Source: EURLEX
Language: en
Format: md

**Council of the**
**European Union**

**Interinstitutional File:**

**2020/0015(NLE)**

**PROPOSAL**

**Brussels, 30 January 2020**
**(OR. en)**

**5657/20**

**RECH 18**
**ASIE 8**

From: Secretary-General of the European Commission,
signed by Mr Jordi AYET PUIGARNAU, Director

date of receipt: 30 January 2020

To: Mr Jeppe TRANHOLM-MIKKELSEN, Secretary-General of the Council of
the European Union

No. Cion doc.: COM(2020) 29 final

Subject: Proposal for a COUNCIL DECISION on the renewal of the Agreement for
scientific and technological cooperation between the European Community
and the Government of the Republic of India

Delegations will find attached document COM(2020) 29 final.

Encl.: COM(2020) 29 final

5657/20 MI/lv

#### ECOMP.3.B. EN

EUROPEAN

COMMISSION

Brussels, 30.1.2020
COM(2020) 29 final

2020/0015 (NLE)

Proposal for a

**COUNCIL DECISION**

**on the renewal of the Agreement for scientific and technological cooperation between**

**the European Community and the Government of the Republic of India**

### **EN EN**

**EXPLANATORY MEMORANDUM**

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

**•** **Reasons for and objectives of the proposal**

The 'Agreement for scientific and technological cooperation between the European
Community and the Government of the Republic of India' [1] ('the Agreement') was signed in
New Delhi on 23 November 2001 and entered into force on 14 October 2002. Article 11(b)
provides that 'This Agreement shall be concluded for a period of five years and may be
renewed by mutual agreement between the Parties after evaluation during the last year of the
aforementioned period'. The Agreement has been renewed twice so far; the Council approved
the renewal in 2009 [2] and in 2015 [3] for an additional period of 5 years each time.

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

The evaluation carried out by the Commission clearly demonstrates that the Agreement
provides an important framework for conducting and facilitating cooperation between the EU
and India in common S&T priority areas leading to mutual benefits. In the past years, under
the Horizon 2020 Programme [4], a joint call on water resulted in 7 selected projects for a total
of EUR 30M with the Department of Science and Technology (DST) and the Department of
Biotechnology (DBT); a joint call on new generation vaccines with DBT for a total of EUR
30M resulted in 3 selected projects; two innovation initiatives were launched: an incubators
network and an innovation platform, resulting on more than 20 innovation partnerships among
its participants. In addition, an Implementing Arrangement between the Science and
Engineering Research Board (SERB) and the European Commission was signed to facilitate
mobility of Indian researchers to European Research Council grantees teams. Finally, two cofunding mechanisms were set up by DBT and the Ministry of Earth Science (MoES) to fund
succesful Indian participants in more than 50 Horizon 2020 calls.

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

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

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

1 OJ L213, 09.08.2002, p. 30.
2 Council Decision 2009/501/EC (OJ L 171, 01.07.2009, p. 17).
3 Council Decision 2015/1788/EU (OJ L 260, 07.10.2015, p. 18).
4 Regulation (EU) No 1291/2013 of the European Parliament and of the Council of 11 December 2013

—
establishing Horizon 2020 the Framework Programme for Research and Innovation (2014-2020) and
repealing Decision No 1982/2006/EC (OJ L 347, 20.12.2013, p. 104).

### EN 1 EN

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

The substance of the renewed Agreement will be identical to that of the current Agreement, as
discussed and agreed with the Indian counterparts. It will not create new rights and
obligations for the EU, but instead it will extend in time the legal regime already existing
between the Parties in the field of S&T cooperation.

**•** **Consistency with existing policy provisions in the policy area**

This initiative is fully in line with the EU’s international cooperation strategy for R&I [5] . The
EU’s strategy clearly states the importance of science & technology agreements as vehicles
for defining and implementing multiannual roadmaps for cooperation with non-EU countries.
The Agreement is also a means of implementing the EU’s international cooperation strategy
for R&I, which calls for more internationalisation and openness in the EU’s R&I landscape.

**•** **Consistency with other Union policies**

The Agreement is instrumental in fulfilling the objectives of the EU Strategy on India [6] to
jointly tackling global challenges, supporting India’s sustainable modernisation, opening
business opportunities and increasing scientific excellence and competitiveness. [7]

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

**•** **Legal basis**

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

**•** **Subsidiarity (for non-exclusive competence)**

The EU and its Members States have parallel competence in the area of research and
technological development in accordance with Article 4(3) TFEU. The objectives of scientific
and technological international cooperation can be better achieved at EU’s level considering
the global challenges. Also the Union is best placed to play a leading role in promoting common
principles for the conduct of international research and innovation activities in order to create a
level playing field in which researchers and innovators from across the globe feel confident to
engage with each other. Therefore it’s preferable for the EU to take action in the area of
research and technogical development. At the same time the Union's international cooperation
activities and those of the Member States need to be consistent and complement each other.

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

5
_Enhancing and focusing EU international cooperation in research and innovation: a strategic approach_,

COM(2012) 497.
6 Joint Communication to the European Parliament and the Council JOIN(2018) 28 - ‘Elements for an EU

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

### EN 2 EN

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

**•** **Regulatory fitness and simplification**

This initiative is not part of the REFIT agenda.

**4.** **BUDGETARY** **IMPLICATIONS**

Only human and administrative resources are required; these are set out in the legislative
financial statement.

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

    - approves, on behalf of the Union, and with the consent of the European Parliament, the
renewal of the 'Agreement for scientific and technological cooperation between the European
Community and the Government of the Republic of India', for an additional period of five
years (i.e., from 17.05.2020 until 16/05/2025)

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

### EN 3 EN

2020/0015 (NLE)

Proposal for a

**COUNCIL DECISION**

**on the renewal of the Agreement for scientific and technological cooperation between**

**the European Community and the Government of the Republic of India**

THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the European Commission,

Having regard to the consent of the European Parliament [8],

Whereas:

(1) By Decision 2002/648/EC [9], the Council approved the conclusion of the Agreement for
scientific and technological cooperation between the European Community and the
Government of the Republic of India (‘the Agreement’) [10] . The Agreement was signed
in New Delhi on 23 November 2001 and entered into force on 14 October 2002.

(2) In accordance with point (b) of Article 11 of the Agreement, the Agreement is
concluded for a period of five years and may be renewed by mutual agreement
between the Parties after evaluation during the last year of the five year period.

(3) By Decisions 2009/501/EC [11], 2015/1788/EU [12] the Council approved the renewal of
the Agreement for an additional period of five years each time. The current Agreement
is due to expire on 17 May 2020.

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

years.

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

of five years without any amendments to the Agreement.

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

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

### EN 4 EN

HAS ADOPTED THIS DECISION:

_Article 1_

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

_Article 2_

The President of the Council shall designate the person(s) empowered to notify the
Government of the Republic of India, on behalf of the Union, that the Union has completed its
internal procedures necessary for the renewal of the Agreement in accordance with point (b)
of Article 11 of the Agreement.

_Article 3_

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

Done at Brussels,

_For the Council_

_The President_

### EN 5 EN

**LEGISLATIVE FINANCIAL STATEMENT**

**1.** **FRAMEWORK** **OF** **THE** **PROPOSAL/INITIATIVE**

1.1. Title of the proposal/initiative

1.2. Policy area(s) concerned in the ABM/ABB structure

1.3. Nature of the proposal/initiative

1.4. Objective(s)

1.5. Grounds for the proposal/initiative

1.6. Duration and financial impact

1.7. Management mode(s) planned

**2.** **MANAGEMENT** **MEASURES**

2.1. Monitoring and reporting rules

2.2. Management and control system

2.3. Measures to prevent fraud and irregularities

**3.** **ESTIMATED** **FINANCIAL** **IMPACT** **OF** **THE** **PROPOSAL/INITIATIVE**

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

3.2. Estimated impact on expenditure

_3.2.1. Summary of estimated impact on expenditure_

_3.2.2. Estimated impact on operational appropriations_

_3.2.3. Estimated impact on appropriations of an administrative nature_

_3.2.4. Compatibility with the current multiannual financial framework_

_3.2.5. Third-party contributions_

3.3. Estimated impact on revenue

### EN 6 EN

**LEGISLATIVE FINANCIAL STATEMENT**

**1.** **FRAMEWORK** **OF** **THE** **PROPOSAL/INITIATIVE**

**1.1.** **Title of the proposal/initiative**

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

**1.2.** **Policy area(s) concerned in the ABM/ABB structure** **[13]**

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

**1.3.** **Nature of the proposal/initiative**

 The proposal/initiative relates to **a new action**

 The proposal/initiative relates to **a new action following a pilot**
**project/preparatory action**

 The proposal/initiative relates to **the extension of an existing action**

 The proposal/initiative relates to **an action redirected towards a new action**

**1.4.** **Objective(s)**

_1.4.1._ _The_ _Commission's_ _multiannual_ _strategic_ _objective(s)_ _targeted_ _by_ _the_
_proposal/initiative_

The present initiative will allow both Parties to improve and intensify their
cooperation in scientific and technological areas of common interest in line with the
EU Strategy on India.

_1.4.2._ _Specific objective(s) and ABM/ABB activity(ies) concerned_

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

### EN 7 EN

_1.4.3._ _Expected result(s) and impact_

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

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

_1.4.4._ _Indicators of results and impact_

_Specify the indicators for monitoring implementation of the proposal/initiative._

The Commission will regularly monitor all actions carried out under the Agreement,
which will include a review by the Union. This review will cover, among others, the
following points:

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

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

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

**1.5.** **Grounds for the proposal/initiative**

_1.5.1._ _Requirement(s) to be met in the short or long term_

This decision will allow the two Parties to continue to improve and intensify their
cooperation in scientific and technological areas for mutual benefit.

_1.5.2._ _Added value of EU involvement_

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

_1.5.3._ _Lessons learned from similar experiences in the past_

Based on the experience so far in scientific and technological cooperation, it is
considered mutually beneficial to continue research cooperation with India by
renewing the Agreement for a further period of 5 years.

### EN 8 EN

_1.5.4._ _Compatibility and possible synergy with other appropriate instruments_

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

**1.6.** **Duration and financial impact**

 Proposal/initiative of **limited duration**

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

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

 Proposal/initiative of **unlimited duration**

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

–
followed by full-scale operation.

**1.7.** **Management mode(s) planned** **[14 ]**

 **Direct management** by the Commission

–  by its departments, including by its staff in the Union delegations;

–  by the executive agencies

 **Shared management** with the Member States

 **Indirect management** by entrusting budget implementation tasks to:

–  third countries or the bodies they have designated;

–  international organisations and their agencies (to be specified);

–  the EIB and the European Investment Fund;

–  bodies referred to in Articles 208 and 209 of the Financial Regulation;

–  public law bodies;

–  bodies governed by private law with a public service mission to the extent that

they provide adequate financial guarantees;

–  bodies governed by the private law of a Member State that are entrusted with

the implementation of a public-private partnership and that provide adequate
financial guarantees;

–  persons entrusted with the implementation of specific actions in the CFSP

pursuant to Title V of the TEU, and identified in the relevant basic act.

–
_If more than one management mode is indicated, please provide details in the ‘Comments’ section._

Comments

14 Details of management modes and references to the Financial Regulation may be found on the
BudgWeb site: [http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html](http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html)

### EN 9 EN

**2.** **MANAGEMENT** **MEASURES**

**2.1.** **Monitoring and reporting rules**

_Specify frequency and conditions._

Participation of legal entities from India in the EU Framework Programme for
Research and Innovation and other cooperative activities under the Agreement will
be regularly followed through meetings of the Joint Committee established under
Art. 6 (b) of the Agreement.

**2.2.** **Management and control system**

_2.2.1._ _Risk(s) identified_

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

_2.2.2._ _Information concerning the internal control system set up_

N/A

_2.2.3._ _Estimate of the costs and benefits of the controls and assessment of the expected level_
_of risk of error_

N/A

**2.3.** **Measures to prevent fraud and irregularities**

_Specify existing or envisaged prevention and protection measures._

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

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

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

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

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

        - the carrying out of administrative checks as part of anti-fraud measures, in
accordance with Regulations No 2185/96 and No 883/2013;

### EN 10 EN

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

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

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

### EN 11 EN

**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 [15]

In order of multiannual financial framework headings and budget lines.

|Heading of<br>multiannual<br>financial<br>framework|Budget line|Type of<br>expenditure|Contribution|Col5|Col6|Col7|
|---|---|---|---|---|---|---|
|Heading of<br>multiannual<br>financial<br>framework|<br>Heading 1a– Competitiveness for growth and<br>jobs|Diff./Non-<br>diff.16|from<br>EFTA<br>countries<br>17 <br>|from<br>candidate<br>countries18 <br>|from third<br>countries|within the<br>meaning of<br>Article 21(2)(b) of<br>the Financial<br>Regulation|
|1a|**08.01.05.01**|Non-diff.|YES|YES|NO|NO|
|1a|**08.01.05.03**|Non-diff.|YES|YES|NO|NO|

    - New budget lines requested

_In order of multiannual financial framework headings and budget lines._

|Heading of<br>multiannual<br>financial<br>framework|Budget line|Type of<br>expenditure|Contribution|Col5|Col6|Col7|
|---|---|---|---|---|---|---|
|Heading of<br>multiannual<br>financial<br>framework|Number <br>[Heading……………………………………<br>…]|Diff./Non-<br>diff.|from<br>EFTA<br>countries|from<br>candidate<br>countries|from third<br>countries|within the<br>meaning of<br>Article 21(2)(b) of<br>the Financial<br>Regulation|
||[XX.YY.YY.YY]<br>||YES/N<br>O|YES/NO|YES/N<br>O|YES/NO|

15 Appropriations for the period 2021-2024 (Multiannual Financial Framework 2021-2027) and related
legal basis are still to be adopted by the European Parliament and Council.
16 Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations.
17 EFTA: European Free Trade Association.
18 Candidate countries and, where applicable, potential candidate countries from the Western Balkans.

### EN 12 EN

**3.2.** **Estimated impact on expenditure**

_3.2.1._ _Summary of estimated impact on expenditure_

EUR million (to three decimal places)

|DG: RTD|Col2|Col3|Col4|Year<br>202019|Year<br>2021|Year<br>2022|Year<br>2023|Year<br>2024|Year<br>2025|TOTAL|
|---|---|---|---|---|---|---|---|---|---|---|
|Appropriations of an administrative nature financed from the<br>envelope of specific programmes20  <br>|Appropriations of an administrative nature financed from the<br>envelope of specific programmes20  <br>|Appropriations of an administrative nature financed from the<br>envelope of specific programmes20  <br>|Appropriations of an administrative nature financed from the<br>envelope of specific programmes20  <br>||||||||
|Number of budget line:**08.01.05.01**|Commitments|(1)|(1)|**0.040**|**0.060**|**0.060**|**0.060**|**0.060**|**0.020**|**0.300**|
|Number of budget line:**08.01.05.01**|Payments|(2)|(2)|**0.040**|**0.060**|**0.060**|**0.060**|**0.060**|**0.020**|**0.300**|
|Number of budget line:**08.01.05.03**||(3)|(3)|**0.008**|**0.012**|**0.012**|**0.012**|**0.012**|**0.004**|**0.060**|
|**TOTAL appropriations** <br>**for DG RTD**|Commitments|=1+1a<br>+3|=1+1a<br>+3|**0.048**|**0.072**|**0.072**|**0.072**|**0.072**|**0.024**|**0.360**|
|**TOTAL appropriations** <br>**for DG RTD**|Payments|=2+2a<br>+3|=2+2a<br>+3|**0.048**|**0.072**|**0.072**|**0.072**|**0.072**|**0.024**|**0.360**|

| TOTAL appropriations of an administrative nature<br>financed from the envelope for specific programmes|Col2|(6)|0.048|0.072|0.072|0.072|0.072|0.024|0.360|
|---|---|---|---|---|---|---|---|---|---|
|**TOTAL appropriations**|Commitments|=4+ 6|**0.048**|**0.072**|**0.072**|**0.072**|**0.072**|**0.024**|**0.360**|

19 Year 2020 is the year in which implementation of the proposal/initiative starts.Amounts for 2020 and 2025 correspond to seven months and five months respectively.
20 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

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

| TOTAL operational appropriations|Commitments|(4)|Col4|Col5|Col6|Col7|Col8|Col9|Col10|Col11|
|---|---|---|---|---|---|---|---|---|---|---|
| TOTAL operational appropriations|Payments|(5)|||||||||
| TOTAL appropriations of an administrative nature<br>financed from the envelope for specific programmes| TOTAL appropriations of an administrative nature<br>financed from the envelope for specific programmes|(6)|||||||||
|**TOTAL appropriations** <br>**under HEADINGS 1 to 4** <br>of the multiannual financial framework<br>(Reference amount)|Commitments|=4+ 6|||||||||
|**TOTAL appropriations** <br>**under HEADINGS 1 to 4** <br>of the multiannual financial framework<br>(Reference amount)|Payments|=5+ 6|||||||||

### EN 14 EN

**Heading of multiannual financial**

**5** ‘Administrative expenditure’
**framework**

EUR million (to three decimal places)

|Col1|Col2|Year<br>2020|Year<br>2021|Year<br>2022|Year<br>2023|Year<br>2024|Year<br>2025|TOTAL|
|---|---|---|---|---|---|---|---|---|
|DG: RTD|||||||||
| Human resources| Human resources||||||||
| Other administrative expenditure| Other administrative expenditure||||||||
|**TOTAL DG RTD**|Appropriations||||||||

EUR million (to three decimal places)

|Col1|Col2|Year<br>202021|Year<br>2021|Year<br>2022|Year<br>2023|Year<br>2024|Year<br>2025|TOTAL|
|---|---|---|---|---|---|---|---|---|
|**TOTAL appropriations** <br>**under HEADINGS 1 to 5** <br>of the multiannual financial framework|Commitments|**0.048**|**0.072**|**0.072**|**0.072**|**0.072**|**0.024**|**0.360**|
|**TOTAL appropriations** <br>**under HEADINGS 1 to 5** <br>of the multiannual financial framework|Payments|**0.048**|**0.072**|**0.072**|**0.072**|**0.072**|**0.024**|**0.360**|

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

### EN 15 EN

_3.2.2._ _Estimated impact on operational appropriations_

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

Commitment appropriations in EUR million (to three decimal places)

|Indicate<br>objectives and<br>outputs<br>|Col2|Col3|Year<br>N|Col5|Year<br>N+1|Col7|Year<br>N+2|Col9|Year<br>N+3|Col11|Enter as many years as necessary to show the<br>duration of the impact (see point 1.6)|Col13|Col14|Col15|Col16|Col17|TOTAL|Col19|
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|**Indicate**<br>**objectives and**<br>**outputs**<br> <br>|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|**OUTPUTS**|
|**Indicate**<br>**objectives and**<br>**outputs**<br> <br>|Type22 <br>|Avera<br>ge<br>cost|No<br>Cost|No<br>Cost|No<br>Cost|No<br>Cost|No<br>Cost|No<br>Cost|No<br>Cost|No<br>Cost|No<br>Cost|No<br>Cost|No<br>Cost|No<br>Cost|No<br>Cost|No<br>Cost|Total<br>No<br>Total<br>cost|Total<br>No<br>Total<br>cost|
|SPECIFIC OBJECTIVE No 123…|SPECIFIC OBJECTIVE No 123…|SPECIFIC OBJECTIVE No 123…|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|
|- Output|||<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|||
|- Output|||<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|<br>|||
|- Output|||||||||||||||||||
|Subtotal for specific objective No 1|Subtotal for specific objective No 1|Subtotal for specific objective No 1|||||||||||||||||
|SPECIFIC OBJECTIVE No 2 ...|SPECIFIC OBJECTIVE No 2 ...|SPECIFIC OBJECTIVE No 2 ...|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|<br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br> <br>|
|- Output|||||||||||||||||||
|Subtotal for specific objective No 2|Subtotal for specific objective No 2|Subtotal for specific objective No 2|||||||||||||||||
|**TOTAL COST**|**TOTAL COST**|**TOTAL COST**|||||||||||||||||

22 Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.).
23 As described in point 1.4.2. ‘Specific objective(s)…’

### EN 16 EN

_3.2.3._ _Estimated impact on appropriations of an administrative nature_

3.2.3.1. Summary

–  The proposal/initiative does not require the use of appropriations of an

administrative nature

–  The proposal/initiative requires the use of appropriations of an administrative

nature, as explained below:

EUR million (to three decimal places)

|HEADING 5<br>of the multiannual<br>financial framework|Col2|Col3|Col4|Col5|Col6|Col7|Col8|
|---|---|---|---|---|---|---|---|
|Human resources||||||||
|Other administrative<br>expenditure||||||||
|**Subtotal HEADING 5** <br>**of the multiannual**<br>**financial framework**||||||||

|Outside HEADING 525<br>of the multiannual<br>financial framework|Col2|Col3|Col4|Col5|Col6|Col7|Col8|
|---|---|---|---|---|---|---|---|
|Human resources|**0.040**|**0.060**|**0.060**|**0.060**|**0.060**|**0.020**|**0.300**|
|Other expenditure <br>of an administrative<br>nature|**0.008**|**0.012**|**0.012**|**0.012**|**0.012**|**0.004**|**0.060 **|
|**Subtotal** <br>**outside HEADING 5** <br>**of the multiannual**<br>**financial framework**|**0.048**|**0.072**|**0.072**|**0.072**|**0.072**|**0.024**|**0.360**|

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

24 Year 2020 is the year in which implementation of the proposal/initiative starts. Amounts for 2020 and
2025 correspond to seven months and five months respectively.
25 Technical and/or administrative assistance and expenditure in support of the implementation of
EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research.

### EN 17 EN

3.2.3.2. Estimated requirements of human resources

–  The proposal/initiative does not require the use of human resources.

–  The proposal/initiative requires the use of human resources, as explained

below:

_Estimate to be expressed in full time equivalent units_

|Col1|Col2|Year<br>2020|Year<br>2021|Year<br>2022|Year<br>2023|Year<br>2024|Col8|Year<br>2025|
|---|---|---|---|---|---|---|---|---|
|** Establishment plan posts (officials and temporary staff)**|** Establishment plan posts (officials and temporary staff)**|** Establishment plan posts (officials and temporary staff)**|** Establishment plan posts (officials and temporary staff)**|** Establishment plan posts (officials and temporary staff)**|||||
|XX 01 01 01 (Headquarters and Commission’s<br>Representation Offices)|XX 01 01 01 (Headquarters and Commission’s<br>Representation Offices)||||||||
|XX 01 01 02 (Delegations)|XX 01 01 02 (Delegations)||||||||
|08 01 05 01 (Indirect research)|08 01 05 01 (Indirect research)|0.3|0.5|0.5|0.5|0.5|0.5|0.2|
|10 01 05 01 (Direct research)|10 01 05 01 (Direct research)||||||||
|** External staff (in Full Time Equivalent unit: FTE)26 **<br>|** External staff (in Full Time Equivalent unit: FTE)26 **<br>|** External staff (in Full Time Equivalent unit: FTE)26 **<br>|** External staff (in Full Time Equivalent unit: FTE)26 **<br>|** External staff (in Full Time Equivalent unit: FTE)26 **<br>|||||
|XX 01 02 01 (AC, END, INT from the ‘global<br>envelope’)|XX 01 02 01 (AC, END, INT from the ‘global<br>envelope’)||||||||
|XX 01 02 02 (AC, AL, END, INT and JED in the<br>delegations)|XX 01 02 02 (AC, AL, END, INT and JED in the<br>delegations)||||||||
|**XX** 01 04**yy** **_27_ **<br>|- at Headquarters <br>||||||||
|**XX** 01 04**yy** **_27_ **<br>|- in Delegations||||||||
|**XX** 01 05 02 (AC, END, INT– Indirect research)|**XX** 01 05 02 (AC, END, INT– Indirect research)||||||||
|10 01 05 02 (AC, END, INT– Direct research)|10 01 05 02 (AC, END, INT– Direct research)||||||||
|Other budget lines (specify)|Other budget lines (specify)||||||||
|**TOTAL**|**TOTAL**|0.3|0.5|0.5|0.5|0.5|0.5|0.2|

**XX** is the policy area or budget title concerned.

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

Description of tasks to be carried out:

|Officials and temporary staff|Preparation and management of meetings of the Joint Consultative Group established<br>under Art. 6(b) of the Agreement, as well as follow –up of the functioning and<br>implementation of the Agreement.<br>Calculations are done proportionally considering the duration of the Agreement.|
|---|---|
|External staff||

26 AC= Contract Staff; AL = Local Staff; END= Seconded National Expert; INT = agency staff;
JED= Junior Experts in Delegations.
27 Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines).

### EN 18 EN

_3.2.4._ _Compatibility with the current multiannual financial framework_

–  The proposal/initiative is compatible the current multiannual financial

framework.

Multiannual Financial Framework 2021-2027 is still to be adopted by the European Parliament and
Council.

_3.2.5._ _Third-party contributions_

–  The proposal/initiative does not provide for co-financing by third parties.

Appropriations in EUR million (to three decimal places)

|Col1|Year<br>N|Year<br>N+1|Year<br>N+2|Year<br>N+3|Enter as many years as necessary<br>to show the duration of the<br>impact (see point 1.6)|Col7|Col8|Total|
|---|---|---|---|---|---|---|---|---|
|Specify the co-financing<br>body|||||||||
|TOTAL appropriations<br>co-financed|||||||||

**3.3.** **Estimated impact on revenue**

–  The proposal/initiative has no financial impact on revenue.

EUR million (to three decimal places)

|Budget revenue line:|Appropriation<br>s available for<br>the current<br>financial year|Impact of the proposal/initiative|Col4|Col5|Col6|Col7|Col8|Col9|
|---|---|---|---|---|---|---|---|---|
|Budget revenue line:|Appropriation<br>s available for<br>the current<br>financial year|Year <br>**N**|Year <br>**N+1**|Year <br>**N+2**|Year <br>**N+3**|Enter as many years as necessary to show<br>the duration of the impact (see point 1.6)|Enter as many years as necessary to show<br>the duration of the impact (see point 1.6)|Enter as many years as necessary to show<br>the duration of the impact (see point 1.6)|
|Article ………….|||||||||

For miscellaneous ‘assigned’ revenue, specify the budget expenditure line(s) affected.

Specify the method for calculating the impact on revenue.

### EN 19 EN