Annexes to COM(2019)7 - Renewal of the Agreement on cooperation in science and technology between the EC and the Government of Russia - Main contents
Please note
This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2019)7 - Renewal of the Agreement on cooperation in science and technology between the EC and the Government of Russia. |
|---|---|
| document | COM(2019)7  |
| date | January 18, 2019 |
1.2.Policy area(s) concerned in the ABM/ABB structure 11
Policy strategy and coordination of, in particular, the Directorates-General 12 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.
1.4.2.Specific objective(s) and ABM/ABB activity(ies) concerned
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 programmes and funding.
ABM/ABB activity(ies) concerned
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 Russia to derive mutual benefit from the scientific and technical progress achieved through ongoing cooperation activities. It will allow for exchange of specific knowledge and transfer of know-how to the benefit of the scientific community, industry and citizens of both Parties.
1.4.4.Indicators of 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, including cooperation activities. This evaluation will cover, among others, the following points:
(a) cooperation indicators — analysis of the number and type of participation of Russian 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 Russian 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
Cooperation in research & innovation between the EU and the Russian Federation has been intensifying steadily in the past years. The involvement of the EU allows for activities with larger scale and scope for the benefit of all Member States. The renewal of this Agreement will allow the EU to have easier access to scientific knowledge produced in the Russian Federation 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 the Russian Federation, as a strategic partner of the EU in research and innovation.
1.5.4.Compatibility and possible synergy with other appropriate instruments
The renewal of the Agreement with the Russian Federation is considered to be fully consistent 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 20/02/2019 to 19/02/2024
–☑ Financial impact from 20/02/2019 to 19/02/2024
◻ 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 13
☑ 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
2. MANAGEMENT MEASURES
2.1.Monitoring and reporting rules
Specify frequency and conditions.
Participation of Russian entities in the 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 letter (a) 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, 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 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.
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 14
In order of multiannual financial framework headings and budget lines.
| Heading of multiannual financial framework | Budget line | Type of expenditure | Contribution | |||
Heading 1a – Competitiveness for growth and jobs | Diff./Non-diff. 15 | from EFTA countries 16 | from candidate countries 17 | from third countries | within the meaning of Article 21(2)(b) of the Financial 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 multiannual financial framework | Budget line | Type of expenditure | Contribution | |||
| Number [Heading………………………………………] | Diff./Non-diff. | from EFTA countries | from candidate countries | from third countries | within the meaning of Article 21(2)(b) of the Financial Regulation | |
| [XX.YY.YY.YY] | YES/NO | YES/NO | YES/NO | YES/NO |
3.2.Estimated impact on expenditure
3.2.1.Summary of estimated impact on expenditure
EUR million (to three decimal places)
| Heading of multiannual financial framework | 1a | 'Competetiveness for growth and jobs' |
| DG: RTD | Year 2019 18 | Year 2020 | Year 2021 | Year 2022 | Year 2023 | Year 2024 | TOTAL | ||
| • Operational appropriations | |||||||||
| Number of budget line: 08.01.05.01 | Commitments | (1) | 0.050 | 0.060 | 0.060 | 0.060 | 0.060 | 0.010 | 0.300 |
| Payments | (2) | 0.050 | 0.060 | 0.060 | 0.060 | 0.060 | 0.010 | 0.300 | |
| Number of budget line | Commitments | (1a) | |||||||
| Payments | (2a) | ||||||||
| Appropriations of an administrative nature financed from the envelope of specific programmes 19 | |||||||||
| Number of budget line: 08.01.05.03 | (3) | 0.010 | 0.012 | 0.012 | 0.012 | 0.012 | 0.002 | 0.060 | |
| TOTAL appropriations for DG RTD | Commitments | =1+1a +3 | 0.060 | 0.072 | 0.072 | 0.072 | 0.072 | 0.012 | 0.360 |
| Payments | =2+2a +3 | 0.060 | 0.072 | 0.072 | 0.072 | 0.072 | 0.012 | 0.360 |
• TOTAL operational appropriations | Commitments | (4) | 0.050 | 0.060 | 0.060 | 0.060 | 0.060 | 0.010 | 0.300 |
| Payments | (5) | 0.050 | 0.060 | 0.060 | 0.060 | 0.060 | 0.010 | 0.300 | |
| • TOTAL appropriations of an administrative nature financed from the envelope for specific programmes | (6) | 0.010 | 0.012 | 0.012 | 0.012 | 0.012 | 0.002 | 0.060 | |
| TOTAL appropriations under HEADING <1a> of the multiannual financial framework | Commitments | =4+ 6 | 0.06 | 0.072 | 0.072 | 0.072 | 0.072 | 0.012 | 0.360 |
| Payments | =5+ 6 | 0.06 | 0.072 | 0.072 | 0.072 | 0.072 | 0.012 | 0.360 |
If more than one heading is affected by the proposal / initiative:
| • TOTAL operational appropriations | Commitments | (4) | ||||||||
| Payments | (5) | |||||||||
| • TOTAL appropriations of an administrative nature financed from the envelope for specific programmes | (6) | |||||||||
| TOTAL appropriations under HEADINGS 1 to 4 of the multiannual financial framework (Reference amount) | Commitments | =4+ 6 | ||||||||
| Payments | =5+ 6 |
Heading of multiannual financial framework | 5 | ‘Administrative expenditure’ |
EUR million (to three decimal places)
| Year 2019 | Year 2020 | Year 2021 | Year 2022 | Year 2023 | Year 2024 | TOTAL | |||
| DG: RTD | |||||||||
| • Human resources | |||||||||
| • Other administrative expenditure | |||||||||
| TOTAL DG RTD | Appropriations |
| TOTAL appropriations under HEADING 5 of the multiannual financial framework | (Total commitments = Total payments) |
EUR million (to three decimal places)
| Year 2019 20 | Year 2020 | Year 2021 | Year 2022 | Year 2023 | Year 2024 | TOTAL | |||
| TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework | Commitments | 0.06 | 0.072 | 0.072 | 0.072 | 0.072 | 0.012 | 0.360 | |
| Payments | 0.06 | 0.072 | 0.072 | 0.072 | 0.072 | 0.012 | 0.360 |
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 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 21 | Average cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | Total No | Total cost | |
| SPECIFIC OBJECTIVE No 1 22 … | ||||||||||||||||||
| - Output | ||||||||||||||||||
| - Output | ||||||||||||||||||
| - Output | ||||||||||||||||||
| Subtotal for specific objective No 1 | ||||||||||||||||||
| SPECIFIC OBJECTIVE No 2 ... | ||||||||||||||||||
| - Output | ||||||||||||||||||
| Subtotal for specific objective No 2 | ||||||||||||||||||
| TOTAL COST |
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)
| Year 2019 23 | Year 2020 | Year 2021 | Year 2022 | Year 2023 | Year 2024 | TOTAL |
| HEADING 5 of the multiannual financial framework | |||||||
| Human resources | |||||||
| Other administrative expenditure | |||||||
| Subtotal HEADING 5 of the multiannual financial framework |
| Outside HEADING 5 24 of the multiannual financial framework | |||||||
| Human resources | 0.050 | 0.060 | 0.060 | 0.060 | 0.060 | 0.010 | 0.300 |
| Other expenditure of an administrative nature | 0.010 | 0.012 | 0.012 | 0.012 | 0.012 | 0.002 | 0.060 |
| Subtotal outside HEADING 5 of the multiannual financial framework | 0.060 | 0.072 | 0.072 | 0.072 | 0.072 | 0.012 | 0.360 |
| TOTAL | 0.060 | 0.072 | 0.072 | 0.072 | 0.072 | 0.012 | 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.
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
| Year 2019 | Year 2020 | Year 2021 | Year 2022 | Year 2023 | Year 2024 | ||
| • Establishment plan posts (officials and temporary staff) | |||||||
| XX 01 01 01 (Headquarters and Commission’s Representation Offices) | |||||||
| XX 01 01 02 (Delegations) | |||||||
| 08 01 05 01 (Indirect research) | 0.4 | 0.5 | 0.5 | 0.5 | 0.5 | 0.1 | |
| 10 01 05 01 (Direct research) | |||||||
| • External staff (in Full Time Equivalent unit: FTE) 25 | |||||||
| XX 01 02 01 (AC, END, INT from the ‘global envelope’) | |||||||
| XX 01 02 02 (AC, AL, END, INT and JED in the delegations) | |||||||
| XX 01 04 yy 26 | - at Headquarters | ||||||
| - in Delegations | |||||||
| XX 01 05 02 (AC, END, INT – Indirect research) | |||||||
| 10 01 05 02 (AC, END, INT – Direct research) | |||||||
| Other budget lines (specify) | |||||||
| TOTAL | 0.4 | 0.5 | 0.5 | 0.5 | 0.5 | 0.1 |
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 under Art. 6(b) of the Agreement, as well as follow –up of the functioning and implementation of the Agreement. Calculations are done proportionally considering the duration of the Agreement. |
| External staff |
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)
| 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.
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 miscellaneous ‘assigned’ revenue, specify the budget expenditure line(s) affected.
Specify the method for calculating the impact on revenue.
(1) OJ L299, 28.11.2000, p.15.
(2) Council Decision 2003/798/EC (OJ L 229, 18.11.2003, p. 20).
(3) Council Decision 2009/313/EC (OJ L 92, 04.04.2009, p. 3).
(4) Council Decision 2014/50/EU (OJ L 32, 01.02.2014, p. 1).
(5) Enhancing and focusing EU international cooperation in research and innovation: a strategic approach, COM(2012) 497.
(6) Council Decision 2000/742/EC of 16 November 2000 concerning the conclusion of the Agreement on cooperation in science and technology between the European Community and the Government of the Russian Federation (OJ L 299, 28.11.2000, p. 14).
(7) Council Decision 2003/798/EC of 5 June 2003 concerning the conclusion of an Agreement aimed at renewing the Agreement on cooperation in science and technology between the European Community and the Government of the Russian Federation (OJ L 229, 18.11.2003, p. 20).
(8) Council Decision 2009/313/EC of 30 March 2009 concerning the renewal of the Agreement on cooperation in science and technology between the European Community and the Government of the Russian Federation (OJ L 92, 04.04.2009, p. 3).
(9) Council Decision 2014/50/EU of 20 January 2014 concerning the renewal of the Agreement on cooperation in science and technology between the European Community and the Government of the Russian Federation (OJ L 32, 01.02.2014, p. 1).
(10) www.sanctionsmap.eu. It is noted that the sanctions map is an IT tool that lists the restrictive measures regimes. The restrictive measures are established in legal acts published in the OJ. In case of divergences, the OJ prevails.
(11) ABM: activity-based management; ABB: activity-based budgeting.
(12) Compared to Horizon 2020, DG CLIMA and DG MARE have been added, based on the Commssion Proposal for the next Multiannual Financial Framework (Horizon Europe), still to be adopted.
(13) 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
(14) 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 and the DB 2019 is yet to be approved by the budget authority.
(15) Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations.
(16) EFTA: European Free Trade Association.
(17) Candidate countries and, where applicable, potential candidate countries from the Western Balkans.
(18) Year 2019 is the year in which implementation of the proposal/initiative starts. Amounts for 2019 and 2024 correspond to ten months and two months respectively.
(19) Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research.
(20) Year 2019 is the year in which implementation of the proposal/initiative starts. Amounts for 2019 and 2024 correspond to ten months and two months respectively.
(21) Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.).
(22) As described in point 1.4.2. ‘Specific objective(s)…’
(23) Year 2019 is the year in which implementation of the proposal/initiative starts. Amounts for 2019 and 2024 correspond to ten months and two months respectively.
(24) 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.
(25) AC= Contract Staff; AL = Local Staff; END= Seconded National Expert; INT = agency staff; JED= Junior Experts in Delegations.
(26) Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines).