Document ID: 32020B0708(02)
Language: ENG

<table><col/><col/><col/><col/><tbody><tr><td><p>8.7.2020&#160;&#160;&#160;</p></td><td><p>EN</p></td><td><p>Official Journal of the European Union</p></td><td><p>C 225/7</p></td></tr></tbody></table>
Statement of revenue and expenditure of the European Securities and Markets Authority (ESMA) for the financial year 2020 – amending budget No 1
(2020/C 225/02)
REVENUE
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>Title</p><p>Chapter</p></td><td><p>Heading</p></td><td><p>Budget 2020</p></td><td><p>Amending budget No 1</p></td><td><p>New amount</p></td></tr><tr><td><p><span>1</span></p></td><td><p><span>CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES</span></p></td></tr><tr><td><p>1 0</p></td><td><p>CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES</p></td><td><p>22&#160;015&#160;379</p></td><td><p>&#160;</p></td><td><p>22&#160;015&#160;379</p></td></tr><tr/><tr/><tr><td><p>&#160;</p></td><td><p><span>Title 1 &#8212; Total</span></p></td><td><p><span>22&#160;015&#160;379</span></p></td><td><p>&#160;</p></td><td><p><span>22&#160;015&#160;379</span></p></td></tr><tr><td><p><span>2</span></p></td><td><p><span>CONTRIBUTION FROM THE EUROPEAN UNION</span></p></td></tr><tr><td><p>2 0</p></td><td><p>CONTRIBUTION FROM THE EUROPEAN UNION</p></td><td><p>20&#160;112&#160;045</p></td><td><p>&#8211;2&#160;472&#160;165</p></td><td><p>17&#160;639&#160;880</p></td></tr><tr/><tr/><tr><td><p>&#160;</p></td><td><p><span>Title 2 &#8212; Total</span></p></td><td><p><span>20&#160;112&#160;045</span></p></td><td><p><span>&#8211;2&#160;472&#160;165</span></p></td><td><p><span>17&#160;639&#160;880</span></p></td></tr><tr><td><p><span>3</span></p></td><td><p><span>FEES PAID TO THE AUTHORITY</span></p></td></tr><tr><td><p>3 0</p></td><td><p>FEES PAID TO THE AUTHORITY</p></td><td><p>13&#160;383&#160;007</p></td><td><p>&#160;</p></td><td><p>13&#160;383&#160;007</p></td></tr><tr/><tr/><tr><td><p>&#160;</p></td><td><p><span>Title 3 &#8212; Total</span></p></td><td><p><span>13&#160;383&#160;007</span></p></td><td><p>&#160;</p></td><td><p><span>13&#160;383&#160;007</span></p></td></tr><tr><td><p><span>4</span></p></td><td><p><span>CONTRIBUTION FROM OBSERVERS</span></p></td></tr><tr><td><p>4 0</p></td><td><p>CONTRIBUTION FROM OBSERVERS</p></td><td><p>625&#160;437</p></td><td><p>&#160;</p></td><td><p>625&#160;437</p></td></tr><tr/><tr/><tr><td><p>&#160;</p></td><td><p><span>Title 4 &#8212; Total</span></p></td><td><p><span>625&#160;437</span></p></td><td><p>&#160;</p></td><td><p><span>625&#160;437</span></p></td></tr><tr><td><p><span>6</span></p></td><td><p><span>ADMINISTRATIVE OPERATIONS</span></p></td></tr><tr><td><p>6 0</p></td><td><p>ADMINISTRATIVE OPERATIONS</p></td><td><p>200&#160;000</p></td><td><p>&#8211;&#160;200&#160;000</p></td><td><p>0</p></td></tr><tr/><tr/><tr><td><p>&#160;</p></td><td><p><span>Title 6 &#8212; Total</span></p></td><td><p><span>200&#160;000</span></p></td><td><p><span>&#8211;&#160;200&#160;000</span></p></td><td><p><span>0</span></p></td></tr><tr><td><p><span>7</span></p></td><td><p><span>CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS</span></p></td></tr><tr><td><p>7 0</p></td><td><p>CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS</p></td><td><p>1&#160;697&#160;615</p></td><td><p>&#160;</p></td><td><p>1&#160;697&#160;615</p></td></tr><tr/><tr/><tr><td><p>&#160;</p></td><td><p><span>Title 7 &#8212; Total</span></p></td><td><p><span>1&#160;697&#160;615</span></p></td><td><p>&#160;</p></td><td><p><span>1&#160;697&#160;615</span></p></td></tr><tr/><tr/><tr><td><p>&#160;</p></td><td><p><span>GRAND TOTAL</span></p></td><td><p><span>58&#160;033&#160;483</span></p></td><td><p><span>&#8211;2&#160;672&#160;165</span></p></td><td><p><span>55&#160;361&#160;318</span></p></td></tr></tbody></table>
EXPENDITURE
<table><col/><col/><col/><col/><col/><tbody><tr><td><p>Title</p><p>Chapter</p></td><td><p>Heading</p></td><td><p>Appropriations 2020</p></td><td><p>Amending budget No 1</p></td><td><p>New amount</p></td></tr><tr><td><p><span>1</span></p></td><td><p><span>STAFF EXPENDITURE</span></p></td></tr><tr><td><p>1 1</p></td><td><p>STAFF IN ACTIVE EMPLOYMENT</p></td><td><p>34&#160;840&#160;483</p></td><td><p>&#8211;2&#160;815&#160;165</p></td><td><p>32&#160;025&#160;318</p></td></tr><tr><td><p>1 2</p></td><td><p>EXPENDITURE RELATING TO STAFF MANAGEMENT AND RECRUITMENT</p></td><td><p>600&#160;000</p></td><td><p>&#8211;&#160;100&#160;000</p></td><td><p>500&#160;000</p></td></tr><tr><td><p>1 4</p></td><td><p>SOCIAL-MEDICAL INFRASTRUCTURE</p></td><td><p>820&#160;000</p></td><td><p>&#8211;50&#160;000</p></td><td><p>770&#160;000</p></td></tr><tr><td><p>1 6</p></td><td><p>TRAINING</p></td><td><p>305&#160;000</p></td><td><p>&#8211;75&#160;000</p></td><td><p>230&#160;000</p></td></tr><tr/><tr/><tr><td><p>&#160;</p></td><td><p><span>Title 1 &#8212; Total</span></p></td><td><p><span>36&#160;565&#160;483</span></p></td><td><p><span>&#8211;3&#160;040&#160;165</span></p></td><td><p><span>33&#160;525&#160;318</span></p></td></tr><tr><td><p><span>2</span></p></td><td><p><span>INFRASTRUCTURE AND ADMINISTRATIVE EXPENDITURE</span></p></td></tr><tr><td><p>2 0</p></td><td><p>RENTAL OF BUILDING AND ASSOCIATED COSTS</p></td><td><p>6&#160;560&#160;000</p></td><td><p>&#8211;&#160;180&#160;000</p></td><td><p>6&#160;380&#160;000</p></td></tr><tr><td><p>2 1</p></td><td><p>INFORMATION AND COMMUNICATION TECHNOLOGY</p></td><td><p>600&#160;000</p></td><td><p>&#8211;&#160;150&#160;000</p></td><td><p>450&#160;000</p></td></tr><tr><td><p>2 3</p></td><td><p>CURRENT ADMINISTRATIVE EXPENDITURE</p></td><td><p>855&#160;000</p></td><td><p>190&#160;000</p></td><td><p>1&#160;045&#160;000</p></td></tr><tr><td><p>2 7</p></td><td><p>REPRESENTATION EXPENSES, RECEPTIONS AND EVENTS</p></td><td><p>6&#160;000</p></td><td><p>&#160;</p></td><td><p>6&#160;000</p></td></tr><tr/><tr/><tr><td><p>&#160;</p></td><td><p><span>Title 2 &#8212; Total</span></p></td><td><p><span>8&#160;021&#160;000</span></p></td><td><p><span>&#8211;&#160;140&#160;000</span></p></td><td><p><span>7&#160;881&#160;000</span></p></td></tr><tr><td><p><span>3</span></p></td><td><p><span>OPERATING EXPENDITURES</span></p></td></tr><tr><td><p>3 1</p></td><td><p>TRAINING FOR A COMMON SUPERVISORY CULTURE</p></td><td><p>50&#160;000</p></td><td><p>&#160;</p></td><td><p>50&#160;000</p></td></tr><tr><td><p>3 2</p></td><td><p>COLLECTION OF INFORMATION: IT PROJECTS</p></td><td><p>8&#160;540&#160;000</p></td><td><p>605&#160;000</p></td><td><p>9&#160;145&#160;000</p></td></tr><tr><td><p>3 4</p></td><td><p>LEGAL ADVICE</p></td><td><p>150&#160;000</p></td><td><p>&#160;</p></td><td><p>150&#160;000</p></td></tr><tr><td><p>3 5</p></td><td><p>ACCESS TO DATA FOR ECONOMIC RESEARCH</p></td><td><p>600&#160;000</p></td><td><p>&#160;</p></td><td><p>600&#160;000</p></td></tr><tr><td><p>3 6</p></td><td><p>MISSIONS EXPENSES, TRAVEL AND INCIDENTAL EXPENSES</p></td><td><p>610&#160;000</p></td><td><p>&#8211;10&#160;000</p></td><td><p>600&#160;000</p></td></tr><tr><td><p>3 7</p></td><td><p>COMMUNICATION</p></td><td><p>517&#160;000</p></td><td><p>&#8211;57&#160;000</p></td><td><p>460&#160;000</p></td></tr><tr><td><p>3 8</p></td><td><p>MEETING EXPENSES</p></td><td><p>445&#160;000</p></td><td><p>&#8211;30&#160;000</p></td><td><p>415&#160;000</p></td></tr><tr><td><p>3 9</p></td><td><p>SERVICES ON OPERATIONAL MATTERS</p></td><td><p>85&#160;000</p></td><td><p>&#160;</p></td><td><p>85&#160;000</p></td></tr><tr/><tr/><tr><td><p>&#160;</p></td><td><p><span>Title 3 &#8212; Total</span></p></td><td><p><span>10&#160;997&#160;000</span></p></td><td><p><span>508&#160;000</span></p></td><td><p><span>11&#160;505&#160;000</span></p></td></tr><tr><td><p><span>4</span></p></td><td><p><span>DELEGATED TASKS</span></p></td></tr><tr><td><p>4 0</p></td><td><p>SINGLE INTERFACE TO TRADE REPOSITORIES</p></td><td><p>400&#160;000</p></td><td><p>&#160;</p></td><td><p>400&#160;000</p></td></tr><tr><td><p>4 1</p></td><td><p>INSTRUMENTS REFERENCE DATA</p></td><td><p>2&#160;050&#160;000</p></td><td><p>&#160;</p></td><td><p>2&#160;050&#160;000</p></td></tr><tr/><tr/><tr><td><p>&#160;</p></td><td><p><span>Title 4 &#8212; Total</span></p></td><td><p><span>2&#160;450&#160;000</span></p></td><td><p>&#160;</p></td><td><p><span>2&#160;450&#160;000</span></p></td></tr><tr><td><p><span>9</span></p></td><td><p><span>ITEMS OUTSIDE THE FORESEEN BUDGET LINES</span></p></td></tr><tr><td><p>9 0</p></td><td><p>ITEMS OUTSIDE THE FORESEEN BUDGET LINES</p></td><td><p>&#160;</p></td><td><p>&#160;</p></td><td><p>&#160;</p></td></tr><tr/><tr/><tr><td><p>&#160;</p></td><td><p><span>Title 9 &#8212; Total</span></p></td><td><p>&#160;</p></td><td><p>&#160;</p></td><td><p>&#160;</p></td></tr><tr/><tr/><tr><td><p>&#160;</p></td><td><p><span>GRAND TOTAL</span></p></td><td><p><span>58&#160;033&#160;483</span></p></td><td><p><span>&#8211;2&#160;672&#160;165</span></p></td><td><p><span>55&#160;361&#160;318</span></p></td></tr></tbody></table>
Establishment plan
<table><col/><col/><col/><col/><col/><col/><col/><tbody><tr><td><p>Function group and grade</p></td><td><p>2020</p></td><td><p>2019</p></td><td><p>2018</p></td></tr><tr><td><p>Permanent posts</p></td><td><p>Temporary posts</p></td><td><p>Permanent posts</p></td><td><p>Temporary posts</p></td><td><p>Permanent posts</p></td><td><p>Temporary posts</p></td></tr><tr/><tr/><tr><td><p>AD 16</p></td><td><p>&#8212;</p></td><td><p>2</p></td><td><p>&#8212;</p></td><td><p>1</p></td><td><p>&#8212;</p></td><td><p>1</p></td></tr><tr><td><p>AD 15</p></td><td><p>&#8212;</p></td><td><p>3</p></td><td><p>&#8212;</p></td><td><p>2</p></td><td><p>&#8212;</p></td><td><p>1</p></td></tr><tr><td><p>AD 14</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>6</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td></tr><tr><td><p>AD 13</p></td><td><p>&#8212;</p></td><td><p>3</p></td><td><p>&#8212;</p></td><td><p>2</p></td><td><p>&#8212;</p></td><td><p>2</p></td></tr><tr><td><p>AD 12</p></td><td><p>&#8212;</p></td><td><p>7</p></td><td><p>&#8212;</p></td><td><p>7</p></td><td><p>&#8212;</p></td><td><p>6</p></td></tr><tr><td><p>AD 11</p></td><td><p>&#8212;</p></td><td><p>14</p></td><td><p>&#8212;</p></td><td><p>14</p></td><td><p>&#8212;</p></td><td><p>9</p></td></tr><tr><td><p>AD 10</p></td><td><p>&#8212;</p></td><td><p>17</p></td><td><p>&#8212;</p></td><td><p>17</p></td><td><p>&#8212;</p></td><td><p>14</p></td></tr><tr><td><p>AD 9</p></td><td><p>&#8212;</p></td><td><p>39</p></td><td><p>&#8212;</p></td><td><p>39</p></td><td><p>&#8212;</p></td><td><p>28</p></td></tr><tr><td><p>AD 8</p></td><td><p>&#8212;</p></td><td><p>30</p></td><td><p>&#8212;</p></td><td><p>30</p></td><td><p>&#8212;</p></td><td><p>28</p></td></tr><tr><td><p>AD 7</p></td><td><p>&#8212;</p></td><td><p>57</p></td><td><p>&#8212;</p></td><td><p>58</p></td><td><p>&#8212;</p></td><td><p>26</p></td></tr><tr><td><p>AD 6</p></td><td><p>&#8212;</p></td><td><p>10</p></td><td><p>&#8212;</p></td><td><p>10</p></td><td><p>&#8212;</p></td><td><p>14</p></td></tr><tr><td><p>AD 5</p></td><td><p>&#8212;</p></td><td><p>32</p></td><td><p>&#8212;</p></td><td><p>11</p></td><td><p>&#8212;</p></td><td><p>15</p></td></tr><tr/><tr/><tr><td><p>Total AD</p></td><td><p>&#8212;</p></td><td><p>214</p></td><td><p>&#8212;</p></td><td><p>197</p></td><td><p>&#8212;</p></td><td><p>144</p></td></tr><tr/><tr/><tr><td><p>AST 11</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td></tr><tr><td><p>AST 10</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td></tr><tr><td><p>AST 9</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td></tr><tr><td><p>AST 8</p></td><td><p>&#8212;</p></td><td><p>2</p></td><td><p>&#8212;</p></td><td><p>2</p></td><td><p>&#8212;</p></td><td><p>2</p></td></tr><tr><td><p>AST 7</p></td><td><p>&#8212;</p></td><td><p>3</p></td><td><p>&#8212;</p></td><td><p>3</p></td><td><p>&#8212;</p></td><td><p>2</p></td></tr><tr><td><p>AST 6</p></td><td><p>&#8212;</p></td><td><p>3</p></td><td><p>&#8212;</p></td><td><p>3</p></td><td><p>&#8212;</p></td><td><p>3</p></td></tr><tr><td><p>AST 5</p></td><td><p>&#8212;</p></td><td><p>3</p></td><td><p>&#8212;</p></td><td><p>3</p></td><td><p>&#8212;</p></td><td><p>4</p></td></tr><tr><td><p>AST 4</p></td><td><p>&#8212;</p></td><td><p>1</p></td><td><p>&#8212;</p></td><td><p>1</p></td><td><p>&#8212;</p></td><td><p>1</p></td></tr><tr><td><p>AST 3</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>1</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td></tr><tr><td><p>AST 2</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td></tr><tr><td><p>AST 1</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td><td><p>&#8212;</p></td></tr><tr/><tr/><tr><td><p>Total AST</p></td><td><p>&#8212;</p></td><td><p>12</p></td><td><p>&#8212;</p></td><td><p>13</p></td><td><p>&#8212;</p></td><td><p>12</p></td></tr><tr/><tr/><tr><td><p>AST/SC6</p><p>AST/SC5</p><p>AST/SC4</p><p>AST/SC3</p><p>AST/SC2</p><p>AST/ASC1</p><p>Total AST/SC</p></td><td><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p></td><td><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p></td><td><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p></td><td><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p></td><td><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p></td><td><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p><p>&#8212;</p></td></tr><tr/><tr/><tr><td><p>Total</p></td><td><p>&#8212;</p></td><td><p>226</p></td><td><p>&#8212;</p></td><td><p>210</p></td><td><p>&#8212;</p></td><td><p>156</p></td></tr><tr/><tr/><tr><td><p><span>Grand Total</span></p></td><td><p>226</p></td><td><p>210</p></td><td><p>156</p></td></tr></tbody></table>
Estimate of number of contract staff (expressed in full-time equivalents) and seconded national experts
<table><col/><col/><tbody><tr><td><p>Contract staff posts</p></td><td><p>2020</p></td></tr><tr/><tr/><tr><td><p>FG IV</p></td><td><p>60</p></td></tr><tr><td><p>FG III</p></td><td><p>31</p></td></tr><tr><td><p>FG II</p></td><td><p>&#8212;</p></td></tr><tr><td><p>FG I</p></td><td><p>&#8212;</p></td></tr><tr/><tr/><tr><td><p>Total FG</p></td><td><p>91</p></td></tr><tr/><tr/><tr><td><p>Seconded national experts posts</p></td><td><p>14</p></td></tr><tr/><tr/><tr><td><p>Total</p></td><td><p>105</p></td></tr></tbody></table>