Annexes to COM(2024)438 - - Main contents
Please note
This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2024)438 - . |
|---|---|
| document | COM(2024)438 |
| date | October 1, 2024 |
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 action0
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 (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 | ||||||||||||||||||
| Type0 | Average cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | Total No | Total cost | |
| SPECIFIC OBJECTIVE No 10… | ||||||||||||||||||
| - 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 70 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 |
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).
0OJ L 036, 12.02.2003, p. 32, http://data.europa.eu/eli/agree_internation/2003/96/oj .
0Council 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 ).
0Council 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).
0Council 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).
0Council 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).
0Council 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).
0Communication on the Global Approach to Research and Innovation, COM(2021) 252.
0Agreement 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)
0OJ C , , p. .
0Council 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).
0Agreement on cooperation in science and technology between the European Community and Ukraine (OJ L 36, 12.2.2003, p. 32-39).
0Council 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).
0Council 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).
0Council 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).
0Council 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).
0As referred to in Article 58(2)(a) or (b) of the Financial Regulation.
0Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.).
0As described in point 1.4.2. ‘Specific objective(s)…’
0Technical 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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