explanatory memorandum 1. context of the proposal 1.1. objectives of the proposal the objective of this proposal is the decision b


EXPLANATORY MEMORANDUM
1. CONTEXT OF THE PROPOSAL
1.1. Objectives of the proposal
The objective of this proposal is the decision by Council and
Parliament, on the basis of Article 185 of the TFEU, to provide the
legal means for the participation by the European Union in the Active
and Assisted Living Joint Programme undertaken by several Member
States (AAL Programme).
The overall objectives of the AAL Programme are:
*
Enhance the availability of Information and Communication
Technology (ICT) based products and services for active and
healthy ageing, to improve the quality of life for elderly and
their carers and help increase the sustainability of care systems;
*
Maintain a critical mass of trans-European applied research,
development and innovation for ICT based products and services for
ageing well, in particular involving SMEs and users;
*
Leverage private investments and improve conditions for industrial
exploitation by providing a coherent framework for developing
European approaches and solutions including common minimum
standards that meets varying national and regional social
preferences and regulatory aspects
1.2. Grounds for the proposal
Demographic ageing has been identified in the Europe 2020 strategy as
both a challenge and an opportunity for smart, sustainable, and
inclusive growth. The flagship initiatives “A Digital Agenda for
Europe” and “Innovation Union” both address demographic ageing as a
priority. The Digital Agenda focuses on ICT-enabled innovative
services, products and processes, and includes several actions on
eHealth and a specific action on reinforcing the AAL Programme. The
AAL Programme will make an important contribution to the Europe 2020
strategy and related flagship initiatives and will help addressing the
demographic challenge and create new opportunities, in particular for
small and medium size enterprises The European Innovation Partnership
on Active and Health Ageing (EIP AHA) expects ICT solutions to play an
important role in meeting its goals of two additional healthy life
years by 2020 as well as improving quality of life for citizens and
improving efficiency of care systems in Europe. The AAL Programme is a
major component for supporting the EIP AHA with ICT-based innovation
as it focuses on the "Valley of Death" part of the innovation chain
where research results need to be translated into new products and
services ready to enter the market. The AAL Programme will also
benefit from the EIP, because the EIP will accelerate market creation,
large scale uptake and also contribute to improved boundary conditions
for the market: standardisation and interoperability for example,
which are not covered by the Programme, but are mentioned in
evaluation and consultations as barriers to deployment. The AAL
Programme is complemented by major national initiatives, such as a
national initiative on AAL and ageing in Germany, an Assisted Living
Innovation Platform in the UK and a Platform on Innovation in Ageing
in France.
With these inter-related programmes that jointly cover a significant
part of the research and innovation ‘chain’, Europe has a globally
unique strength in ICT for ageing well. The AAL Programme complements
well the proposed ICT and ageing longer-term research and innovation
and market validation activities under the Horizon 2020 Framework
Programme.
The AAL Programme is also complementary to the "More Years, Better
Lives" Joint Programming Initiative (JPI) on demographic change that
brings together 13 European Countries, to address new science based
knowledge for future policy making on ageing, based on a wide range of
research disciplines. The AAL Programme can provide an application
context for the JPI’s multi-disciplinary research and feed the JPI
research agenda with user experience, while sharing research
methodologies such as the life course approach.
Taken together, these initiatives cover a large part of the chain from
fundamental research to market uptake, as recommended by a number of
independent assessments on EU research and innovation programmes, as
well as EU policy documents. These synergies will be further
strengthened under the Commission's proposal for Horizon 2020, the
Framework Research Programme for 2014-2020, which has a specific
section for societal challenges, with Health, Demographic Change and
Wellbeing as one of the priorities. The AAL Programme is mentioned as
one of the Article 185 TFEU initiatives eligible for continued
support, provided they meet a given set of criteria.
2. RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND IMPACT
ASSESSMENTS
2.1. Consultation on the future on the AAL JP
The Commission has consulted the plans for the AAL Programme with
several external and internal stakeholders. The online Public
Consultation on the EIP-AHA carried out in 2011 reached 524
respondents which expressed their views on the existing national,
regional and local initiatives for active and healthy ageing; from.
About 38% of responses came from government institutions, 23% from the
industry including SMEs, 7% from the health and social care sector,
17% from the research and academia and 15% from the organisation
representing the older people. The consultation showed that there is
an insufficient involvement of end-users in the development stage,
which is the most significant barrier to innovation.
An interim evaluation of the current AAL JP was carried out in
December 2010 by five high level experts headed by former Commissioner
M. Kuneva1. It included interviews with over 40 selected stakeholders
across Europe directly involved in the AAL JP value-chain. About 33%
of them came from government institutions, 27% from the industry
including SMEs, 27% from the research and academia and 11% from the
organizations representing older people. The evaluation panel stressed
that it is important for the AAL JP and its follow-up to ensure high
operational performance, further increase focus on broadly targeted
solutions in real life situations, promote technology for carers and
intermediaries and strengthen links with users and ensure deployment
activities.
Furthermore public online consultation on the AAL JP was carried out
in 2010 and projects funded under the AAL JP were surveyed in 2011.
The Commission has also consulted its different part through Impact
assessment Steering Group meetings in 2012, which contributed to the
planning and roadmap for the preparation of the Impact assessment
report, in particular concerning the problem statement and the
relevance of the AAL JP to other DGs. The Art. 185 Coordination Group
led by DG RTD contributed to the structure and argumentation of this
report.
2.2. The policy options
The Impact assessment report included the following options:
Option 1 - AAL JP2 identical to AAL JP1 - This 'business as usual'-
option is baseline scenario presenting the continuation of the AAL JP
for the years 2014 – 2020, just as the current AAL JP which runs from
2008 to 2013.
Option 2 - No AAL JP2 - This option entails that there is no dedicated
EU programme and co-financing to bring together national research and
innovation programmes in the field of ICT for ageing well at the EU
level after 2013. The money reserved for the follow up to the AAL JP
under the proposed H2020 could be spent – if it was adopted – on
additional research for ageing well within H2020 framework.
Option 3 - This option of the follow-up to AAL JP1 would comprise an
adapted scope and improved implementation. The scope of the AAL JP2
programme would be aligned to the full scope of the EIP AHA. Besides
the Active Ageing and Independent Living pillar of EIP AHA also the
other two pillars would covered: Prevention, screening and early
diagnosis, and Care and Cure. Due to the change of the scope by the
alignment to EIP AHA, the name of the programme would change from
Ambient Assisted Living JP to Active and Assisted Living JP. The
programme would be co-financed by the Member States as well as project
participants as during the current AAL JP 2008 to 2013. The level of
EC financing from Horizon 2020 would remain the same as under the FP7.
This option would also entail higher involvement of end-users,
broadening the basis of funding to all actors, and improving the
operational performance.
2.3. Consultation on the impact assessment
These options were reviewed in February 2012 by the AAL JP General
Assembly, which concluded by vote that continuing the programme is of
strategic importance and 15 out of 23 currently participating
countries stated their preferred scenario is the Option 3. The second
preferred option was to continue the programme in its current form
represented by the Option 1. Only two countries would not support the
continuation of the programme – Option 2.
In November 2012, the Impact Assessment Board reviewed and approved
the report. In its Opinion it requested improvements of the impact
assessment report which have been taken into account. In particular
the report now better explains the policy context, the remaining
problems, market failures and the baseline scenario. The objectives
were revised to provide solid basis for the measurement of the
progress of the AAL JP2. Different funding scenarios were illustrated
in a more comprehensive manner in the sensitivity analysis and the
possible social and health impacts were further developed. Finally the
comparison of options in terms of effectiveness, efficiency and
coherence was included.
3. LEGAL ELEMENTS OF THE PROPOSAL
3.1. Legal basis
The proposal for the AAL Programme is based on Article 185 of the
Treaty on the Functioning of the European Union (TFEU), which foresees
that the Union may make provision for the participation of the
European Union in research and development programmes undertaken by
several Member States, including participation in the structures
created for the execution of those programmes.
3.2. Subsidiarity principle
The subsidiarity principle applies as the proposal does not fall under
the exclusive competence of the European Union. Subsidiarity is
safeguarded by basing the proposal on Article 185 which explicitly
foresees the participation of the Union in research programmes
undertaken by several Member States. By implementing all operational
aspects where possible at national level, while ensuring a coherent
approach at the European level of the joint programme.
The objectives of the proposal cannot be sufficiently achieved by the
Member States alone as the specific knowledge and excellence required
for research and development of ICT based products and services for
ageing are spread across national borders and hence cannot be combined
at national level only. Without a coherent approach at European level
with critical mass, there is a high risk of duplication of efforts
with the consequence of increased costs. Furthermore, it is unlikely
that a genuine internal market for interoperable ICT solutions for
ageing well can be established without a joint programme with a
European dimension.
The EU added value is directly linked to the problems: fragmentation
of the EU market and of research efforts, a lack of focus on trans-EU
deployment and a lack of a shared European vision on the markets for
ICT and ageing well.
3.3. Proportionality principle
Article 185 of the TFEU invites the Union to ‘make provision, in
agreement with the Member States concerned, for participation in
research and development programmes undertaken by several Member
States, including participation in the structures created for the
execution of those programmes’. Member States are the driving force of
the initiative.
The proposal complies with the proportionality principle as Member
States will be responsible for developing their joint programme and
all operational aspects. The dedicated implementation structure AAL
Association has already demonstrated for the current AAL JP that it
can implement the programme efficiently and effectively. The Union
will provide incentives for improved coordination, ensure synergies
with and contribution to EU policies and to the priorities of Horizon
2020, monitor implementation of the programme and ensure the
protection of the EU’s financial interests.
Notably, the proposed organisational structure ensures a minimum of
administrative burden, by having the main administrative work being
executed through national agencies under the supervision and overall
responsibility of the AAL Association created for this purpose.
3.4. Choice of the instrument
The proposed instrument is a Decision by European Parliament and
Council based on Article 185 of the TFEU. The conclusions of the
interim evaluation and an analysis of the options in the impact
assessment have demonstrated that Article 185 is the most appropriate
means for achieving the objectives of the AAL programme.
3.5. Derogations from the Horizon 2020 Rules for Participation
Derogations from the following provisions of Regulation (EU) No …
[Rules for the participation and dissemination in Horizon 2020] are
necessary to allow for the Union financial contribution and
Intellectual Property Rights protection to be implemented in
accordance with the rules for participation of the participating
national programmes.
*
Verification of financial capacity extended to all the
participants and performed by participating national funding
agencies: Art. 14.5
*
The dedicated implementation structure does not enter into
agreement with the final beneficiaries: Art. 16(1)
*
Application of national rules for funding, eligibility of costs,
certificates on the financial statements and certificates on the
methodology: Art. 19[(1), (5) to (7)] and Art. 22-29
*
Rules governing IPR and dissemination of results following
national rules: Art. 38-45
This is justified because the AAL Programme is intended as a close to
market programme, in which many different national funding streams are
joined up (such as research innovation, health and industry funding
programmes). These programmes have by their nature different
participation rules and cannot be expected to fully align with Horizon
2020 Rules for Participation.
In addition the AAL Programme is targeting in particular small and
medium size enterprises and user organisations not usually
participating in EU research and innovation activities. In order to
lower the administrative and legal threshold for their participation,
the Union financial contribution is provided in accordance with the
rules of their national funding programmes which they are more used to
and implemented through a single grant together with the corresponding
national public support. The AAL JP (2008-2013) has demonstrated that
this approach has worked well and has allowed to attract a high
participation of more than 40% of small and medium size enterprises.
The proposal provides appropriate safeguards to guarantee respect of
the principles of equal treatment and transparency by the dedicated
implementation structure when providing financial support to third
parties, as well as for the protection of the financial interests of
the Union. It also foresees the inclusion of detailed provisions to
this effect in an agreement to be concluded by the Union and the
dedicated implementation structure.
4. BUDGETARY IMPLICATION
The Legislative Financial Statement presented with this decision sets
out the indicative budgetary implications. The provisions of the
Decision and of the delegation agreement to be concluded between the
Commission and the dedicated implementation structure must ensure that
the EU’s financial interests are protected.
The maximum amount EU contribution shall be EUR [175,000,000 from the
Horizon 2020 DG Connect budget allocated to Societal Challenge 1,
theme health, demographic change and wellbeing:2
5. OPTIONAL ELEMENTS
5.1. Simplification
The proposal provides for simplification of administrative procedures
for private parties. Notably, recipients of the research funding from
the new joint programme will benefit from a single contracting and
payment scheme using familiar national rules without any need for
separate reporting concerning the Union contribution. The EU will deal
directly with the AAL Association, which will be in charge of
allocating, monitoring and reporting on the use of the EU’s
contribution.
5.2. Review/revision/sunset clause
The proposal includes a review clause for a mid-term review after
three years. The overall duration will be limited to seven years of
intervention and three additional years of completion.
5.3. European Economic Area
The proposed act concerns an EEA matter and should therefore extend to
the European Economic Area.
2013/0233 (COD)
Proposal for a
DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
on the participation of the Union in the Active and Assisted Living
Research and Development Programme jointly undertaken by several
Member States
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union,
and in particular Article 185 and the second paragraph of Article 188,
thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national
Parliaments,
Having regard to the opinion of the European Economic and Social
Committee3,
Acting in accordance with the ordinary legislative procedure,
Whereas:
(1) In its Communication ‘Europe 2020 A strategy for smart,
sustainable and inclusive growth’4, the Commission underscores the
need to develop favourable conditions for investment in knowledge and
innovation so as to achieve smart, sustainable and inclusive growth in
the Union. Both the European Parliament and the Council have endorsed
that strategy.
(2) Horizon 2020 - The Framework Programme for Research and Innovation
(2014-2020) established by Regulation (EU) No …/2013 of the European
Parliament and of the Council of … 20135 (hereinafter "Horizon 2020
Framework Programme") aims at achieving a greater impact on research
and innovation by contributing to the strengthening of public-public
partnerships, including through Union participation in programmes
undertaken by several Member States in accordance with Article 185 of
the Treaty.
(3) Decision No 742/2008/EC of the European Parliament and of the
Council of 9 July 2008 on the Community's participation in a research
and development programme undertaken by several Member States aimed at
enhancing the quality of life of older people through the use of new
information and communication technologies6 provides for a Community
financial contribution to the Ambient Assisted Living Joint Research
and Development Programme (hereinafter "AAL JP") matching that of the
Member States but not exceeding EUR 150 000 000 for the duration of
the Seventh Framework Programme of the European Community for
research, technological development and demonstration activities
(2007-2013) established by Decision No 1982/2006/EC of the European
Parliament and of the Council of 18 December 20067.
(4) In December 2012, the Commission communicated to the European
Parliament and the Council a report on the interim evaluation of the
AAL JP8. That evaluation was carried out by an expert panel. The
overall opinion of that expert panel was that AAL JP had achieved good
progress towards its objectives and remarkable results and that it
should be continued beyond the current funding period. The expert
panel noted however a few shortcomings, notably the need for stronger
user involvement in projects and further improvements of the
operational performance in terms of time to contract and time to
payment. [
(5) In its communication entitled ‘The demographic future of Europe —
from challenge to opportunity’9, the Commission underlined the fact
that demographic ageing is one of the main challenges facing all the
Member States and that increased use of new technologies could help to
control costs, improve well-being and promote the active participation
in society of elderly people, as well as improving the competitiveness
of Union economy.
(6) In its entitled ‘Europe 2020 Flagship Initiative Innovation Union’10,
the Commission indicated the ageing of the population as one of the
societal challenges where innovation breakthroughs can play an
important role and boost competitiveness, enable European companies to
lead in the development of new technologies, to grow and assume global
leadership in new growth markets, improve the quality and efficiency
of public services and so contribute to creating large numbers of new
quality jobs.
(7) In its communication entitled ‘European flagship initiative
Digital Agenda for Europe’11, the Commission proposed to reinforce the
AAL JP in order to help address the challenges of the ageing
population.
(8) In its communication entitled ‘Taking forward the Strategic
Implementation Plan of the European Innovation Partnership on Active
and Healthy Ageing’12, the Commission proposed to take account of
relevant priorities of the Plan for future research and innovation
work programmes and instruments which are part of Horizon 2020
Framework Programme. The Commission also proposed to take into account
the contributions that can be made by the AAL JP to the European
Innovation Partnership on Active and Healthy Ageing
(9) Under the European Innovation Partnership on Active and Healthy
Ageing established under the Innovation Union, ICT solutions are
expected to play an important role in meeting its goals of two
additional healthy life years by 2020 as well as improving quality of
life for citizens and improving efficiency of care systems in the
Union. Its Strategic Implementation Plan sets out priorities for
accelerating and scaling up innovation in active and healthy ageing
across the Union, in three domains: prevention and health promotion,
care and cure, and independent living and social inclusion.
(10) The Active and Assisted Living Research and Development Programme
(hereinafter ‘the AAL Programme’) should build on the achievements of
the previous programme and address its shortcomings by encouraging
stronger user participation in projects and by a more agile programme
implementation.
(11) A ceiling should be established for the participation of the
Union in the AAL Programme for the duration of the Horizon 2020
Framework Programme. Union participation in the AAL Programme should
not exceed the financial contribution of the Participating States for
the duration of the Horizon 2020 Framework Programme in order to
achieve a high leverage effect and ensure an active involvement of the
Participating States in achieving the Programme objectives.
(12) In line with the objectives of Regulation (EU) No …/2013[H2020
FP], any Member State and any country associated to the Horizon 2020
Framework Programme should be entitled to participate in the AAL
Programme.
(13) In order to ensure that a financial commitment by the Union will
be matched by the Participating States, the financial contribution by
the Union should be subject to formal commitments from the
Participating States before the launch of the AAL Programme and their
fulfilment. The Participating States' contribution to the AAL
Programme should include the administrative costs incurred at national
level for the effective operation of the programme.
(14) The joint implementation of the AAL Programme requires an
implementation structure. The Participating States have agreed on the
implementation structure for the AAL Programme and set up in 2007 the
Ambient Assisted Living Association IASBL, an international non-profit
organisation under Belgian law (hereinafter ‘AALA’). Given that,
according to the report on the Interim Evaluation, the existing
governance structure of AAL JP has proven to be efficient and of good
quality, the AALA should be used as implementation structure and
should take the role as allocation and monitoring body of the AAL
Programme. The AALA should manage the Union financial contribution and
should ensure an efficient implementation of the AAL Programme.
(15) In order to achieve the objectives of the AAL Programme, the AALA
should provide financial support mainly through grants to participants
in actions selected by the AALA. Those actions should be selected
following calls for proposals under the responsibility of the AALA,
which should be assisted by independent external experts. The ranking
list should be binding as regards the selection of proposals and the
allocation of funding from the Union financial contribution and from
the national budgets for AAL Programme projects.
(16) The Union financial contribution should be managed in accordance
with the principle of sound financial management and with the rules on
indirect management set out in Regulation (EU, Euratom) No 966/2012 of
the European Parliament and of the Council of 25 October 2012 on the
financial rules applicable to the general budget of the Union13 and
Commission Delegated Regulation (EU) No 1268/2012 of 29 October 2012
on the rules of application of Regulation (EU, Euratom) No 966/201214.
(17) In order to protect the financial interests of the Union, the
Commission should have the right to reduce, withhold or terminate the
Union financial contribution where the AAL Programme is implemented
inadequately, partially or late, or the Participating States do not
contribute, or contribute partially or late, to the financing of the
AAL Programme. Those rights should be provided for in the delegation
agreement to be concluded between the Union and the AALA.
(18) Participation in indirect actions funded by the AAL Programme is
subject to Regulation (EU) No … /2013 of the European Parliament and
of the Council of … 2013 laying down the rules for the participation
and dissemination in 'Horizon 2020 - the Framework Programme for
Research and Innovation (2014-2020)'15. However, due to specific
operating needs of the AAL Programme it is necessary to provide for
derogations from that Regulation in accordance with Article 1(3) of
that Regulation.
(19) Specific derogations from Regulation (EU) No … /2013 [H2020 RfP]
are necessary as the AAL Programme is intended as a close to market
innovation programme, in which many different national funding streams
are joined up (such as research innovation, health and industry
funding programmes). Those national programmes have by their nature
different participation rules and cannot be expected to fully align
with Regulation (EU) No … /2013 [Horizon 2020 Rules for
Participation]. In addition, the AAL Programme is targeting in
particular small and medium-sized enterprises and user organisations
not usually participating in Union research and innovation activities.
In order to facilitate the participation of those enterprises and
organisations, the Union financial contribution is provided in
accordance with the well-known rules of their national funding
programmes and implemented through a single grant combining Union
funding with the corresponding national funding.
(20) The financial interests of the Union should be protected through
proportionate measures throughout the expenditure cycle, including the
prevention, detection and investigation of irregularities, the
recovery of funds lost, wrongly paid or incorrectly used and, where
appropriate, administrative and financial penalties in accordance with
Regulation (EU, Euratom) No 966/2012, Delegated Regulation (EU) No
1268/2012, Council Regulation (EC, Euratom) No 2988/95 of 18 December
1995 on the protection of the European Communities financial interests16,
Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996
concerning on-the-spot checks and inspections carried out by the
Commission in order to protect the European Communities’ financial
interests against fraud and other irregularities17 and Regulation (EC)
No 1073/1999 of the European Parliament and of the Council of 25 May
1999 concerning investigations conducted by the European Anti-Fraud
Office (OLAF)18.
(21) The Commission should conduct an interim evaluation assessing in
particular the quality and efficiency of the AAL Programme and
progress towards the objectives set, as well as a final evaluation,
and prepare a report on those evaluations.
(22) The evaluation should be based on precise and up-to-date
information. Upon request from the Commission, the AALA and the
Participating States should therefore submit any information the
Commission needs to include in the reports on the evaluation of the
AAL Programme.
(23) The AAL Programme should ensure the effective promotion of gender
equality and comply with ethical principles as reflected in the
Horizon 2020 Framework Programme.
(24) Since Participating States have decided to continue the AAL
Programme and its objectives directly support and complement the Union
policies in the field of active and healthy ageing and given that the
AAL Programme objectives cannot be sufficiently achieved by the Member
States alone and can, by reason of the scale of the action, be better
achieved at Union level, the Union may adopt measures, in accordance
with the principle of subsidiarity as set out in Article 5 of the
Treaty on European Union. In accordance with the principle of
proportionality, as set out in that Article, this Decision does not go
beyond what is necessary in order to achieve those objectives,
HAVE ADOPTED THIS DECISION:
Article 1
Participation in the AAL Programme
1. The Union shall participate in the Active and Assisted Living
Research and Development Programme (hereinafter "AAL Programme")
jointly undertaken by [Austria, Belgium, Cyprus, Denmark, France,
Hungary, Ireland, Luxembourg, the Netherlands, Portugal, Romania,
Poland, Slovenia, Spain, Sweden, United Kingdom and Switzerland]
(hereinafter "Participating States"), in accordance with the
conditions set out in this Decision.
2. Any other Member State and any other country associated to the
Horizon 2020 - The Framework Programme for Research and Innovation
(2014-2020) established by Regulation (EU) No …/2013 (hereinafter
"Horizon 2020 Framework Programme") may join the AAL Programme
provided it fulfils the criterion set out in Article 3(1)(c) of this
Decision. Those Member States and associated countries that fulfil the
condition set out in Article 3(1)(c) shall be regarded as
Participating States for the purposes of this Decision.
Article 2
Union financial contribution
1. The maximum Union financial contribution to the AAL Programme
covering administrative costs and operational costs shall be EUR
175.000.000. The contribution shall be paid from appropriations in the
general budget of the Union allocated to the relevant parts of the
Specific Programme implementing Horizon 2020 Framework Programme,
established by Decision …./2013/EU in accordance with Article
58(1)(c)(vi) and Articles 60 and 61 of Regulation (EU, Euratom) No
966/2012.
2. The annual financial commitment of the Union to the AAL Programme
shall not exceed the annual financial commitment to the AAL Programme
by Participating States.
3. A maximum of 6 % of the Union financial contribution shall be used
to contribute to the administrative costs of the AAL Programme.
Article 3
Conditions for the Union financial contribution
1. The Union financial contribution shall be conditional upon the
following:
a.
proof by the Participating States that the AAL Programme is
set up in accordance with Annexes I and II;
b.
the designation by the Participating States or by
organisations designated by the Participating States, of the
Ambient Assisted Living Association, a non-for-profit
association with legal personality established under Belgian
law (hereinafter "AALA"), as the structure responsible for
the implementation of the AAL Programme and for allocating
and monitoring the Union financial contribution;
c.
the commitment by each Participating State to contribute to
the financing of the AAL Programme;
d.
proof by the AALA of its capacity to implement the AAL
Programme including allocating and monitoring the Union
contribution in the framework of indirect management of the
Union budget in accordance with Articles 58, 60 and 61 of
Regulation (EU, Euratom) No 966/2012;
e.
the establishment of a governance model for the AAL
Programme in accordance with Annex III.
2. During the implementation of the AAL Programme, the Union financial
contribution shall also be conditional upon the following:
a.
the implementation by the AALA of AAL Programme objectives
as set out in Annex I and activities set out in Annex II in
accordance with Regulation (EU) No … [Rules for the
participation and dissemination in Horizon 2020], subject to
Article 5 of this Decision;
b.
the maintenance of an appropriate and efficient governance
model in accordance with Annex III;
c.
the compliance by the AALA with the reporting requirements
set out in Article 60 (5) of Regulation (EU, Euratom) No
966/2012;
d.
the fulfilment of the commitments by each Participating
State referred to in point (c) of paragraph 1 and the
fulfilment of the annual commitments to contribute to the
financing of the AAL Programme.
Article 4
Contributions from Participating States
1. Contributions from the Participating States shall consist of the
following:
a.
financial contributions to the indirect actions supported
under the AAL Programme in accordance with Annex II;
b.
in-kind contributions corresponding to the administrative
costs incurred by the national administrations for the
effective implementation of the AAL Programme in accordance
with Annex II.
Article 5
Rules for participation and dissemination
1. For the purposes of Regulation (EU) No …/2013 [Rules for the
participation and dissemination in Horizon 2020], the AALA shall be
considered a funding body and shall provide financial support to
indirect actions in accordance with Annex II to this Decision.
2. By way of derogation from Article 14(5) of Regulation (EU) No
…/2013 [Rules for the participation and dissemination in Horizon
2020], the financial capacity of the applicants shall be verified by
the designated national programme management organisation according to
rules of participation in the designated national programmes.
3. By way of derogation from Article 16(1) of Regulation (EU) No
…/2013 [Rules for the participation and dissemination in Horizon
2020], the grant agreements with participants shall be signed by the
designated national programme management agency..
4. By way of derogation from Articles 19[((1), (5) to (7)] and 22 to
29 of Regulation (EU) No …/2013 [Rules for the participation and
dissemination in Horizon 2020], the funding rules of the designated
national programmes shall apply to the grants administered by the
designated national programme management agencies .
5. By way of derogation from Articles 38 to 46 of Regulation (EU) No
…/2013 [Rules for the participation and dissemination in Horizon
2020], the rules of the designated national programmes governing
results, access rights to background and results shall apply.
Article 6
Implementation of the AAL Programme
1. The AAL Programme shall be implemented on the basis of annual work
plans in accordance with Annex II.
Article 7
Agreements between the Union and the AALA
1. Subject to a positive ex-ante assessment of the AALA in accordance
with Article 61(1) of Regulation (EU, Euratom) No 966/2012, the
Commission, on behalf of the Union, shall conclude a delegation
agreement and annual transfer of funds agreements with the AALA.
2. The delegation agreement referred to in paragraph 1 shall be
concluded in accordance with Article 58(3) and Articles 60 and 61 of
Regulation (EU, Euratom) No 966/2012 and Article 40 of Delegated
Regulation (EU) No 1268/2012. It shall also set out the following:
a.
the requirements concerning the AALA's contribution
regarding relevant indicators out of the performance
indicators set out in Annex II to Decision (EU) No …/2013
[the Specific Programme implementing the Horizon 2020
Framework Programme];
b.
the requirements concerning the AALA's contribution to the
monitoring referred to in Decision (EU) No …/2013 [the
Specific Programme implementing the Horizon 2020 Framework
Programme];
c.
the specific performance indicators necessary for monitoring
the functioning of the AALA in accordance with Article 3(2);
d.
the arrangements regarding the provision of data and
information necessary to ensure that the Commission is able
to meet its dissemination and reporting obligations.
Article 8
Termination, reduction or suspension of the Union financial
contribution
1. Where the AAL Programme is not implemented in accordance with the
conditions set out in Article 3, the Commission may terminate,
proportionally reduce or suspend the Union financial contribution in
line with the actual implementation of the AAL .
2. Where the Participating States do not contribute, contribute
partially or late to the financing of the AAL Programme, the
Commission may terminate, proportionally reduce or suspend the Union
financial contribution, taking into account the amount of funding
allocated by the Participating States to implement the AAL Programme.
Article 9
Ex-post audits
1. Ex-post audits of expenditure on indirect actions shall be carried
out by the designated national programme management agencies in
accordance with Article 23 of Regulation (EU) No … [the Horizon 2020
Framework Programme].
2. The Commission may decide to carry out the audits referred to in
paragraph 1 itself.
Article 10
Protection of the financial interests of the Union
1. The Commission shall take appropriate measures ensuring that, when
actions financed under this Decision are implemented, the financial
interests of the Union are protected by the application of preventive
measures against fraud, corruption and any other illegal activities,
by effective checks and, if irregularities are detected, by the
recovery of the amounts wrongly paid and, where appropriate, by
effective, proportionate and dissuasive administrative and financial
penalties.
2. The European Anti-fraud Office (OLAF) may carry out investigations,
including on-the-spot checks and inspections, in accordance with the
provisions and procedures laid down in Regulation (EC) No 1073/1999 of
the European Parliament and of the Council of 25 May 1999 concerning
investigations conducted by the European Anti-Fraud Office (OLAF)19
and Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996
concerning on-the-spot checks and inspections carried out by the
Commission in order to protect the European Communities' financial
interests against fraud and other irregularities20 with a view to
establishing whether there has been fraud, corruption or any other
illegal activity affecting the financial interests of the Union in
connection with a grant agreement or grant decision or a contract
funded in accordance with this Decision.
3. Contracts, grant agreements and grant decisions, resulting from the
implementation of this Decision shall contain provisions expressly
empowering the Commission, AALA, the Court of Auditors and OLAF to
conduct audits and investigations, according to their respective
competences.
4. The AALA shall grant the Commission staff and other persons
authorized by the Commission, as well as by the Court of Auditors,
access to its sites and premises and to all the information, including
information in electronic format, needed in order to conduct the
audits referred to in paragraph 3.
5. In implementing the AAL Programme, the Participating States shall
take the legislative, regulatory, administrative or other measures
necessary for protecting the Union’s financial interest, in
particular, to ensure the full recovery of any amounts due to the
Union in accordance with Regulation (EU, Euratom) No 966/2012 and
Delegated Regulation (EU) No 1268/2012.
Article 11
Communication of information
1. At the request of the Commission, the AALA shall submit to the
Commission any information necessary for the preparation of the
reports referred to in Article 12.
2. The Participating States shall submit, through the AALA, any
information requested by the European Parliament and the Council
concerning the financial management of the AAL Programme.
3. The Commission shall communicate the information referred to in
paragraph 2 in the reports set out in Article 12.
Article 12
Evaluation
1. By 31 December 2017 the Commission shall conduct an interim
evaluation of the AAL Programme. The Commission shall prepare a report
on that evaluation which includes conclusions of the evaluation and
observations by the Commission. The Commission shall send that report
to the European Parliament and to the Council by 30 June 2018.
2. At the end of Union participation in the AAL Programme but no later
than 31 December 2022, the Commission shall conduct a final evaluation
of the AAL Programme. The Commission shall prepare a report on that
evaluation which includes results of the evaluation. The Commission
shall send that report to the European Parliament and to the Council.
Article 13
Entry into force
This Decision shall enter into force on the twentieth day following
that of its publication in the Official Journal of the European Union.
Article 14
Addressees
This Decision is addressed to the Member States.
Done at Brussels,
For the European Parliament For the Council
The President The President
ANNEX I
Objectives of the AAL Programme
1. The AAL Programme shall fulfil the following objectives:
1.1. accelerate the emergence of innovative ICT-based products and
services for active and healthy ageing at home, in the community, or
at work, thus improving the quality of life, autonomy, participation
in social life, skills or employability of older adults and increasing
the efficiency of health and social care provision;
1.2. maintain and further develop a critical mass of applied research,
development and innovation at Union level in the areas of ICT-based
products and services for active and healthy ageing;
1.3. develop cost-effective solutions, including establishing relevant
interoperability standards and facilitating the localisation and
adaptation of common solutions, which are compatible with varying
social preferences and regulatory aspects at national or regional
level, respect the privacy and dignity of the older adults and, where
applicable, support access to services in rural and peripheral areas
or benefit other groups of people, such as people with disabilities.
2. The AAL Programme shall establish a favourable environment for the
participation of small and medium-sized enterprises.
3. The AAL Programme shall focus on close-to-market applied research
and innovation and shall complement related longer-term research and
large scale innovation activities envisaged under the Horizon 2020
Framework Programme, and other European and national initiatives. It
shall also contribute to the implementation of the European Innovation
Partnership on Active and Healthy Ageing.
ANNEX II
ACTIVITIES of the AAL Programme
I. Indirect actions
1. The implementation of the AAL Programme shall mainly support
market-oriented research and innovation projects for active and
healthy ageing, which shall demonstrate the capability to exploit the
project results within a realistic time frame; The financing of those
indirect actions under the AAL Programme shall mainly take the form of
grants. It may take other forms such as prizes, pre-commercial
procurement, and public procurement of innovative solutions.
2. In addition, actions for the purposes of brokerage, programme
promotion, actions to raise awareness of the current capabilities,
foster deployment of innovative solutions and connect supply and
demand side organisations and investors may be supported.
3. Actions aimed at improving the quality of proposals, feasibility
studies and workshops may also be supported. The collaboration with
the regions of the Union may be envisaged to enlarge the group of
stakeholders involved in the AAL Programme.
II. Implementation
1. The AAL Programme shall be implemented on the basis of annual work
plans identifying topics for calls for proposals.
2. The annual work plans shall be agreed with the Commission as a
basis for the annual financial contribution from the Union.
3. The implementation of the AAL Programme shall entail consultations
with relevant stakeholders (including decision-makers from public
authorities, user representatives, private-sector service providers
and insurance providers as well as industry including small and
medium-sized enterprises) concerning the applied research and
innovation priorities to be addressed.
4. The implementation of the AAL Programme shall take into account
demographic trends and demographic research in order to provide
solutions that reflect the social and economic situation across the
Union.
5. Due account shall be taken of possible gender, ethical and privacy
issues, in line with international guidelines.
6. In line with the close-to-market nature of the AAL Programme and in
compliance with the rules set out in Regulation (EU, Euratom) No
966/2012 of the European Parliament and of the Council of 25 October
2012 on the financial rules applicable to the general budget of the
Union, the AALA shall establish appropriate minimum performance
targets for time to grant and time to payment in accordance with the
[Rules for Participation and][the Financial Regulation] and ensure
compliance with them by Participating States during the implementation
of the AAL Programme.
7. Each Participating State shall facilitate the participation of
organisations representing demand side actors.
8. Each Participating State shall co-finance the selected projects of
the participants in their relevant national programmes through
designated national programme management agencies. Those agencies
shall subsequently channel the Union funding from the AALA on the
basis of a common project description, which forms part of an
agreement to be concluded between the designated national programme
management agencies and the respective participants for each funded
project.
9. After the closure of a call for project proposals, a central
eligibility check shall be carried out by the AALA in cooperation with
the designated national programme management agencies. The check shall
be performed on the basis of the common eligibility criteria for the
AAL Programme which shall be published with the call for project
proposals
10. The AALA shall, with the assistance of the national programme
management agencies, check the fulfilment of additional national
eligibility criteria set out in the calls for project proposals.
11. The national eligibility criteria shall relate only to the legal
and financial status of the individual applicants and not to the
content of the proposal and shall concern the following aspects:
11.1. applicant type, including legal status and purpose;
11.2. liability and viability, including financial soundness,
fulfilment of fiscal and social obligations.
12. Eligible project proposals shall be evaluated and selected by the
AALA with the assistance of independent experts, on the basis of
transparent and common evaluation criteria, as set out in the
published call for proposals. That selection, once adopted by the
General Assembly of the AALA, shall be binding on the Participating
States.
13. If a project participant fails to meet one or more of the national
eligibility criteria or if the corresponding national budget for
commitment for funding is exhausted, the Executive Board of the AALA
may decide that an additional central independent evaluation of the
proposal concerned should be carried out with the assistance of
independent experts, in order to evaluate the proposal either without
the participation of the participant in question or with a replacement
participant, as suggested project participants.
14. Legal and financial issues concerning participants in projects
selected for funding shall be handled by the designated national
programme management agency. National administrative rules and
principles shall be applied.
ANNEX III
Governance of the AAL Programme
The organisational structure for the AAL Programme shall be as
follows:
1. The AALA, an international not-for-profit association established
under Belgian law, shall constitute the dedicated implementation
structure created by the Participating States.
2. The AALA shall be responsible for all the activities of the AAL
Programme. The AALA’s tasks shall include contract and budget
management, the development of the annual work plans, organisation of
the calls for proposals, handling of the evaluation and ranking of
proposals for funding.
3. In addition, the AALA shall supervise and be responsible for
project monitoring and shall transfer the associated payments of the
Union contributions to designated national programme management
agencies. It shall also organise dissemination activities.
4. The AALA shall be governed by the General Assembly. The General
Assembly shall be the decision-making body of the AAL Programme. It
shall appoint the members of the Executive Board and supervise the
implementation of the AAL Programme, including the approval of annual
work plans, allocation of national funding to projects and the
handling of applications for new membership. It shall work on the
basis of a one-country one-vote principle. Decisions shall be taken by
simple majority, except for decisions on the succession, admission or
exclusion of members or the dissolution of the Association, for which
specific voting requirements may be set out in the statutes of the
Association.
5. The Commission shall have an observer status in the meetings of the
AALA General Assembly and shall approve the annual work plan. The
Commission shall be invited to all the meetings of the AALA and may
take part in the discussions. All the relevant documents circulated in
connection with the AALA General Assembly shall be communicated to the
Commission.
6. The AAL Executive Board — consisting of at least a president, a
vice-president and a treasurer — shall be elected by the General
Assembly to undertake the specific management responsibilities such as
budget planning, staffing and contracting. It shall legally represent
the Association and report to the General Assembly.
7. The Central Management Unit established as a part of the AALA shall
be responsible for the central management of the implementation of the
AAL Programme in close coordination and cooperation with the national
programme management agencies, which shall be authorised by the
Participating States to undertake work associated with project
management and administrative and legal aspects for the national
project participants as well as to provide support for the evaluation
and negotiation of project proposals. The Central Management Unit and
national programme management agencies shall work together as the
Management Unit under the supervision of the AALA.
8. An Advisory Board with representatives from industry, users and
other stakeholders, seeking balance between generations and gender,
shall provide recommendations for priorities and topics to be
addressed in the calls for proposals and other actions of the AAL
Programme.
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. Objectives
1.5. Grounds for the proposal/initiative
1.6. Duration and financial impact
1.7. Management mode(s) envisaged
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
LEGISLATIVE FINANCIAL STATEMENT
1. FRAMEWORK OF THE PROPOSAL/INITIATIVE
1.1. Title of the proposal/initiative
Participation of the Union in the Active and Assisted Living (AAL)
Research and Development Programme (hereinafter AAL Programme) jointly
undertaken by several Member States.
1.2. Policy area(s) concerned in the ABM/ABB structure21
Research and Technological Development: Horizon 2020 Framework
Programme.
Digital Agenda Action 78; Reinforcing the AAL Joint Programme
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 action22
 The proposal/initiative relates to the extension of an existing
action
X The proposal/initiative relates to an action redirected towards a
new action
1.4. Objectives
1.4.1. The Commission's multiannual strategic objective(s) targeted by
the proposal/initiative
Europe 2020
Innovation Union
Digital Agenda for Europe
European Research Area
1.4.2. Specific objective(s) and ABM/ABB activity(ies) concerned
The main operational objective of this legislative proposal, namely
the participation by the Union in a Joint R&D and Innovation Programme
undertaken between several Member States in the field of Active and
Assisted Living, has already been foreseen in the Horizon 2020
Framework Programme for RTD and in its "Societal Challenges" Specific
Programme.
The specific objectives associated with this operational objective
are:
2.
Establish and operate the AAL Programme
3.
Launch Programme supporting measures
4.
Launch and co-finance collaborative research and innovation
projects with 2-3 year to market perspective
1.4.3. Expected result(s) and impact
Specify the effects which the proposal/initiative should have on the
beneficiaries/groups targeted.
The AAL Programme will combine Union, National and private resources
to pursue innovative ICT solutions for allowing Europe's citizens to
age independently and well, while contributing to the overall
sustainability of their care and providing new economic opportunities
for European industry.
The added value of the Union's involvement is substantial because:
The Union intervention will enable the creation of a new legal
framework where Union and National funding can be combined under a
common strategy to stimulate international collaborative R&D and
innovation projects, in particular involving SMEs. This would
otherwise not be feasible using the existing structures.
The AAL Programme will allow for addressing the demographic ageing
challenge by fostering the emergence of new innovative ICT-based
products and services for independent living of elderly people, thus
increasing their quality of life and autonomy and reducing the costs
of their care. This will be done in a coherent and non-fragmented way
with higher critical mass and lead to more cost-effective and
interoperable solutions.
Industry and in particular SMEs will be supported more efficiently by
providing a critical mass and a coherent European approach for
developing interoperable solutions. In addition, it will be possible
to adapt AAL solutions to national/regional social preferences and
regulations. This is an important prerequisite for commercial
exploitation and market development and provides strong potential for
SMEs involvement.
Finally, the proposed scheme will create incentives for increased
national and industrial investments in R&D and innovation in the field
of ICT and ageing, thus contributing to the objective of 3% of
European GDP for R&D.
The macro-economic added value for European economy and society that
will result from the exploitation of the results of the Ageing Well
Programme has not been addressed in this financial statement.
1.4.4. Indicators of results and impact
Specify the indicators for monitoring implementation of the
proposal/initiative.
The indicators of results and impact set out in the Horizon 2020 –
Framework Programme for Research and Innovation specific objective are
monitored and annually reported by the dedicated management structure
to the Commission.
The following results are expected that will be measured through
related indicators:
Leveraging investments and national efforts; by providing incentives
for investments following common strategies and implementation.
Indicators: (i) number of countries participating; (ii) commitments
and payments by Participating States; (iii) national funding committed
and spent in projects of the Joint Programme; (iv) resources invested
by industry and other stakeholders through their participation and
co-funding of projects.
Improving coherence of R&D and innovation in ICT for Ageing Well
across Europe; by removing the current fragmentation of efforts by
developing common strategies and joint calls for proposals with
critical mass.
Indicators: This result will be achieved de-facto when the Joint
Programme will become fully operational with a significant
participation of countries.
Programme Efficiency; by providing certainty about availability of
national budgets, having a central proposal submission, evaluation and
selection scheme and by providing a user-friendly scheme for European
collaborative applied and market oriented research and innovation
based on familiar national rules. This should result in a new and more
efficient support for relevant participants, in particular SMEs, thus
leading to higher industrial investments and shorter time to market
and exploit results.
Indicators: (v) time interval between proposal submission and project
launch; (vi) number of SMEs participating; (vii) overhead costs for
operating the Joint Programme.
Significant economic and social benefits and contribution to key
policy objectives; this will be measured as part of the foreseen
independent mid-term and final evaluation in addition to the other
indicators presented.
1.5. Grounds for the proposal/initiative
1.5.1. Requirement(s) to be met in the short or long term
The AAL Programme will combine Union, National and private resources
to pursue innovative ICT solutions for allowing Europe's citizens to
age independently and well, while contributing to the overall
sustainability of their care and providing new economic opportunities
for European industry.
1.5.2. Added value of EU involvement
The added value of the Union involvement is substantial because:
*
The Union intervention will enable the continuation of the
existing AAL Programme where Union and National funding can be
combined under a common strategy to stimulate international
collaborative R&D and innovation projects, in particular involving
SMEs. This would otherwise not be feasible using the existing
structures.
*
The AAL Programme will allow for addressing the demographic ageing
challenge by fostering the emergence of new innovative ICT-based
products and services for independent living of elderly people,
thus increasing their quality of life and autonomy and reducing
the costs of their care. This will be done in a coherent and
non-fragmented way with higher critical mass and lead to more
cost-effective and interoperable solutions.
*
Industry and in particular SMEs will be supported more efficiently
by providing a critical mass and a coherent European approach for
developing interoperable solutions. In addition, it will be
possible to adapt AAL solutions to national/regional social
preferences and regulations. This is an important prerequisite for
commercial exploitation and market development and provides strong
potential for SMEs involvement.
*
Finally, the proposed scheme will create incentives for increased
national and industrial investments in R&D and innovation in the
field of ICT and ageing, thus contributing to the objective of 3%
of European GDP for R&D.
The macro-economic added value for European economy and society that
will result from the exploitation of the results of the AAL Programme
has not been addressed in this financial statement.
1.5.3. Lessons learned from similar experiences in the past
On the basis of the interim evaluation of the predecessor AAL JP
operated under FP7 the following lessons have been learned:
*
The AAL Programme should be continued as it provides clear added
value, in particular for SMEs, by creating the necessary critical
mass in research and innovation on ageing well at European level
to help relevant products and services enter the market;
*
It should focus on how regional innovation actors (mostly SMEs)
can understand and address the European market;
*
It should Improve the operational efficiency, in particular
regarding time to grant and payments;
*
It should improve the involvement from the early stages of the
project design of service providers and in particular end users in
call specification and evaluation.
These lessons have been taken into account to shape the AAL
Programme2.
1.5.4. Compatibility and possible synergy with other appropriate
instruments
The first European Innovation Partnership on Active and Health Ageing
(EIP AHA)23 expects ICT solutions to play an important role in meeting
its goals of 2 additional healthy life years by 2020 as well as
improving quality of life for citizens and improving efficiency of
care systems in Europe. Its Strategic Implementation Plan (SIP) sets
out priorities for accelerating and scaling up innovation in active
and healthy ageing across Europe, in the three domains prevention and
health promotion, care and cure, and independent living and social
inclusion. The launch by the Council of the EIP AHA enhances the
future relevance of the AAL Programme and its follow up. The AAL
Programme is a major component for implementing the SIP, as it focuses
on the "Valley of Death" part of the innovation chain. The AAL
Programme will also benefit from the EIP, because the EIP will
accelerate market creation, large scale uptake and also contribute to
improved boundary conditions for the market: standardisation and
interoperability for example, which are not covered by the AAL
Programme, but are mentioned in evaluation and consultations as
barriers to deployment.
AAL Programme is complemented by major national initiatives, such as a
national initiative on AAL and ageing in Germany, an Assisted Living
Innovation Platform in the UK and a Platform on Innovation in Ageing
in France.
With these inter-related programmes that jointly cover a significant
part of the research and innovation ‘chain’, Europe has a globally
unique strength in ICT for ageing well. The AAL Programme complements
well the longer-term ICT and ageing research in the Horizon 2020
Programme and the ICT based solutions it delivers can be fed into
innovation and market validation activities under the Horizon 2020
Programme.
The AAL Programme is also complementary to the "More Years, Better
Lives" Joint Programming Initiative (JPI)24 on demographic change that
brings together 13 European Countries, to address new science based
knowledge for future policy making on ageing, based on a wide range of
research disciplines. The AAL Programme can provide an application
context for the JPI’s multi-disciplinary research and feed the JPI
research agenda with user experience, while sharing research
methodologies such as the life course approach.
In the Commission proposal for a Decision on the Strategic Innovation
Agenda of the European Institute of Innovation and Technology (EIT)
2014-2020, "Innovation for healthy living and active ageing" is one of
the priority themes for the EIT Knowledge and Innovation Communities
(KICs) wave in 2014-2015.
Taken together, these initiatives cover a large part of the chain from
fundamental research to market uptake, as recommended by a number of
independent assessments on EU research and innovation programmes, as
well as EU policy documents.
1.6. Duration and financial impact
X Proposal/initiative of limited duration
*
Proposal/initiative in effect from 01/01/2014 to 31/12/2023
*
Financial impact from 2014 to 2020 on commitment appropriations
and from 2014 to 2023 on payment appropriations.
 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) envisaged25
 Centralised direct management by the Commission
X Centralised indirect management with the delegation of
implementation tasks to:
*
 executive agencies
*
 bodies set up by the European Union26
*
X national public-sector bodies/bodies with public-service mission
*
 persons entrusted with the implementation of specific actions
pursuant to Title V of the Treaty on European Union and identified
in the relevant basic act within the meaning of Article 49 of the
Financial Regulation
 Shared management with the Member States
 Decentralised management with third countries
 Joint management with international organisations (to be specified)
If more than one management mode is indicated, please provide details
in the "Comments" section.
Comments
A dedicated implementation structure entitled the Ambient Assisted
Living Association has been established and is governed by
participating countries for managing the initiative. The Union
financial contribution to the initiative will be provided through this
organisation. National funding bodies or their delegated agencies will
manage the EU financial contribution and enter into grant agreements
with organisations to receive financial support for collaborative
research and innovation activities.
Relevant comments:
The financial contribution of the European Union will be paid to the
dedicated management entity established by ParticipatingStates which
will manage the Programme. The Union contribution will be provided
subject to approval of a work plan and associated national budgetary
commitments.
The organisational structure for the AAL Programme is composed of the
following entities:
The AAL Association created as a dedicated management structure by
ParticipatingStates will sign a delegation agreement and annual
transfer of funds agreements with the European Commission to receive
the annual funding from the Framework Programme. It will be
responsible for all the activities of the AAL Programme and will be
headed by a director, who will be the legal representative of the
Association.
The AAL Association will be responsible for all the activities of the
AAL Programme. The AAL Association's tasks include contract and budget
management, the development of the annual work programmes,
organisation of the calls for proposals, handling of the evaluation
and ranking of projects. In addition it supervises project monitoring
and transfers the associated payments of the European Union
contributions to nominated national programme agencies. It also
organises dissemination activities.
The AAL Association is governed by the General Assembly. The General
Assembly is the decision taking body of AAL Programme and it appoints
the members of the Board of Directors and supervises the
implementation of AAL Programme, including approval of annual work
plans, allocation of national funding to projects and applications for
new membership. It will work on the basis of a one country one vote
principle and will use simple majority for decision making. The
Commission will have an observer status in the meetings of the General
Assembly.
The AALA Board of Directors – consisting of a Director and two
Vice-Directors (alternatively one vice-director and one treasurer) -
will be elected to undertake the specific management responsibilities
such as budget planning, staffing and contracting. It legally
represents the Association and reports to the General Assembly.
National Programme Management Agencies are endorsed by the
Participating States to undertake work associated with project
management and administrative and legal aspects for the national
project partners as well as to provide support for the evaluation and
negotiation of the proposals. They work under the supervision of the
AAL Association.
An Advisory Board with representatives from industry and other
stakeholders will provide recommendations for priorities and topics to
be addressed in the calls for proposals of the AAL Programme.
2. MANAGEMENT MEASURES
2.1. Monitoring and reporting rules
Specify frequency and conditions.
In accordance with the Horizon 2020 – Framework Programme for Research
and Innovation, the implementation of the AAL Programme is annually
monitored and reported by the dedicated management structure to the
Commission, where applicable. The Programme will be monitored through
annual reports which will be provided by the dedicated management
structure. These will give a detailed overview on the implementation
of the Programme according to the indicators presented in Section
1.4.4.
A mid-term evaluation will be carried out after 3 years of operation
with assistance of independent experts and will assess: (1) the
implementation of the Programme towards further scientific, management
and financial integration; (2) the added value and effectiveness of
the joint programme in meeting its objectives. A final evaluation by
external experts shall be conducted by the end of the programme.
2.2. Management and control system
2.2.1. Risk(s) identified
1) The key risks concern the capacity of the dedicated implementation
structure to manage the Unions budget contribution and the effective
monitoring of the national agencies involved in the day to day
operation of the programme
2) Another risk is the effective protection against fraud and possible
financial losses due to the high involvement of SMEs and the indirect
centralised management approach.
3) A third risk concerns the capacity of involved countries to
effectively finance their contributions to the programme.
2.2.2. Control method(s) envisaged
Concerning risks 1 and 2, see chapter 2.3.
Concerning risk 3, then the safeguards which ensures that EU funds
only can be released upon evidence of national financial commitments
both at annual transfer of funds agreement level and at the level of
payments towards national participants in the joint programme
projects, Another safeguard is that EU funding cannot exceed 50% of
the total public funding provided in the programme and that EU support
to administrative expenditures cannot exceed 6% of the overall EU
contribution.
2.2.3. Costs and benefits of controls and probable non-compliance rate
In accordance with Article 7 of the decision on the Programme, the
control system set up for the implementation of the Programme will be
designed so as to provide reasonable assurance of achieving adequate
management of the risks relating to the effectiveness and efficiency
of the operations as well as the legality and regularity of the
underlying transactions, taking due account the special nature of the
AAL Programme as public-public partnership. The control system shall
ensure an appropriate balance between trust and control, taking into
account administrative and other costs of controls at all levels,
especially for participants so that it can best contribute to
achieving the objectives of the Horizon 2020 Framework Programme.
2.3. Measures to prevent fraud and irregularities
Specify existing or envisaged prevention and protection measures.
Article 3 of the Decision establishing the AAL Programme states that
the Unions's contribution is conditional upon the compliance by the
AAL Association with the reporting requirements set out in Article
60(5) of Regulation (EU, Euratom) No 966/2012. According to Article 8,
the Commission may terminate, reduce or suspend its contribution.
The delegation agreement to be concluded between the Commission and
the AALA in compliance with Article 61 of Regulation (EU, Euratom) No
966/2012, will provide for the Commission to supervise the activities
of the AALA, in particular by carrying out audits.
Further anti-fraud measures will be implemented as part of the
detailed agreement between the Commission and the dedicated management
structure.
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
Number 09 04 03 01
Improving lifelong health and wellbeing of all
Diff./non-diff.
(27)
from EFTA countries28
from candidate countries29
from third countries
within the meaning of Article 18(1)(aa) of the Financial Regulation
1A
Diff./non-diff.
YES
YES
YES
YES
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:
Number
1A
Heading ……………...……………………………………………………………….]
DG: CNECT
2014
2015
2016
2017
2018
2019
2020
2021
2022
2023
TOTAL
 Operational appropriations
Number 09 04 03 01
Commitments
(1)
25
25
25
25
25
25
25
175
Payments
(2)
2,7
10
17,3
24,7
24,7
24,7
24,7
23,2
15,8
7,2
175
Number of budget line
Commitments
(1a)
Payments
(2a)
Appropriations of an administrative nature financed from the envelope
of specific programmes30
Number of budget line
(3)
TOTAL appropriations
for DG CNECT
Commitments
=1+1a +3
25
25
25
25
25
25
25
175
Payments
=2+2a
+3
2,7
10
17,3
24,7
24,7
24,7
24,7
23,2
15,8
7,2
175
 TOTAL operational appropriations
Commitments
(4)
25
25
25
25
25
25
25
175
Payments
(5)
2,7
10
17,3
24,7
24,7
24,7
24,7
23,2
15,8
7,2
175
 TOTAL appropriations of an administrative nature financed from the
envelope for specific programmes
(6)
0,008
0,008
0,038
0,008
0,008
0,008
0,038
0,116
TOTAL appropriations
under HEADING 1A
of the multiannual financial framework
Commitments
=4+ 6
25,008
25,008
25,038
25008
25,008
25,008
25,038
175,116
Payments
=5+ 6
2,708
10,008
17,338
24,708
24,708
24,708
24,738
23,2
15,8
7,2
175,116
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
25,008
25,008
25,038
25,008
25,008
25,008
25,038
175,116
Payments
=5+ 6
2,708
10,008
17,338
24,708
24,708
24,708
24,738
23,2
15,8
7,2
175,116
Heading of multiannual financial
framework
5
‘Administrative expenditure’
EUR million (to three decimal places)
2014
2015
2016
2017
2018
2019
2020
2021
2022
2023
TOTAL
DG: CNECT
 Human resources
0,262
0,262
0,262
0,262
0,262
0,262
0,262
1,834
 Other administrative expenditure
0.024
0.024
0.024
0.024
0.024
0.024
0.024
0.168
TOTAL DG CNECT
Appropriations
0,286
0,286
0,286
0,286
0,286
0,286
0,286
2.002
TOTAL appropriations
for HEADING 5
of the multiannual financial framework
(Total commitments = Total payments)
0,286
0,286
0,286
0,286
0,286
0,286
0,286
2.002
EUR million (to three decimal places)
2014
2015
2016
2017
2018
2019
2020
TOTAL
TOTAL appropriations
under HEADINGS 1 to 5
of the multiannual financial framework
Commitments
25,294
25,294
25,324
25,294
25,294
25,294
25,324
177,118
Payments
2,994
10,294
17,624
24,994
24,994
24,994
25,024
23,2
15,8
7,2
177,118
3.2.2. Estimated impact on operational appropriations
*
 The proposal/initiative does not require the use of operational
appropriations
*
X The proposal/initiative requires the use of operational
appropriations, as explained below:
Commitment appropriations in EUR million (to three decimal places)
Indicate objectives and outputs

2014
2015
2016
2017
2018
2019
2020
TOTAL
OUTPUTS
Type31
Average cost
Number
Cost
Number
Cost
Number
Cost
Number
Cost
Number
Cost
Number
Cost
Number
Cost
Total Number
Total Cost
SPECIFIC OBJECTIVE No 132…
Output 1
Establishment and operation of Joint Programme (*)
1,5/
year
1
1,5
1
1,5
1
1,5
1
1,5
1
1,5
1
1,5
1
1,5
7
10,5
Subtotal for specific objective n° 1
1
1,5
1
1,5
1
1,5
1
1,5
1
1,5
1
1,5
1
1,5
7
10,5
SPECIFIC OBJECTIVE n° 2…
Output 2
Supporting Action
0,200
5
1
5
1
5
1
5
1
5
1
5
1
5
1
35
7
Subtotal for specific objective n° 2
5
1
5
1
5
1
5
1
5
1
5
1
5
1
35
7
SPECIFIC OBJECTIVE n° 3…
Output 3
Projects (*)
2
25
23,5
25
23,5
25
23,5
25
23,5
25
23,5
25
23,5
25
23,5
175
164,5
Subtotal for specific objective n° 3
25
23,5
25
23,5
25
23,5
25
23,5
25
23,5
25
23,5
25
23,5
175
164,5
TOTAL COST
25
25
25
25
25
25
25
175
(*) The cost of central management of the AAL Joint Programme will be
supported with up to 6% of the EU contribution and will include costs
of proposal evaluation.
(**) Assuming an average total cost per project of 4 Million Euro, out
of which 50 % will be covered by public funding, to be shared between
the EU and the Participating States in accordance with the ratio
between the respective annual commitments (estimated ~40-50%).
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
*
X The proposal/initiative requires the use of appropriations of an
administrative nature, as explained below:
EUR million (to three decimal places)
2014
2015
2016
2017
2018
2019
2020
2021
2022
2023
TOTAL
HEADING 5
of the multiannual financial framework
Human resources
0,262
0,262
0,262
0,262
0,262
0,262
0,262
1,834
Other administrative expenditure
0.180
0.180
0.180
0.180
0.180
0.180
0.180
1.260
Subtotal HEADING 5
of the multiannual financial framework
0,442
0,442
0,442
0,442
0,442
0,442
0,442
3,094
Outside HEADING 533 of the multiannual financial framework
Human resources
Other expenditure
of an administrative nature
0,008
0,008
0,038
0,008
0,008
0,008
0,038
0,116
Subtotal
outside HEADING 5
of the multiannual financial framework
0,008
0,008
0,038
0,008
0,008
0,008
0,038
0,116
TOTAL
0,450
0,450
0,480
0,450
0,450
0,450
0,480
3,210
The administrative appropriations required will be met by the
appropriations of the DG which are already assigned to management of
the action and/or which 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.
*
X The proposal/initiative requires the use of human resources, as
explained below:
Estimate to be expressed in full time equivalent units
2014
2015
2016
2017-2020
Total
 Establishment plan posts (officials and temporary agents)
XX 01 01 01 (Headquarters and Commission’s Representation Offices)
2
2
2
8
14
XX 01 01 02 (Delegations)
XX 01 05 01 (Indirect research)
10 01 05 01 (Direct research)
 External personnel (in Full Time Equivalent unit: FTE)34
XX 01 02 01 (CA, INT, SNE from the "global envelope")
XX 01 02 02 (CA, INT, JED, LA and SNE in the delegations)
XX 01 04 yy35
- at headquarters
- in delegations
XX 01 05 02 (CA, SNE, INT - Indirect research)
10 01 05 02 (CA, SNE, INT - Direct research)
Other budget lines (specify)
TOTAL
2
2
2
8
14
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
The main tasks deriving from the action will be:
- Participation in meetings of the General Assembly of the AAL
association as Commission observer 4 two day meetings/year
(Director/HoU level)
- Participation in workshops and dissemination events 3 times per year
(HoU level)
- Negotiation, Preparation and payment of grant contracts with the
dedicated implementation structure (Project Officer level + B/C
Assistant level)
- Monitoring of implementation + assistance to mid-term and ex-post
evaluations (Project Officer level)
- Financial and legal auditing of the implementation of the Programme
(Financial Officer level)
External staff
3.2.4. Compatibility with the current multiannual financial framework
*
X Proposal/initiative is compatible the current multiannual
financial framework.
*
 Proposal/initiative will entail reprogramming of the relevant
heading in the multiannual financial framework.
Explain what reprogramming is required, specifying the budget lines
concerned and the corresponding amounts.
*
 Proposal/initiative requires application of the flexibility
instrument or revision of the multiannual financial framework.36
Explain what is required, specifying the headings and budget lines
concerned and the corresponding amounts.
3.2.5. Third-party contributions
*
The proposal/initiative provides for the estimated minimum
co-financing estimated below:
Appropriations in EUR million (to three decimal places)
2014
2015
2016
2017
2018
2019
2020
2021
2022
2023
Total
Participating States
25
25
25
25
25
25
25
175
TOTAL appropriations cofinanced
25
25
25
25
25
25
25
175
Co-financing details
A maximum European Union contribution of up to 25 Million euros per
year shall be provided subject to an investment of at least 25 Million
euros per year by the Participating States, who will contribute at
least 175 Million euros between 2014-2020 from national budgets to the
AAL Programme.
The EU contribution to operational costs of the AAL Programme will be
at maximum 6% of the overall EC contribution to the AAL Programme.
The EU contribution shall represent a fixed percentage of the overall
public funding from the participating national programmes, but shall
in any case not exceed 50 % of the public funding of the AAL
Programme. This fixed percentage shall be defined in the contract
between the dedicated management structure and the Commission and will
be based on the multi-annual commitment of the participating Partner
States and the European Union contribution.
Moreover, the organisations participating in R&D projects selected
through the Calls for Proposals launched by the Programme will
co-finance these projects. These contributions are expected to amount
to a minimum of about 300 Million euros for the duration of the
Programme.
3.3. Estimated impact on revenue
*
X Proposal/initiative has no financial impact on revenue.
1See
http://ec.europa.eu/information_society/activities/einclusion/docs/aal/interim_evaluation_report.pdf
2the amount is indicative and will depend on the final LFS agreed by
the Horizon 2020 and an amount for DG Connect foreseen under societal
challenges, theme health, demographic change and well-being
3OJ C …, …, p. ….
4COM(2010)2020 final of 3 March 2010.
5OJ … [H2020 FP]
6OJ L 201, 30.7.2008, p. 49.
7OJ L 412, 30.12.2006, p. 1.
8COM(2010) 763 final of 16 December 2010.
9COM(2006) 571 final of 12 October 2006.
10COM(2010) 546 final of 6 October 2012.
11COM(2010) 245 final of 19 May 2010.
12COM(2012) 83 final of 29 February 2012.
13OJ L 298, 26.10.2012, p. 1.
14OJ L 362, 31.12.2012, p. 1.
15OJ L…, …, p. … [H2020 RfP].
16OJ L 312, 23.12.1995, p. 1.
17OJ L 292, 15.11.1996, p. 2.
18OJ L 136, 31.5.1999, p. 1.
19OJ L 136, 31.5.1999, p. 1.
20OJ L 292, 15.11.1996, p. 2.
21ABM: Activity-Based Management – ABB: Activity-Based Budgeting.
22As referred to in Article 49(6)(a) or (b) of the Financial
Regulation.
23COM(2012) 83 final, 29 February 2012
24COM(2008) 468, towards Joint Programming in research
25Details 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
26As referred to in Article 185 of the Financial Regulation.
27Diff. = Differentiated appropriations / Non-Diff. =
Non-differentiated appropriations.
28EFTA: European Free Trade Association.
29Candidate countries and, where applicable, potential candidate
countries from the Western Balkans.
30Technical and/or administrative assistance and expenditure in
support of the implementation of EU programmes and/or actions (former
‘BA’ lines), indirect research, direct research.
31Outputs are products and services to be supplied (e.g.: number of
student exchanges financed, number of km of roads built, etc.).
32As described in point 1.4.2. ‘Specific objective(s)…’
33Technical and/or administrative assistance and expenditure in
support of the implementation of EU programmes and/or actions (former
‘BA’ lines), indirect research, direct research.
34CA= Contract Agent; LA = Local Agent; SNE = Seconded National
Expert; INT = agency staff (‘Intérimaire’); JED= ‘Jeune Expert en
Délégation’ (Young Experts in Delegations).
35Sub-ceiling for external staff covered by operational appropriations
(former "BA" lines).
36See points 19 and 24 of the Interinstitutional Agreement.
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