICATIONS ................................................................................ 2 

FRAMEWORK OF THE PROPOSAL/INITIATIVE ................................................. 3 

Title of the proposal/initiative ...................................................................................... 3 

Policy area(s) concerned .............................................................................................. 3 

The proposal/initiative relates to: ................................................................................. 3 

Objective(s) .................................................................................................................. 3 

1.4.1.  General objective(s) ..................................................................................................... 3 

The present initiative will allow both Parties to improve and intensify their cooperation in 

scientific and technological areas of common interest ................................................ 3 

1.4.2.  Specific objective(s) ..................................................................................................... 3 

1.4.3.  Expected result(s) and impact ...................................................................................... 3 

1.4.4. 

Indicators of performance ............................................................................................ 3 

1.5. 

Grounds for the proposal/initiative .............................................................................. 4 

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 ............................................................ 4 

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. ................................................................. 4 

1.5.3.  Lessons learned from similar experiences in the past .................................................. 4 

1.5.4.  Compatibility with the Multiannual Financial Framework and possible synergies 

with other appropriate instruments............................................................................... 4 

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

redeployment ................................................................................................................ 4 

1.6. 

1.7. 

Duration and financial impact of the proposal/initiative ............................................. 5 

Method(s) of budget implementation planned ............................................................. 5 

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2. 

2.1. 

2.2. 

2.2.1. 

2.2.2. 

MANAGEMENT MEASURES................................................................................... 6 

Monitoring and reporting rules .................................................................................... 6 

Management and control system(s) ............................................................................. 6 

Justification of the management mode(s), the funding implementation mechanism(s), 
the payment modalities and the control strategy proposed .......................................... 6 

Information concerning the risks identified and the internal control system(s) set up 
to mitigate them............................................................................................................ 6 

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) .................................................................... 6 

2.3. 

3. 

3.1. 

Measures to prevent fraud and irregularities ................................................................ 6 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE .............. 8 

Heading(s) of the multiannual financial framework and expenditure budget line(s) 
affected ......................................................................................................................... 8 

3.2. 

Estimated financial impact of the proposal on appropriations ..................................... 9 

3.2.1.  Summary of estimated impact on operational appropriations...................................... 9 

3.2.2.  Estimated output funded with operational appropriations ......................................... 12 

3.2.3.  Summary of estimated impact on administrative appropriations ............................... 13 

3.2.4.  Compatibility with the current multiannual financial framework.............................. 15 

3.2.5.  Third-party contributions ........................................................................................... 15 

3.3. 

Estimated impact on revenue ..................................................................................... 16 

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1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative 

Proposal  for  a  Council  Decision  concerning  the  renewal  of  the  Agreement  on 
cooperation  in  science  and  technology  between  the  European  Community  and 
Ukraine 

1.2. 

Policy area(s) concerned  

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

1.3. 

The proposal/initiative relates to:  

 a new action  

 a new action following a pilot project/preparatory action16  

 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 No 4.1 

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

1.4.3.  Expected result(s) and impact 

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

This decision will allow both the EU and Ukraine to mutually gain benefit from the 
scientific and technical progress achieved through ongoing cooperation activities. It 
will  allow  for  exchange  of  specific  knowledge  and  transfer  of  know-how  to  the 
benefit of the scientific community, industry and citizens of both Parties. 

1.4.4. 

Indicators of performance 

Specify the indicators for monitoring progress and achievements. 

The Commission will regularly monitor all actions carried out under the Agreement, 
including  cooperation  activities.  This  evaluation  will  cover,  among  others,  the 
following points: 

a) participation indicators – analysis of the number and type of participation of 
Ukrainian  entities  in  the  EU  framework  programmes  (e.g.  number  of  proposals, 

16 

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

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

Baseline: 223 participations (in Horizon Europe by 27.06.2024)  

Target: > 336 participations (participation targeted to be higher than the success rate 
in Horizon 2020, which was 336)  

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

Baseline: 17.00% (in Horizon Europe as of 27.06.2024) 

Target: > 9.33% success rate (success rate targeted to be higher than the success rate 
in Horizon 2020, which was 9.33%)  

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  EU  and  the  Ukraine  has  been 
intensifying steadily over the past years, despite Russia’s ongoing war of aggression 
against  Ukraine.  The  involvement  of  the  EU  allows  for  activities  with  larger  scale 
and scope for the benefit of all Member States. The renewal of the Agreement will 
allow the EU and Ukraine to have better access to scientific knowledge produced in 
the EU and Ukraine respectively and to engage in more cooperation activities leading 
to additional exchange of knowledge and technologies.  

1.5.3.  Lessons learned from similar experiences in the past 

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

1.5.4.  Compatibility  with  the  Multiannual  Financial  Framework  and  possible  synergies 

with other appropriate instruments 

The renewal of the Agreement with the Ukraine is considered to be fully consistent 
with  the  overall  policy  framework  on  international  cooperation  in  research  and 
innovation (COM(2012) 497).  

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

redeployment 

N/A 

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1.6. 

Duration and financial impact of the proposal/initiative 

 limited duration  

–    in effect from [08/11/2024] to [08/11/2029]  

–    Financial  impact  from  YYYY  to  YYYY  for  commitment  appropriations  and 

from YYYY to YYYY for payment appropriations.  

 unlimited duration 

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

–  followed by full-scale operation. 

1.7.  Method(s) of budget implementation planned  

 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 are provided with 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  are  provided  with 
adequate financial guarantees; 

–   bodies or 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. 

Cooperative  activities  under  the  Agreement  will  be  regularly  followed  through 
meetings of the Joint Committee established under its Article 6. 

2.2.  Management and control system(s)  

2.2.1. 

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

The  management  and  control  of  cooperation  under  the  Science  &  Technology 
agreement  will  be  conducted  through  meetings  of  the  Joint  Committee  established 
under Article 6 of the Agreement.  

2.2.2. 

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

Joint  Committee  meetings  and  bilateral  contacts  take  place  on  a  regular  basis 
allowing  for  the  systematic  sharing  of  information  and  control  therupon.  No  risks 
have been identified in the control system. 

2.2.3.  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, e.g. from the Anti-Fraud Strategy. 

When  the  implementation  of  the  current  Union  Framework  Programme  for  R&I 
(Horizon Europe) calls for the use of external contractors or entails granting financial 
contribution  to  third  parties,  the  Commission  will  carry  out,  where  appropriate, 
financial  audits,  in  particular  if  it  has  reason  to  doubt  the  realistic  nature  of  work 
performed or described in the activity reports. 

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

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

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

- the insertion of specific clauses in the contracts to protect the financial interests of 
the EU in carrying out checks and controls in relation to the work performed;  

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-  the  carrying  out  of  administrative  checks  as  part  of  anti-fraud  measures,  in 
accordance with Regulations No 2185/96, No 1073/1999 and No 1074/1999; 

-  the  application  of  administrative  penalties  for  all  intentional  or  negligent 
irregularities  in  the  implementation  of  the  contracts,  in  accordance  with  the 
Framework Regulation No 2988/95, including a blacklisting mechanism; 

-  the  fact  that  any  recovery  orders  in  the  event  of  irregularities  and  fraud  must  be 
enforceable  according  to  Article  299  of  the  Treaty  on  the  Functioning  of  the 
European Union. 

In  addition  and  as  a  routine  measure,  a  programme  of  checks  on  scientific  and 
budgetary  aspects  of  cooperation  will  be  carried  out  by  the  staff  responsible  in  the 
Directorate–General  for  Research and  Innovation (DG R&I).  An internal  audit will 
be  carried  out  by  the  Internal  Audit  unit  of  DG  R&I,  and  local  inspections  will  be 
carried out by the European Court of Auditors. 

EN 

7 

  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 

N/A 

Diff./Non-
diff. 

from 
EFTA 
countries 

from 
candidate 
countries 
and 
potential 
candidates 

fromother 
third 
countries 

other assigned 
revenue 

YES/NO  YES/NO  YES/NO 

YES/NO 

•  New budget lines requested  

In order of multiannual financial framework headings and budget lines. 

Heading of 
multiannual 
financial 
framework 

Number  

N/A 

Budget line 

Type of 
expenditure 

Diff./Non-
diff. 

from 
EFTA 
countries 

Contribution  

from 
candidate 
countries 
and 
potential 
candidates 

from  
other 
third 
countries 

other assigned 
revenue  

YES/NO  YES/NO  YES/NO 

YES/NO 

EN 

8 

  EN 

 
 
 
 
 
 
 
 
3.2. 

Estimated financial 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 

EUR million (to three decimal places) 

Year 
2024 

Year 
2025 

Year 
2026 

Year 
2027 

Year 
2028 

Year 
2029 

TOTAL 

DG: RTD 

 Operational appropriations  

Budget line 

Budget line 

Commitments 

Payments 

Commitments 

Payments 

(1a) 

(2a) 

(1b) 

(2b) 

Appropriations  of  an  administrative  nature  financed  from  the 
envelope of specific programmes  
Budget line 

(3) 

TOTAL appropriations 
for DG RTD 

Commitments 

=1a+1b +3 

Payments 

=2a+2b 

+3 

 TOTAL operational appropriations  

Commitments 

Payments 

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

(4) 

(5) 

(6) 

EN 

9 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
TOTAL appropriations  
under HEADING 1 
of the multiannual financial 
framework 

Commitments 

=4+ 6 

Payments 

=5+ 6 

If more than one operational heading is affected by the proposal / initiative, repeat the section above: 

 TOTAL operational appropriations 
(all operational headings) 

Commitments 

Payments 

 TOTAL  appropriations  of  an  administrative  nature 
financed from  the envelope for  specific programmes 
(all operational headings) 

(4) 

(5) 

(6) 

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

Commitments 

=4+ 6 

Payments 

=5+ 6 

EN 

10 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial  
framework  

7 

‘Administrative expenditure’ 

This section should be filled in using the 'budget data of an administrative nature' to be firstly introduced in the Annex to the Legislative 
Financial Statement (Annex 5 to the Commission decision on the internal rules for the implementation of the Commission section of the general 
budget of the European Union), which is uploaded to DECIDE for interservice consultation purposes. 

Year 
2024 

Year 
2025 

Year 
2026 

Year 
2027 

Year 
2028 

Year 
2029 

TOTAL 

EUR million (to three decimal places) 

DG: RTD 

 Human resources  
 Other administrative expenditure  

TOTAL DG RTD 

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  

Commitments 

Payments 

Year 
2024 

Year 
2025 

Year 
2026 

Year 
2027 

Year 
2028 

Year 
2029 

TOTAL 

EUR million (to three decimal places) 

EN 

11 

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  

 

Type17 

Avera
ge 
cost 

SPECIFIC OBJECTIVE No 118… 

- Output 

- Output 

- Output 

Subtotal for specific objective No 1 

SPECIFIC OBJECTIVE No 2 ... 

- Output 

Subtotal for specific objective No 2 

TOTALS 

17 
18 

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 

12 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.2.3. 

Summary of estimated impact on administrative appropriations  

–    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 
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 

HEADING 7 
of the multiannual 
financial framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 7 
of the multiannual 
financial framework  

Outside HEADING 719 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 7 
of the multiannual 
financial framework  

TOTAL 

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. 

19 

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 

13 

  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 
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) 

 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) 

Other budget lines (specify) 

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

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

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

1.1. 

XX 01  xx yy 
zz   

- 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. 

The human resources required will be met by staff from the DG who are already assigned to management of the 
action  and/or  have  been  redeployed  within  the  DG,  together  if  necessary  with  any  additional  allocation  which 
may  be  granted  to  the  managing  DG  under  the  annual  allocation  procedure  and  in  the  light  of  budgetary 
constraints. 

Description of tasks to be carried out: 

Officials and temporary staff 

External staff 

EN 

14 

  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 

–    provides for the co-financing by third parties 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 

15 

  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 other revenue 

– 

please indicate, if the revenue is assigned to expenditure lines  

Appropriations 
available for 
the current 
financial year 

Budget revenue line: 

Article …………. 

     EUR million (to three decimal places) 

Impact of the proposal/initiative 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

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

For 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). 

EN 

16 

  EN