Source: EURLEX
Language: en
Format: md

![european flag](./../../../images/eclogo.jpg)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](#footnote1)
 (‘the Agreement’) was signed in Copenhagen on 4 July 2002 and was concluded originally until 31 December 2002
[2](#footnote2)
. 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 2003
[3](#footnote3)
, 2011
[4](#footnote4)
, 2015
[5](#footnote5)
 and 2020
[6](#footnote6)
.

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.

•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 Innovation
[7](#footnote7)
.

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 Programmes
[8](#footnote8)
 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.

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 OF EX-POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS

•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).

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 Parliament
[9](#footnote9)
,

Whereas:

(1)By Decision 2003/96/EC
[10](#footnote10)
 of 6 February 2003, the Council approved the conclusion of the Agreement on cooperation in science and technology between the European Community and Ukraine
[11](#footnote11)
 (‘the Agreement’). The Agreement was signed in Copenhagen on 4 July 2002 and entered into force on 11 February 2003.

(2)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.

(3)On the basis of the Council Decision 2003/737/EC
[12](#footnote12)
, 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/EU
[13](#footnote13)
, (EU) 2015/344
[14](#footnote14)
 and (EU) 2020/788
[15](#footnote15)
, 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.

(4)Ukraine is an important science, technology and innovation actor in 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.

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

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

(7)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.]

Article 2

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

Article 3

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

Done at Brussels,

For the Council

   The President

LEGISLATIVE FINANCIAL STATEMENT

Contents

1.CONTEXT OF THE PROPOSAL

•Reasons for and objectives of the proposal

•Consistency with existing policy provisions in the policy area

2.LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY

•Legal basis

•Subsidiarity (for non-exclusive competence)

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

•Regulatory fitness and simplification

4.BUDGETARY IMPLICATIONS

1.FRAMEWORK OF THE PROPOSAL/INITIATIVE

1.1.Title of the proposal/initiative

1.2.Policy area(s) concerned

1.3.The proposal/initiative relates to:

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)

1.4.3.Expected result(s) and impact

1.4.4.Indicators of performance

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

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.

1.5.3.Lessons learned from similar experiences in the past

1.5.4.Compatibility with the Multiannual Financial Framework and possible synergies with other appropriate instruments

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

1.6.Duration and financial impact of the proposal/initiative

1.7.Method(s) of budget implementation planned

2.MANAGEMENT MEASURES

2.1.Monitoring and reporting rules

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

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

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)

2.3.Measures to prevent fraud and irregularities

3.ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE

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

3.2.Estimated financial impact of the proposal on appropriations

3.2.1.Summary of estimated impact on operational appropriations

3.2.2.Estimated output funded with operational appropriations

3.2.3.Summary of estimated impact on administrative appropriations

3.2.4.Compatibility with the current multiannual financial framework

3.2.5.Third-party contributions

3.3.Estimated impact on revenue

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 action
[16](#footnote16)
 

☑ 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, 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

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

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;

- 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.

3.ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE 

3.1.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.

|  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- |
| Heading of multiannual financial framework | Budget line | Type of    expenditure | Contribution | | | |
|  | Heading 1 - Single Market, Innovation and Digital | Diff./Non-diff. | from EFTA countries | from candidate countries and potential candidates | fromother third countries | other assigned revenue |
|  | N/A |  | 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 | Budget line | Type of   expenditure | Contribution | | | |
|  | Number | Diff./Non-diff. | from EFTA countries | from candidate countries and potential candidates | from other third countries | other assigned revenue |
|  | N/A |  | YES/NO | YES/NO | YES/NO | YES/NO |

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:

EUR million (to three decimal places)

|  |  |  |
| --- | --- | --- |
| Heading of multiannual financial    framework | 1 | Single Market, Innovation and Digital |

|  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| DG: RTD |  |  | Year   2024 | Year   2025 | Year   2026 | Year   2027 | Year   2028 | Year   2029 | TOTAL |
| • Operational appropriations | | |  |  |  |  |  |  |  |
| Budget line | Commitments | (1a) |  |  |  |  |  |  |  |
|  | Payments | (2a) |  |  |  |  |  |  |  |
| Budget line | Commitments | (1b) |  |  |  |  |  |  |  |
|  | Payments | (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 | (4) |  |  |  |  |  |  |  |
|  | Payments | (5) |  |  |  |  |  |  |  |
| • TOTAL appropriations of an administrative nature financed from the envelope for specific programmes | | (6) |  |  |  |  |  |  |  |
| 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 | (4) |  |  |  |  |  |  |  |
|  | Payments | (5) |  |  |  |  |  |  |  |
| TOTAL appropriations of an administrative nature financed from the envelope for specific programmes (all operational headings) | | (6) |  |  |  |  |  |  |  |
| TOTAL appropriations    under HEADINGS 1 to 6  of the multiannual financial framework   (Reference amount) | Commitments | =4+ 6 |  |  |  |  |  |  |  |
|  | Payments | =5+ 6 |  |  |  |  |  |  |  |

  

|  |  |  |
| --- | --- | --- |
| 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](https://myintracomm.ec.europa.eu/corp/budget/financial-rules/legal-framework/internal-rules/Documents/2022-5-legislative-financial-statement-annex-en.docx)
 (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.

EUR million (to three decimal places)

|  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
|  |  |  | Year   2024 | Year   2025 | Year   2026 | Year   2027 | Year   2028 | Year   2029 | TOTAL |
| 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) |  |  |  |  |  |  |  |

EUR million (to three decimal places)

|  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
|  |  |  | Year   2024 | Year   2025 | Year   2026 | Year   2027 | Year   2028 | | Year   2029 | | TOTAL |
| TOTAL appropriations    under HEADINGS 1 to 7  of the multiannual financial framework | Commitments | |  |  |  |  |  |  | |  | |
|  | Payments | |  |  |  |  |  |  | |  | |

3.2.2.Estimated output funded with operational appropriations 

Commitment appropriations in EUR million (to three decimal places)

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Indicate objectives and outputs    ⇩ |  |  | 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 | |
|  | OUTPUTS | | | | | | | | | | | | | | | | | | |
|  | Type [17](#footnote17) | Average cost | No | Cost | No | Cost | No | Cost | No | Cost | | No | Cost | No | Cost | No | Cost | Total No | Total cost |
| SPECIFIC OBJECTIVE No 1 [18](#footnote18) … | | |  |  |  |  |  |  |  |  | |  |  |  |  |  |  |  |  |
| - Output |  |  |  |  |  |  |  |  |  |  | |  |  |  |  |  |  |  |  |
| - Output |  |  |  |  |  |  |  |  |  |  | |  |  |  |  |  |  |  |  |
| - Output |  |  |  |  |  |  |  |  |  |  | |  |  |  |  |  |  |  |  |
| Subtotal for specific objective No 1 | | |  |  |  |  |  |  |  |  | |  |  |  |  |  |  |  |  |
| SPECIFIC OBJECTIVE No 2 ... | | |  |  |  |  |  |  |  |  | |  |  |  |  |  |  |  |  |
| - Output |  |  |  |  |  |  |  |  |  |  | |  |  |  |  |  |  |  |  |
| Subtotal for specific objective No 2 | | |  |  |  |  |  |  |  | |  |  |  |  |  |  |  |  |  |
| TOTALS | | |  |  |  |  |  |  |  |  | |  |  |  |  |  |  |  |  |

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 7 [19](#footnote19)   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.

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 |  |

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 |  |  |  |  |  |  |  |  |

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 ◻
   

EUR million (to three decimal places)

|  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Budget revenue line: | Appropriations available for the current financial year | 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) | | |
| Article …………. |  |  |  |  |  |  |  |  |

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).

:   [(1)](#footnoteref1)
       OJ L 036, 12.02.2003, p. 32, 
    <http://data.europa.eu/eli/agree_internation/2003/96/oj>
     .
:   [(2)](#footnoteref2)
       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>
     ).
:   [(3)](#footnoteref3)
       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>
    ).
:   [(4)](#footnoteref4)
       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>
    ).
:   [(5)](#footnoteref5)
       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>
    ).
:   [(6)](#footnoteref6)
       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>
    ).
:   [(7)](#footnoteref7)
       Communication on the Global Approach to Research and Innovation, COM(2021) 252.
:   [(8)](#footnoteref8)
       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 and Innovation, C/2021/7264, (OJ L 95, 23.3.2022, p. 1, ELI: 
    <http://data.europa.eu/eli/agree_internation/2022/323(1)/oj>
    )
:   [(9)](#footnoteref9)
       OJ C , , p. .
:   [(10)](#footnoteref10)
       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).
:   [(11)](#footnoteref11)
       Agreement on cooperation in science and technology between the European Community and Ukraine (OJ L 36, 12.2.2003, p. 32-39).
:   [(12)](#footnoteref12)
       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).
:   [(13)](#footnoteref13)
       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).
:   [(14)](#footnoteref14)
       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).
:   [(15)](#footnoteref15)
       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).
:   [(16)](#footnoteref16)
       As referred to in Article 58(2)(a) or (b) of the Financial Regulation.
:   [(17)](#footnoteref17)
       Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.).
:   [(18)](#footnoteref18)
       As described in point 1.4.2. ‘Specific objective(s)…’
:   [(19)](#footnoteref19)
       Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research.

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