Annexes to COM(2023)176 - Extension of the Agreement for scientific and technological cooperation between the EC and the Government of the USA - Main contents
Please note
This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2023)176 - Extension of the Agreement for scientific and technological cooperation between the EC and the Government of the USA. |
|---|---|
| document | COM(2023)176  |
| date | September 25, 2023 |
1.2.Policy area(s) concerned
Policy strategy and coordination of, in particular, the Directorates-General RTD, AGRI, CLIMA, JRC, EAC, ENER, GROW, CNECT, MARE, MOVE and SANTE.
1.3.The proposal/initiative relates to:
◻ a new action
◻ a new action following a pilot project/preparatory action 13
☑ 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 further intensify their cooperation in scientific and technological areas of common interest.
1.4.2.Specific objective(s)
Specific objective
This decision should allow both Parties to enhance the cooperation both bilaterally and multilaterally and develop a more strategic partnership by increasing the scale and scope of existing cooperation, by addressing global challenges and by promoting reciprocal access to programmes and funding.
1.4.3.Expected results(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 the US 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 performance
Specify the indicators for monitoring progress and achievements.
The Commission services will regularly monitor all actions carried out under the Agreement, including an evaluation on cooperation activities. This evaluation will consist, among others, of the following elements:
(a) cooperation indicators – analysis of the number and type of participation of US 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 US entities participating in the EU framework programmes compared to other third countries and to Member States/Associated Countries; 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 beyond the respective research funding programmes and 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 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 US and the Union has been growing steadily in the past years. The involvement of the EU allows activities with larger scale and scope for the benefit of all Member States. The extension of this Agreement will allow to the EU to have easier access to scientific knowledge produced in the US, engage in more cooperation activities leading to additional exchange of knowledge and technologies, and provide easier access to the US market for European companies.
1.5.3.Lessons learned from similar experiences in the past
Based on the experience so far in the field of scientific and technological cooperation, it is considered mutually beneficial to continue research cooperation with the US, as a strategic partner of the Union in research and innovation.
1.5.4.Compatibility with the Multiannual Financial Framework and possible synergies with other appropriate instruments
The extension of the Agreement with the US is considered to be fully coherent and in line with the overall policy framework on International Cooperation in Research and Innovation, namely the recently adopted Commission Communication of 18 May 2021 on the Global Approach to Research and Innovation, Europe's strategy for international cooperation in a changing world (COM(2021)252 final/2)
Synergies with other Union instruments in the area of EU-US cooperation will be sought, notably through various sectoral initiatives of the Commission, in particular those of DGs AGRI, CLIMA, JRC, EAC, ENER, GROW, CNECT, MARE, MOVE and SANTE , among others.
1.5.5.Assessment of the different available financing options, including scope for redeployment
The financial needs to cover the proposed action are available within the Horizon Europe Programme (administrative appropriations). The coordination of the proposed action and its implementation will be covered internally by the Commission, requiring an estimated 1.5 FTE annually for the duration of the proposed action with the following breakdown:
Year 2023: 3 months of salary of 1.5 official
Years 2024-2027: 12 months of salary of 1.5 official
Year 2028: 9 months of salary of 1.5 official
1.6.Duration and financial impact
☑ limited duration
–☑ Proposal/initiative in effect from 14/10/2023 to 13/10/2028
–☑ Financial impact from 14/10/2023 to 13/10/2028
◻ 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 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 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 US entities in the Framework Programme for Research and Innovation and other cooperation activities under the Agreemenet will be monitored on a regular basis through meetings of the Joint Consultative Group established under Article 6(b) of the Agreement.
2.2.Management and control system
2.2.1.Justification of the management mode(s), the funding implementation mechanism(s), the payment modalities and the control strategy proposed
The proposed initiative in the context of the Horizon Europe Framework Progamme for Research & Innovation will be implemented through direct management mode.
As an activity to be fully carried out by a policy officer of the Commission, direct management is the most appropriate implementation mode. In particular, the expected core tasks necessary for a proper implementation of the proposed activity, such as policy dialogue, assessment of the EU-US research and innovation cooperation landscape, identification of joint collaboration priorities and similar tasks, are principal activities of the implementing service of the Commission – the 'Global Approach & International Cooperation in R&I' Directorate of DG R&I.
Additional support tasks of organisational, logistical, administrative and advisory nature may be assigned under a future framework contract for support actions for the international cooperation in research and innovation. Such support tasks, designed to enhance the efficiency and effectiveness of the proposed action, will be supervised by the Commission and will remain under its direct management.
2.2.2.Information concerning the risks identified and the internal control system(s) set up to mitigate them
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.
2.2.3.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.
When the implementation of the Framework programme calls for the use of external contractors or entails granting financial contributions 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 introduction of specific contractual clauses 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 883/2013;
- 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 control programme in respect of the scientific and budgetary aspects will be carried out by the responsible staff in the DG for Research and Innovation; an internal audit will be carried out by the Internal Audit unit of DG Research and Innovation; and local inspections will be undertaken 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 – Research and Innovation – Horizon Europe | 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 | |
| 1 | 01 01 01 01 | Non-diff. | YES | YES | YES | NO |
| 1 | 01 01 01 03 | Non-diff. | YES | YES | 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 [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 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 – Research and Innovation – Horizon Europe’ |
| DG: RTD | Year 2023 18 | Year 2024 | Year 2025 | Year 2026 | Year 2027 | Year 2028 | 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 19 | |||||||||
| Budget line 01 01 01 01 | Commitments & Payments | (3) | 0.064 | 0.262 | 0.267 | 0.272 | 0.278 | 0.212 | 1.355 |
| Budget line 01 01 01 03 | Commitments & Payments | (3) | 0.003 | 0.012 | 0.012 | 0.012 | 0.012 | 0.009 | 0.060 |
| TOTAL appropriations for DG RTD | Commitments | =1a+1b +3 | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
| Payments | =2a+2b +3 | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
• TOTAL operational appropriations | Commitments | (4) | |||||||
| Payments | (5) | ||||||||
| • TOTAL appropriations of an administrative nature financed from the envelope for specific programmes | (6) | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 | |
| TOTAL appropriations under HEADING 1 of the multiannual financial framework | Commitments | =4+ 6 | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
| Payments | =5+ 6 | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
If more than one heading is affected by the proposal / initiative:
| • TOTAL operational appropriations (all operational heading) | Commitments | (4) | |||||||
| Payments | (5) | ||||||||
| • TOTAL appropriations of an administrative nature financed from the envelope for specific programmes | (6) | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 | |
| TOTAL appropriations under HEADINGS 1 to 6 of the multiannual financial framework (Reference amount) | Commitments | =4+ 6 | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
| Payments | =5+ 6 | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
Heading of multiannual financial framework | 7 | ‘Administrative expenditure’ |
EUR million (to three decimal places)
| Year 2023 | Year 2024 | Year 2025 | Year 2026 | Year 2027 | Year 2028 | TOTAL | |||
| DG: <…….> | |||||||||
| • Human resources | |||||||||
| • Other administrative expenditure | |||||||||
| TOTAL DG <…….> | Appropriations |
| TOTAL appropriations under HEADING 7 of the multiannual financial framework | (Total commitments = Total payments) |
EUR million (to three decimal places)
| Year 2023 | Year 2024 | Year 2025 | Year 2026 | Year 2027 | Year 2028 | TOTAL | |||
| TOTAL appropriations under HEADINGS 1 to 7 of the multiannual financial framework | Commitments | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 | |
| Payments | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
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 20 | Average cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | Total No | Total cost | |
| SPECIFIC OBJECTIVE No 1 21 … | ||||||||||||||||||
| - Output | ||||||||||||||||||
| - Output | ||||||||||||||||||
| - Output | ||||||||||||||||||
| Subtotal for specific objective No 1 | ||||||||||||||||||
| SPECIFIC OBJECTIVE No 2 ... | ||||||||||||||||||
| - Output | ||||||||||||||||||
| Subtotal for specific objective No 2 | ||||||||||||||||||
| TOTALS |
3.2.3.Estimated impact on appropriations of an administrative nature
–◻ 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 2023 22 | Year 2024 | Year 2025 | Year 2026 | Year 2027 | Year 2028 | TOTAL |
| HEADING 7 of the multiannual financial framework | |||||||
| Human resources | |||||||
| Other administrative expenditure | |||||||
| Subtotal HEADING 7 of the multiannual financial framework |
| Outside HEADING 7 23 of the multiannual financial framework | |||||||
| Human resources | 0.064 | 0.262 | 0.267 | 0.272 | 0.278 | 0.212 | 1.355 |
| Other expenditure of an administrative nature | 0.003 | 0.012 | 0.012 | 0.012 | 0.012 | 0.009 | 0.060 |
| Subtotal outside HEADING 7 of the multiannual financial framework | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
| TOTAL | 0.067 | 0.274 | 0.279 | 0.284 | 0.290 | 0.221 | 1.415 |
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 2023 | Year 2024 | Year 2025 | Year 2026 | Year 2027 | Year 2028 | ||
| • 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) | 0.375 | 1.5 | 1.5 | 1.5 | 1.5 | 1.125 | |
| 01 01 01 11 (Direct research) | |||||||
| • External staff (in Full Time Equivalent unit: FTE) 24 | |||||||
| 20 02 01 (AC, END, INT from the ‘global envelope’) | |||||||
| 20 02 03 (AC, AL, END, INT and JPD in the delegations) | |||||||
| XX 01 xx yy zz 25 | - 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 | 0.375 | 1.5 | 1.5 | 1.5 | 1.5 | 1.125 |
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 Joint Committee Meetings foreseen under Article 6(b) of the Agreement and missions ensuring the good functioning and implementation, as well as regular review, 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:
–☑ 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.
–The proposal/initiative provides for the co-financing 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 miscellaneous revenue
EUR million (to three decimal places)
| Budget revenue line: | Appropriations available for the current financial year | Impact of the proposal/initiative 26 | ||||||
| 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) OJ L 284, 22.10.1998, p.37.
(2) Council Decision 2004/756/EC (OJ L 335, 11.11.2004, p. 5).
(3) Council Decision 2009/306/EC (OJ L 90, 02.04.2009, p. 20).
(4) Council Decision 2014/240/EU (OJ L 128, 30.04.2014, p. 43).
(5) Council Decision (EU) 2018/1578 (OJ L 263/1, 22.10.2018, p.1)
(6) “Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions on the Global Approach to Research and Innovation, Europe’s strategy for international cooperation in a changing world” (COM(2021) 252 final/2).
(7) Council Decision 98/591/EC of 13 October 1998 concerning the conclusion of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America (OJ L 284/35, 22.10.1998, p. 37).
(8) OJ L 284, 22.10.1998, p.37.
(9) Council Decision 2004/756/EC of 4 October 2004 concerning the conclusion of an Agreement renewing the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America(OJ L 335, 11.11.2004, p. 5).
(10) Council Decision 2009/306/EC of 30 March 2009 concerning the extension and amendment of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America (OJ L 90, 02.04.2009, p. 20).
(11) Council Decision 2014/240/EU of 14 April 2014 concerning the extension of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America (OJ L 128, 30.04.2014, p. 43).
(12) Council Decision (EU) 2018/1578 of 18 September 2018 concerning the extension of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America.
(13) As referred to in Article 58(2)(a) or (b) of the Financial Regulation.
(14) Details of management modes and references to the Financial Regulation may be found on the BudgWeb site: https://myintracomm.ec.europa.eu/budgweb/EN/man/budgmanag/Pages/budgmanag.aspx
(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 2023 is the year in which implementation of the proposal/initiative starts. Amounts for 2023 calculated based on 3 months of salary of 1.5 FTE; for 2024-2027 calculated based on 12 months of salary of 1.5 FTE; and 2028 calculated based on 9 months of salary of 1.5 FTE. Average costs to be used as from January 2023, to which an annual indexation of 2% has been added for the period 2024-2028
(19) Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research.
(20) Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.).
(21) As described in point 1.4.2. ‘Specific objective(s)…’
(22) Year 2023 is the year in which implementation of the proposal/initiative starts.
(23) Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research.
(24) AC= Contract Staff; AL = Local Staff; END= Seconded National Expert; INT = agency staff; JED= Junior Experts in Delegations.
(25) Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines).
(26) As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net amounts, i.e. gross amounts after deduction of 20 % for collection costs.
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