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Document 52013PC0731
Proposal for a COUNCIL DECISION concerning the extension of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America
Proposal for a COUNCIL DECISION concerning the extension of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America
Proposal for a COUNCIL DECISION concerning the extension of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America
/* COM/2013/0731 final - 2013/0351 (NLE) */
Proposal for a COUNCIL DECISION concerning the extension of the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America /* COM/2013/0731 final - 2013/0351 (NLE) */
EXPLANATORY MEMORANDUM 1. CONTEXT OF THE PROPOSAL The Agreement on cooperation in science and
technology between the European Community and the Government of the United States of America was signed in Washington on 5 December 1997 and entered into force on 14
October 1998. Article 12(b) of the Agreement provides as follows: "This
Agreement is concluded for an initial period of five years. Subject to review
by the Parties in the final year of each successive period, the Agreement may
be extended with possible amendments, thereafter for additional period of five
years by mutual written agreement by the Parties". By Council Decision 2009/306/EC of 30 March
2009, the Agreement was extended for a further period of five years. The
Agreement is due to expire on 14 October 2013. Extension of the Agreement would be in the
interest of both Parties so as to maintain continuity in the scientific and
technological relations between the US and the European Union leading to
socio-economic benefits for both Parties. 2. RESULTS OF CONSULTATIONS WITH THE
INTERESTED PARTIES AND IMPACT ASSESSMENTS The Commission published in June 2013 a
review of the Agreement in 2012-2013 conducted by independent experts. Both sides confirmed their interest in
extending the Agreement in order to continue to facilitate cooperation between
the Union and the United States of America in common science and technology
areas. However, during
exploratory talks and an exchange of letters with Dr
Kerri-Ann Jones, Assistant Secretary of State for Oceans and International
Environmental and Scientific Affairs, the USA made the extension of the current
Agreement conditional upon negotiation of some amendments. In a letter from 19
March 2013, Dr Jones identified the intellectual property rights annex as a potential
area for negotiation. The USA is preparing an official note identifying all the
areas which they would like to negotiate. Considering that engagement in negotiations
could lead to a lengthy process, which would most certainly go beyond the expiration
date of the current Agreement, it was commonly decided to proceed on two
parallel tracks: (1)
start by extending the current Agreement under
its existing provisions, in order to avoid any disruptions; (2)
In parallel, the two parties will engage in a
process which will lead to the negotiation of an amended Agreement. Such
negotiations will require the Council to adopt a decision authorising the
opening of negotiations in accordance with Article 218 (3) of the TFEU upon the
Commission's recommendation.[1] 3. LEGAL ELEMENTS OF THE PROPOSAL The material content of the extended
Agreement will be identical to that of the current Agreement. 4. BUDGETARY IMPLICATION The Legislative Financial Statement presented
with this decision sets out the indicative budgetary implications. The
provisions of the Decision shall ensure that the financial interests of the Union are protected. In the light of the above considerations,
the Commission requests the Council: –
To approve, on behalf of the Union, and
following the consent of the European Parliament, the extension of the
Agreement for scientific and technological cooperation between the European
Community and the Government of the United States of America for an additional
period of five years; –
To authorise the President of the Council to
designate the person(s) empowered to notify the Government of the United States of America that the Union has completed its internal procedures necessary for the
entry into force of this extended Agreement. 2013/0351 (NLE) Proposal for a COUNCIL DECISION concerning the extension of the Agreement
for scientific and technological cooperation between the European Community and
the Government of the United States of America THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty on the Functioning
of the European Union, and in particular Article 186 in conjunction with point
(v) of Article 218(6)(a) thereof, Having regard to the proposal from the
European Commission, Having regard to the consent of the
European Parliament, Whereas: (1) By its Decision 98/591/EC of
13 October 1998, the Council approved the conclusion of the Agreement for
scientific and technological cooperation between the European Community and the
Government of the United States of America. (2) By Council Decision
2009/306/EC of 30 March 2009, the Agreement was extended for a further period
of five years. (3) Article 12(b) of the
Agreement provides as follows: 'This Agreement is concluded for an initial
period of five years. Subject to review by the Parties in the final year of
each successive period, the Agreement may be extended with possible amendments,
thereafter for additional periods of five years by mutual written agreement by
the Parties'. (4) The Parties to the
Agreement consider that rapid extension of this Agreement would be in their
mutual interest. (5) The content of the extended
Agreement will be identical to the content of the Agreement, which expires on 14
October 2013. (6) The extension of the
Agreement for scientific and technological cooperation between the European
Community and the Government of the United States of America should be approved
on behalf of the European Union. HAS ADOPTED THIS DECISION: Article 1 The extension of the Agreement for
scientific and technological cooperation between the European Community and the
Government of the United States of America, for an additional period of five
years, is hereby approved on behalf of the European Union. Article 2 Acting in accordance with Article 12 of the
above Agreement and on behalf of the Union, the President of the Council shall
notify the Government of the United States of America that the Union has completed its internal procedure necessary for the extension of the above
Agreement. Article 3 This
Decision shall enter into force on …[2].
Done at Brussels, For
the Council The
President 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 Proposal for a Council Decision concerning the extension of the
Agreement for scientific and technological cooperation between the European
Community and the Government of the United States of America 1.2. Policy area(s) concerned
in the ABM/ABB structure[3] Policy strategy and coordination of, in particular, the
Directorates-General RTD, JRC, AGRI, CNECT, EAC, ENER, ENTR, MARE and MOVE. 1.3. Nature of the
proposal/initiative ¨ The proposal/initiative relates to a new action ¨ The proposal/initiative relates to a new action
following a pilot project/preparatory action[4]
þ The proposal/initiative relates to the extension of
an existing action ¨ The proposal/initiative relates to an action
redirected towards a new action 1.4. Objectives 1.4.1. The Commission's
multiannual strategic objective(s) targeted by the proposal/initiative The present initiative will allow both parties to improve and
intensify their cooperation in science and technology in areas of common
interest. 1.4.2. Specific objective(s) and
ABM/ABB activity(ies) concerned Specific objective No 1 It will allow a further exchange of specific knowledge and a transfer
of know-how to the benefit of the scientific communities, industry and the
citizens. ABM/ABB activity(ies) concerned 1.4.3. Expected result(s) and
impact Specify the effects
which the proposal/initiative should have on the beneficiaries/groups targeted. This decision will allow the EU and the USA to derive mutual benefit
from the scientific and technological progress achieved through research
cooperation in their respective specific research programmes and facilitate
further increased cooperation. 1.4.4. Indicators of results and
impact Specify the
indicators for monitoring implementation of the proposal/initiative. The Commission services will regularly monitor all actions carried
out under the Agreement, which will include a review by the EU. The review will
consist of the following elements; (a) Number of new joint initiatives / activities carried out under
the agreement. (b) Cooperation through the Framework Programme – number of submitted
proposals with US participants compared with number of proposals with US participants selected for funding under the programme. 1.5. Grounds for the
proposal/initiative 1.5.1. Requirement(s) to be met in
the short or long term This decision will allow both parties to continue to improve and
intensify their cooperation in mutually beneficial areas of science and
technology. 1.5.2. Added value of EU
involvement The Agreement is based on the principles of mutual benefit,
reciprocal access to programmes and activities of the other party, in
connection with the subject of the Agreement, non-discrimination, effective
protection of intellectual property and equitable sharing of IPR and effective
exploitation of results. The extension of this Agreement will allow for
increased scientific knowledge leading to market access opportunities. 1.5.3. Lessons learned from
similar experiences in the past Based on experience thus far in the S&T cooperation it is
considered mutually beneficial to continue this cooperation with the USA by extending the Agreement. 1.5.4. Compatibility and possible
synergy with other appropriate instruments The extension of the Agreement with the USA is fully coherent with
the opening up of participation in the EU Framework Programmes to the world. 1.6. Duration and financial
impact þ Proposal/initiative of limited
duration –
þ Proposal/initiative in effect from 14/10/2013 to 13/10/2018 –
þ Financial impact from 2013 to 2018 ¨ 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)
envisaged[5] þ Centralised direct management by the Commission ¨ Centralised indirect management with the delegation of implementation tasks to: –
¨ executive agencies –
¨ bodies set up by the Communities[6] –
¨ 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 2. MANAGEMENT MEASURES 2.1. Monitoring and reporting
rules Specify frequency
and conditions. Participation of research entities from the USA in the Framework Programme (Horizon 2020) and other cooperative activities under the
Agreement will be regularly followed through meetings of the Joint Consultative
Group established under Art. 6(b) of the Agreement. 2.2. Management and control
system 2.2.1. Risk(s) identified Meetings and bilateral contacts occur regularly, allowing for a systematic
sharing of information. No risks have been identified in the control system. 2.2.2. Control method(s) envisaged
2.2.3. Costs and benefits of
controls and probable non-compliance rate 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 1073/99 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 1073/1999 and No 1074/1999; -
the application of administrative penalties for all intentional or negligent
irregularities in the implementation of the contracts, in accordance with the
Framework Regulation No 2988/95, including a blacklisting mechanism; -
the fact that any recovery orders in the event of irregularities and fraud must
be enforceable according to Article 299 of the Treaty on the Functioning of the
European Union. In
addition and as a routine measure, a control programme in respect of 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 Number [Description………………………...……….] || Diff./non-diff. ([7]) || from EFTA countries[8] || from candidate countries[9] || from third countries || within the meaning of Article 18(1)(aa) of the Financial Regulation 1a || 08.01.05 || Non-diff. || YES || YES || YES || YES 1a || 08.01.05.01 || Non-diff. || YES || YES || YES || YES 1a || 08.01.05.03 || Non-diff. || YES || YES || YES || YES · 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 18(1)(aa) of the Financial Regulation || [XX.YY.YY.YY] || || YES/NO || YES/NO || YES/NO || YES/NO 3.2. Estimated impact on
expenditure This part must be completed on the spread sheet on budget data of an
administrative nature (second document in the annex to this financial
statement) to be uploaded to CISNET for interdepartmental consultation purposes. 3.2.1. Summary of estimated impact
on expenditure EUR million (to three decimal places) Heading of multiannual financial framework: || 1a || [Heading]: Competitiveness for Growth and Jobs DG: <Research and Innovation.> || || || Year 2013[10] || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || || TOTAL Operational appropriations || || || || || || || || Number of budget line || Commitments || (1) || || || || || || || || Payments || (2) || || || || || || || || Number of budget line || Commitments || (1a) || || || || || || || || Payments || (2a) || || || || || || || || Appropriations of an administrative nature financed from the envelope of specific programmes[11] || || || || || || || || Number of budget line || 08.01.05 || (3) || || || || || || || || TOTAL appropriations for DG <Research and Innovation>[12] || Commitments || =1+1a +3 || 0.044 || 0.175 || 0.175 || 0.175 || 0.175 || 0.131 || || 0.875 Payments || =2+2a +3 || 0.044 || 0.175 || 0.175 || 0.175 || 0.175 || 0.131 || || 0.875 Number of budget line || 08.01.05.01 || (3a) || || || || || || || || TOTAL appropriations for DG <Research and Innovation>[13] || Commitments || =1+1a +3a || 0.033 || 0.131 || 0.131 || 0.131 || 0.131 || 0.098 || || 0.655 Payments || =2+2a +3a || 0.033 || 0.131 || 0.131 || 0.131 || 0.131 || 0.098 || || 0.655 Number of budget line || 08.01.05.03 || (3b) || || || || || || || || TOTAL appropriations for DG <Research and Innovation>[14] || Commitments || =1+1a +3b || 0.011 || 0.044 || 0.044 || 0.044 || 0.044 || 0.033 || || 0.220 Payments || =2+2a+3b || 0.011 || 0.044 || 0.044 || 0.044 || 0.044 || 0.033 || || 0.220 TOTAL operational appropriations || Commitments || (4) || || || || || || || || Payments || (5) || || || || || || || || TOTAL appropriations of an administrative nature financed from the envelope for specific programmes || (6) || 0.044 || 0.175 || 0.175 || 0.175 || 0.175 || 0.131 || || 0.875 TOTAL appropriations under HEADING <1a.> of the multiannual financial framework || Commitments || =4+ 6 || 0.044 || 0.175 || 0.175 || 0.175 || 0.175 || 0.131 || || 0.875 Payments || =5+ 6 || 0.044 || 0.175 || 0.175 || 0.175 || 0.175 || 0.131 || || 0.875 If more than one heading is affected by the proposal /
initiative: TOTAL operational appropriations || Commitments || (4) || || || || || || || || Payments || (5) || || || || || || || || TOTAL appropriations of an administrative nature financed from the envelope for specific programmes || (6) || || || || || || || || TOTAL appropriations under HEADINGS 1 to 4 of the multiannual financial framework (Reference amount) || Commitments || =4+ 6 || || || || || || || || Payments || =5+ 6 || || || || || || || || Heading of multiannual financial framework || 5 || ‘Administrative expenditure’ EUR million (to three decimal places) || || || Year 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 DG: <…….> || Human resources || || || || || || || || Other administrative expenditure || || || || || || || || TOTAL DG <…….> || Appropriations || || || || || || || || TOTAL appropriations for HEADING 5 of the multiannual financial framework || (Total commitments = Total payments) || || || || || || || || EUR million (to three decimal places) || || || 2013[15] || 2014 || 2015 || 2016 || 2017 || 2018 || || TOTAL TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework || Commitments || 0.044 || 0.175 || 0.175 || 0.175 || 0.175 || 0.131 || || 0.875 Payments || 0.044 || 0.175 || 0.175 || 0.175 || 0.175 || 0.131 || || 0.875 3.2.2. Estimated impact on
operational appropriations –
þ The proposal/initiative does not require the use of
operational appropriations –
¨ 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 ò || || || 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[16] || Average cost || Number || Cost || Number || Cost || Number || Cost || Number || Cost || Number || Cost || Number || Cost || Number || Cost || Total number || Total cost SPECIFIC OBJECTIVE NO 1[17] || || || || || || || || || || || || || || || || - Output || || || || || || || || || || || || || || || || || || - Output || || || || || || || || || || || || || || || || || || - Output || || || || || || || || || || || || || || || || || || Subtotal for specific objective No 1 || || || || || || || || || || || || || || || || SPECIFIC OBJECTIVE No 2… || || || || || || || || || || || || || || || || - Output || || || || || || || || || || || || || || || || || || Subtotal for specific objective No 2 || || || || || || || || || || || || || || || || TOTAL COST || || || || || || || || || || || || || || || || 3.2.3. Estimated impact on
appropriations of an administrative nature 3.2.3.1. Summary –
¨ The proposal/initiative does not require the use of appropriations
of an administrative nature –
þ The proposal/initiative requires the use of
appropriations of an administrative nature, as explained below: EUR million (to
three decimal places) || Year 2013[18] || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || TOTAL HEADING 5 of the multiannual financial framework || || || || || || || Human resources || || || || || || || Other administrative expenditure || || || || || || || Subtotal HEADING 5 of the multiannual financial framework || || || || || || || Outside HEADING 5[19] of the multiannual financial framework || || || || || || || Human resources || 0.033 || 0.131 || 0.131 || 0.131 || 0.131 || 0.098 || 0.655 Other expenditure of an administrative nature || 0.011 || 0.044 || 0.044 || 0.044 || 0.044 || 0.033 || 0.220 Subtotal outside HEADING 5 of the multiannual financial framework || || || || || || || TOTAL || 0.044 || 0.175 || 0.175 || 0.175 || 0.175 || 0.131 || 0.875 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. –
þ The proposal/initiative requires the use of human
resources, as explained below: Estimate to be expressed in full time
equivalent units || Year 2013 || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Enter as many years as necessary to show the duration of the impact (see point 1.6) Establishment plan posts (officials and temporary agents) || XX 01 01 01 (Headquarters and Commission’s Representation Offices) || || || || || || || XX 01 01 02 (Delegations) || || || || || || || 08 01 05 01 (Indirect research) || 1 || 1 || 1 || 1 || 1 || 1 || 10 01 05 01 (Direct research) || || || || || || || || External personnel (in Full Time Equivalent unit: FTE)[20] || 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 yy[21] || - 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 || 1 || 1 || 1 || 1 || 1 || 1 || XX is the policy area or budget title concerned. The human resources
required will be met by staff from the DG who are already assigned to
management of the action and/or have been redeployed within the DG, together if
necessary with any additional allocation which may be granted to the managing DG
under the annual allocation procedure and in the light of budgetary
constraints. Description of
tasks to be carried out: Officials and temporary staff || Preparation and management of the Joint Consultative Group meetings foreseen under Art. 6 of the Agreement, and missions ensuring the good functioning and implementation of the Agreement and regular review of the Agreement. External staff || 3.2.4. Compatibility with the
current multiannual financial framework –
þProposal/initiative is compatible the current multiannual financial
framework. 3.2.5. Third-party contributions –
The proposal/initiative does not provide for
co-financing by third parties.
3.3. Estimated impact on
revenue – þ Proposal/initiative
has no financial impact on revenue. [1] A Commission recommendation for the Council to adopt
such a decision will be submitted separately. [2] The date of entry into force
of the Agreement will be published in the Official Journal of the European Union by the General Secretariat of the
Council. [3] ABM: Activity-Based Management – ABB: Activity-Based
Budgeting. [4] As referred to in Article 49(6)(a) or (b) of the
Financial Regulation. [5] Details of management modes and references to the
Financial Regulation may be found on the BudgWeb site: http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html [6] As referred to in Article 185 of the Financial
Regulation. [7] Diff. = Differentiated appropriations / Non-Diff. =
Non-differentiated appropriations. [8] EFTA: European Free Trade Association. [9] Candidate countries and, where applicable, potential
candidate countries from the Western Balkans. [10] Year N is the year in which implementation of the
proposal/initiative starts. [11] Technical and/or administrative assistance and
expenditure in support of the implementation of EU programmes and/or actions
(former ‘BA’ lines), indirect research, direct research. [12] Appropriations for the period 2014-2020 and related
legal basis are still to be adopted by the European Parliament and the Council
and the Draft Budget 2014 is yet to be approved by the budget authority. [13] Appropriations for the period 2014-2020 and related
legal basis are still to be adopted by the European Parliament and the Council
and the Draft Budget 2014 is yet to be approved by the budget authority. [14] Appropriations for the period 2014-2020 and related
legal basis are still to be adopted by the European Parliament and the Council
and the Draft Budget 2014 is yet to be approved by the budget authority. [15] Year N is the year in which implementation of the
proposal/initiative starts. [16] Outputs are products and services to be supplied (e.g.:
number of student exchanges financed, number of km of roads built, etc.). [17] As described in point 1.4.2. ‘Specific objective(s)…’ [18] Year N is the year in which implementation of the
proposal/initiative starts. [19] Technical and/or administrative assistance and
expenditure in support of the implementation of EU programmes and/or actions
(former ‘BA’ lines), indirect research, direct research. [20] CA= Contract Agent; LA = Local Agent; SNE = Seconded
National Expert; INT = agency staff (‘Intérimaire’); JED= ‘Jeune Expert en
Délégation’ (Young Experts in Delegations). [21] Sub-ceiling for external staff covered by operational
appropriations (former "BA" lines).