# IMMC.COM_2018_0614_FIN.ENG.xhtml.1_EN_ACT_part1_v4.docx

european flagEUROPEAN COMMISSION

Brussels, 7.9.2018

COM(2018) 614 final

2018/0322(COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

amending Regulation (EU) No 1303/2013 as regards the adjustment of annual pre-financing for the years 2021 to 2023

EXPLANATORY MEMORANDUM

1.CONTEXT OF THE PROPOSAL

•Reasons for and objectives of the proposal

Evidence shows that annual pre-financing paid to Member States for a given accounting year and cleared with the acceptance of accounts results in annual recovery orders of a significant magnitude (for instance, EUR 6.6 billion in 2017). This means in practice that payment credits are requested from Member States from payment appropriations in the Union's budget to pay to them annual pre-financing that a year later has to be recovered to a significant extent.

Therefore, to increase transparency and contribute to the predictability of budgetary planning and to a more stable and predictable payment profile, it is proposed that for the last three years of the current implementation period 2021-2023, which are overlapping with the next implementation period starting in 2021, the annual pre-financing is reduced to the necessary minimum. This approach also takes account of payment needs stemming from pre-financing arrangements proposed for the 2021-2027 programmes where only initial pre-financing would be paid in six annual tranches
  1
  . This intention was already signalled by the Commission
  2
  .

•Consistency with existing policy provisions in the policy area

•

Consistency with existing policy provisions in the policy area

The proposal is consistent with the provisions concerning budgetary management of the European Structural and Investment (ESI) Funds as set out in Regulation (EU) No 1303/2013
  3
  . The amendment does not introduce a structural change of those provisions.

•Consistency with other Union policies

•

Consistency with other Union policies

The proposal is consistent with other proposals and initiatives adopted by the European Commission. It is also consistent with the requirements of sound budgetary management.

2.LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY

2.

LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY

•Legal basis

•

Legal basis

Regulation (EU) No 1303/2013 defines the common rules applicable to the ESI Funds. Based on the principle of shared management between the Commission and the Member States, this Regulation includes provisions for the programming process as well as arrangements for programme (including financial) management, monitoring, financial control and evaluation of projects.

•Subsidiarity (for non-exclusive competence)

•

Subsidiarity (for non-exclusive competence)

The proposal concerns the decrease of annual pre-financing provided by the Commission from the budget of the Union to Member States. The rates of annual pre-financing are established at Union level in Regulation (EU) No 1303/2013. Therefore an amendment of the provisions set out in this regulation requires the amendment of this Regulation. National or regional means are not appropriate to address the problem at hand. Therefore, the proposal complies with the subsidiarity principle.

•Proportionality

•

Proportionality

The proposal is in conformity with the proportionality principle as it does not go beyond the minimum required to achieve the stated objective at Union level and what is necessary for that purpose. The rate of annual pre-financing is decreased to be commensurate with cash-flow requirements taking into account the increased pace of cash-flow on the basis of interim payment applications stemming from the accelerated implementation of the ESI Funds. When establishing the proposed rate, the Commission took into consideration that for the years concerned the basis to which the percentages relate already include the performance reserve, hence a lower share can guarantee the same amount of pre-financing.

•Choice of the instrument

•

Choice of the instrument

Proposed instrument: amendment of the current Regulation. The Commission has explored the scope for manoeuvre provided by the legal framework and considers it necessary to propose amendments to Regulation (EU) No 1303/2013.

3.RESULTS OF EX-POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS

3.

RESULTS OF EX-POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS

•Ex-post evaluations/fitness checks of existing legislation

There was no ex-post evaluation/or fitness checks of the existing legislation.

•Stakeholder consultations

•

Stakeholder consultations

There was no consultation of external stakeholders.

•Collection and use of expertise

•

Collection and use of expertise

Use of external expertise has not been necessary.

•Impact assessment

•

Impact assessment

The proposal is not expected to have significant economic, social or environmental impacts. The proposal will result in decreasing the annual pre-financing from 3% of the amount of the support from the Funds and the European Maritime and Fisheries Fund (‘EMFF’) for the whole programming period to the operational programme to 1% for the years 2021-2023, more suitable to the cash-flow requirements stemming from programme implementation. This lower pre-financing takes into account the anticipated accelerated submission of interim payment claims, the fact that for these years the basis for calculating the amount of annual pre-financing is increased by the size of the performance reserve which will be definitely allocated by then as well as pre-financing available for Member States from the 2021-2027 programming period.

Given that annual pre-financing is made available for an accounting year which spans over two annual budgetary years, the excess amount paid in year N as annual pre-financing will be cleared in year N+1, which results in unnecessary payment flows without added value. Reducing the rate of annual pre-financing for the proposed years will contribute to increasing the predictability of budgetary planning, to a more stable and predictable payment profile, to the reduction of the risk of payment backlogs, to increased transparency in payment needs and, therefore, to better budgetary management.

•Regulatory fitness and simplification

•

Regulatory fitness and simplification

This is not an initiative within the Regulatory Fitness Programme (REFIT).

•Fundamental rights

•

Fundamental rights

The proposal has no consequences for the protection of fundamental rights.

4.BUDGETARY IMPLICATIONS

4.

BUDGETARY IMPLICATIONS

There is no impact on commitment appropriations since no modification is proposed to the maximum amounts of the ESI Funds financing provided for in the operational programmes for the programming period 2014-2020.

The overall impact on payment appropriations is neutralised. As detailed in the financial statement attached to the proposal, the suggested change will contribute to a reduction in payment appropriations related to the year 2021 entirely due to the reduction of the annual pre-financing amounts which will be compensated by higher payment needs for the year 2024. For the years 2022 and 2023, lower annual pre-financing will be offset in the framework of the examination and acceptance of accounts, therefore the effect is neutral.

5.OTHER ELEMENTS

5.

OTHER ELEMENTS

•Implementation plans and monitoring, evaluation and reporting arrangements

•

Implementation plans and monitoring, evaluation and reporting arrangements

Not applicable. The existing delivery systems of the ESI Funds can be used to monitor the implementation of this proposal.

•Explanatory documents (for directives)

•

Explanatory documents (for directives)

Not applicable.

•Detailed explanation of the specific provisions of the proposal

•

Detailed explanation of the specific provisions of the proposal

Article 134(2) will be modified to set the annual pre-financing for the years 2021 to 2023 at 1%, from the currently applicable 3%, of the amount of the support from the Funds and the EMFF for the whole programming period to the operational programme. The annual pre-financing for the year 2020 is maintained at 3% of the amount of the support from the Funds and the EMFF for the whole programming period to the operational programme.

2018/0322 (COD)

2018/0322 (COD)

Proposal for a

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

amending Regulation (EU) No 1303/2013 as regards the adjustment of annual pre-financing for the years 2021 to 2023

amending Regulation (EU) No 1303/2013 as regards the adjustment of annual pre-financing for the years 2021 to 2023

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

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 177 thereof,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 177 thereof,

Having regard to the proposal from the European Commission,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Economic and Social Committee
  4
  ,

Having regard to the opinion of the European Economic and Social Committee

4

,

Having regard to the opinion of the Committee of the Regions
  5
  ,

Having regard to the opinion of the Committee of the Regions

5

,

Acting in accordance with the ordinary legislative procedure,

Acting in accordance with the ordinary legislative procedure,

Whereas:

Whereas:

(1)Regulation (EU) No 1303/2013 of the European Parliament and of the Council
  6
  lays down the common and general provisions applicable to the European Structural and Investment Funds.

(1)

Regulation (EU) No 1303/2013 of the European Parliament and of the Council

6

lays down the common and general provisions applicable to the European Structural and Investment Funds.

(2)Evidence suggests that the annual pre-financing is set at a particularly high level in comparison with financial management requirements stemming from the implementation of operational programmes; this is in particular the case for the budgetary years 2021 to 2023.

(2)

Evidence suggests that the annual pre-financing is set at a particularly high level in comparison with financial management requirements stemming from the implementation of operational programmes; this is in particular the case for the budgetary years 2021 to 2023.

(3)In order to ease the pressure on payment appropriations in the Union budget for the budgetary years 2021 to 2023 and to enhance the predictability of payment requirements and thus contribute to more transparent budgetary planning and a more orderly payment profile, the rate of annual pre-financing for those years should be decreased.

(3)

In order to ease the pressure on payment appropriations in the Union budget for the budgetary years

2021 to 2023

and to enhance the predictability of payment requirements and thus contribute to more transparent budgetary planning and a more orderly payment profile, the rate of annual pre-financing for those years should be decreased.

(4)Regulation (EU) No 1303/2013 should therefore be amended accordingly,

(4)

Regulation (EU) No 1303/2013 should therefore be amended accordingly,

HAVE ADOPTED THIS REGULATION:

HAVE ADOPTED THIS REGULATION:

Article 1

Article 134(2) of Regulation (EU) No 1303/2013 is amended as follows:

(a)
     The fifth indent is replaced by the following:

"— 2020: 3 %";

(b)
     The following indent is added:

"— 2021 to 2023: 1 %."

Article 2

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels,

For the European Parliament
     For the Council

The President
     The President

LEGISLATIVE FINANCIAL STATEMENT

LEGISLATIVE FINANCIAL STATEMENT

1.FRAMEWORK OF THE PROPOSAL/INITIATIVE

1.

FRAMEWORK OF THE PROPOSAL/INITIATIVE

1.1.Title of the proposal/initiative

1.1.Title of the proposal/initiative

1.2.Policy area(s) concerned in the ABM/ABB structure

1.2.Policy area(s) concerned in the ABM/ABB structure

1.3.Nature of the proposal/initiative

1.3.Nature of the proposal/initiative

1.4.Objective(s)

1.4.Objective(s)

1.5.Grounds for the proposal/initiative

1.5.Grounds for the proposal/initiative

1.6.Duration and financial impact

1.6.Duration and financial impact

1.7.Management mode(s) planned

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 Regulation of the European Parliament and of the Council amending Regulation (EU) No 1303/2013 as regards adjusting the level of annual pre-financing for the years 2021 to 2023

1.2.Policy area(s) concerned in the ABM/ABB structure
  7

1.2.

Policy area(s) concerned in the ABM/ABB structure

7

EMPLOYMENT, SOCIAL AFFAIRS AND INCLUSION REGIONAL AND URBAN POLICY

MARITIME AFFAIRS AND FISHERIES

1.3.Nature of the proposal/initiative

1.3.

Nature of the proposal/initiative

⌧ The proposal/initiative relates to a new action

⌧

The proposal/initiative relates to

a new action

◻ The proposal/initiative relates to a new action following a pilot project/preparatory action
  8

◻

The proposal/initiative relates to

a new action following a pilot project/preparatory action

8

◻ The proposal/initiative relates to the extension of an existing action

◻

The proposal/initiative relates to

the extension of an existing action

◻ The proposal/initiative relates to an action redirected towards a new action

◻

The proposal/initiative relates to

an action redirected towards a new action

1.4.Objective(s)

1.4.

Objective(s)

1.4.1.The Commission's multiannual strategic objective(s) targeted by the proposal/initiative

1.4.1.

The Commission's multiannual strategic objective(s) targeted by the proposal/initiative

N/A

1.4.2.Specific objective(s) and ABM/ABB activity(ies) concerned

1.4.2.

Specific objective(s) and ABM/ABB activity(ies) concerned

Specific objective No

N/A

ABM/ABB activity(ies) concerned

N/A

1.4.3.Expected result(s) and impact

1.4.3.

Expected result(s) and impact

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted.

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted.

N/A

1.4.4.Indicators of results and impact

1.4.4.

Indicators of results and impact

Specify the indicators for monitoring implementation of the proposal/initiative.

Specify the indicators for monitoring implementation of the proposal/initiative.

N/A

1.5.Grounds for the proposal/initiative

1.5.

Grounds for the proposal/initiative

1.5.1.Requirement(s) to be met in the short or long term

1.5.1.

Requirement(s) to be met in the short or long term

N/A

1.5.2.Added value of EU involvement

1.5.2.

Added value of EU involvement

N/A

1.5.3.Lessons learned from similar experiences in the past

1.5.3.

Lessons learned from similar experiences in the past

N/A

1.5.4.Compatibility and possible synergy with other appropriate instruments

1.5.4.

Compatibility and possible synergy with other appropriate instruments

N/A

1.6.Duration and financial impact

1.6.

Duration and financial impact

⌧Proposal/initiative of limited duration

⌧Proposal/initiative of

limited duration

–⌧
     Proposal/initiative in effect from 2021 to 2024

–

⌧

–⌧
     Financial impact from 2021 to 2024

–

⌧

◻ Proposal/initiative of unlimited duration

◻

Proposal/initiative of

unlimited duration

–Implementation with a start-up period from YYYY to YYYY,

–

Implementation with a start-up period from YYYY to YYYY,

–followed by full-scale operation.

–

followed by full-scale operation.

1.7.Management mode(s) planned
  9

1.7.

Management mode(s) planned

9

◻ Direct management by the Commission

◻

Direct management

by the Commission

–◻ by its departments, including by its staff in the Union delegations;

–

◻

by its departments, including by its staff in the Union delegations;

–◻
     by the executive agencies

⌧ Shared management with the Member States

◻ Indirect management by entrusting budget implementation tasks to:

–◻ third countries or the bodies they have designated;

–◻ international organisations and their agencies (to be specified);

–◻the EIB and the European Investment Fund;

–◻ bodies referred to in Articles 208 and 209 of the Financial Regulation;

–◻ public law bodies;

–◻ bodies governed by private law with a public service mission to the extent that they provide adequate financial guarantees;

–◻ bodies governed by the private law of a Member State that are entrusted with the implementation of a public-private partnership and that provide adequate financial guarantees;

–◻ persons entrusted with the implementation of specific actions in the CFSP pursuant to Title V of the TEU, and identified in the relevant basic act.

–If more than one management mode is indicated, please provide details in the ‘Comments’ section.

Comments

N/A

2.MANAGEMENT MEASURES

2.

MANAGEMENT MEASURES

2.1.Monitoring and reporting rules

2.1.

Monitoring and reporting rules

Specify frequency and conditions.

Specify frequency and conditions.

N/A

2.2.Management and control system

2.2.

Management and control system

2.2.1.Risk(s) identified

2.2.1.

Risk(s) identified

N/A

2.2.2.Information concerning the internal control system set up

2.2.2.

Information concerning the internal control system set up

N/A

2.2.3.Estimate of the costs and benefits of the controls and assessment of the expected level of risk of error

2.2.3.

Estimate of the costs and benefits of the controls and assessment of the expected level of risk of error

N/A

2.3.Measures to prevent fraud and irregularities

2.3.

Measures to prevent fraud and irregularities

Specify existing or envisaged prevention and protection measures.

Specify existing or envisaged prevention and protection measures.

N/A

3.ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE

3.

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE

3.1.Heading(s) of the multiannual financial framework and expenditure budget line(s) affected

3.1.

Heading(s) of the multiannual financial framework and expenditure budget line(s) affected

·Existing budget lines

·

Existing budget lines

In order of multiannual financial framework headings and budget lines.

In order

of multiannual financial framework headings and budget lines.

| Heading of multiannual financial framework | Budget line | Type of

  expenditure | Contribution |
| --- | --- | --- | --- |
| | Number | Diff./Non-diff.
  10 | from EFTA countries
  11 | from candidate countries
  12 | from third countries | within the meaning of Article 21(2)(b) of the Financial Regulation |
| 1B -
  Economic, Social and Territorial Cohesion | 04 02 60 - European Social Fund — Less developed regions | Diff | NO | NO | NO | NO |
| | 04 02 61 - European Social Fund — Transition regions | Diff | NO | NO | NO | NO |
| | 04 02 62 - European Social Fund — More developed regions | Diff | NO | NO | NO | NO |
| | 04 02 64 - Youth Employment


  Initiative | Diff | NO | NO | NO | NO |
| | 13 03 60 - European Regional


  Development Fund — Less


  developed regions | Diff | NO | NO | NO | NO |
| | 13 03 61 - European Regional


  Development Fund — Transition


  regions | Diff | NO | NO | NO | NO |
| | 13 03 62 - European Regional


  Development Fund — More


  developed regions | Diff | NO | NO | NO | NO |
| | 13 03 63 - European Regional


  Development Fund — Additional


  allocation for outermost


  and sparsely populated regions | Diff | NO | NO | NO | NO |
| | 13 03 64 01 - European Regional Development Fund — European territorial cooperation | Diff | NO | NO | NO | NO |
| | 13 04 60 - Cohesion Fund | Diff | NO | NO | NO | NO |
| 2 - Sustainable Growth: Natural Resources | 11 06 60 - Promoting sustainable and competitive fisheries and


  aquaculture, balanced and


  inclusive territorial development


  of fisheries areas and fostering the implementation of the common


  fisheries policy | Diff | NO | NO | NO | NO |

Heading of multiannual financial framework

Heading of multiannual financial framework

Budget line

Budget line

Type of

  expenditure

Type of

expenditure

Contribution

Contribution

Number

Number

Diff./Non-diff.
  10

Diff./Non-diff.

10

from EFTA countries
  11

from EFTA countries

11

from candidate countries
  12

from candidate countries

12

from third countries

from third countries

within the meaning of Article 21(2)(b) of the Financial Regulation

within the meaning of Article 21(2)(b) of the Financial Regulation

1B -
  Economic, Social and Territorial Cohesion

1B -

Economic, Social and Territorial Cohesion

04 02 60 - European Social Fund — Less developed regions

04 02 60 - European Social Fund — Less developed regions

Diff

Diff

NO

NO

NO

NO

NO

NO

NO

NO

04 02 61 - European Social Fund — Transition regions

04 02 61 - European Social Fund — Transition regions

Diff

Diff

NO

NO

NO

NO

NO

NO

NO

NO

04 02 62 - European Social Fund — More developed regions

04 02 62 - European Social Fund — More developed regions

Diff

Diff

NO

NO

NO

NO

NO

NO

NO

NO

04 02 64 - Youth Employment

04 02 64 - Youth Employment

Initiative

Initiative

Diff

Diff

NO

NO

NO

NO

NO

NO

NO

NO

13 03 60 - European Regional

13 03 60 - European Regional

Development Fund — Less

Development Fund — Less

developed regions

developed regions

Diff

Diff

NO

NO

NO

NO

NO

NO

NO

NO

13 03 61 - European Regional

13 03 61 - European Regional

Development Fund — Transition

Development Fund — Transition

regions

regions

Diff

Diff

NO

NO

NO

NO

NO

NO

NO

NO

13 03 62 - European Regional

13 03 62 - European Regional

Development Fund — More

Development Fund — More

developed regions

developed regions

Diff

Diff

NO

NO

NO

NO

NO

NO

NO

NO

13 03 63 - European Regional

13 03 63 - European Regional

Development Fund — Additional

Development Fund — Additional

allocation for outermost

allocation for outermost

and sparsely populated regions

and sparsely populated regions

Diff

Diff

NO

NO

NO

NO

NO

NO

NO

NO

13 03 64 01 - European Regional Development Fund — European territorial cooperation

13 03 64 01 - European Regional Development Fund — European territorial cooperation

Diff

Diff

NO

NO

NO

NO

NO

NO

NO

NO

13 04 60 - Cohesion Fund

13 04 60 - Cohesion Fund

Diff

Diff

NO

NO

NO

NO

NO

NO

NO

NO

2 - Sustainable Growth: Natural Resources

2 - Sustainable Growth: Natural Resources

11 06 60 - Promoting sustainable and competitive fisheries and

11 06 60 - Promoting sustainable and competitive fisheries and

aquaculture, balanced and

aquaculture, balanced and

inclusive territorial development

inclusive territorial development

of fisheries areas and fostering the implementation of the common

of fisheries areas and fostering the implementation of the common

fisheries policy

fisheries policy

Diff

Diff

NO

NO

NO

NO

NO

NO

NO

NO

·New budget lines requested : N/A

·

New budget lines requested : N/A

3.2.Estimated impact on expenditure

3.2.

Estimated impact on expenditure

3.2.1.Summary of estimated impact on expenditure

3.2.1.

Summary of estimated impact on expenditure

EUR million (to three decimal places)

EUR million (to three decimal places)

| Heading of multiannual financial

  framework | 1B | Economic, Social and Territorial Cohesion |
| --- | --- | --- |

Heading of multiannual financial

  framework

Heading of multiannual financial

framework

1B

1B

Economic, Social and Territorial Cohesion

Economic, Social and Territorial Cohesion

DG EMPL

| DG EMPL | | | Year

  2021 | Year

  2022 | Year

  2023 | Year

  2024 | TOTAL |
| --- | --- | --- | --- | --- | --- | --- | --- |
| • Operational appropriations | | | | | |
| 04 02 60 | Payments | (1) | -1 013,958 | 0,000 | 0,000 | 1 013,958 | 0,000 |
| 04 02 61 | Payments | (2) | -249,832 | 0,000 | 0,000 | 249,832 | 0,000 |
| 04 02 62 | Payments | (3) | -504,477 | 0,000 | 0,000 | 504,477 | 0,000 |
| 04 02 64 | Payments | (4) | -88,224 | 0,000 | 0,000 | 88,224 | 0,000 |
| Appropriations of an administrative nature financed from the envelope of specific programmes
  13 | N/A | N/A | N/A | N/A | N/A |
| TOTAL appropriations

  for DG EMPL | Payments | | -1 856,491 | 0,000 | 0,000 | 1 856,491 | 0,000 |

DG EMPL

Year

  2021

Year

2021

Year

  2022

Year

2022

Year

  2023

Year

2023

Year

  2024

Year

2024

TOTAL

TOTAL

• Operational appropriations

• Operational appropriations

04 02 60

04 02 60

Payments

Payments

(1)

(1)

-1 013,958

-1 013,958

0,000

0,000

0,000

0,000

1 013,958

1 013,958

0,000

0,000

04 02 61

04 02 61

Payments

Payments

(2)

(2)

-249,832

-249,832

0,000

0,000

0,000

0,000

249,832

249,832

0,000

0,000

04 02 62

04 02 62

Payments

Payments

(3)

(3)

-504,477

-504,477

0,000

0,000

0,000

0,000

504,477

504,477

0,000

0,000

04 02 64

04 02 64

Payments

Payments

(4)

(4)

-88,224

-88,224

0,000

0,000

0,000

0,000

88,224

88,224

0,000

0,000

Appropriations of an administrative nature financed from the envelope of specific programmes
  13

Appropriations of an administrative nature financed from the envelope of specific programmes

13

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

TOTAL appropriations

  for DG EMPL

TOTAL appropriations

for DG EMPL

Payments

Payments

-1 856,491

-1 856,491

0,000

0,000

0,000

0,000

1 856,491

1 856,491

0,000

0,000

DG REGIO

| DG REGIO | | | Year

  2021 | Year

  2022 | Year

  2023 | Year

  2024 | TOTAL |
| --- | --- | --- | --- | --- | --- | --- | --- |
| • Operational appropriations | | | | | |
| 13 03 60 | Payments | (1) | -2 608,675 | 0,000 | 0,000 | 2 608,675 | 0,000 |
| 13 03 61 | Payments | (2) | -509,195 | 0,000 | 0,000 | 509,195 | 0,000 |
| 13 03 62 | Payments | (3) | -647,801 | 0,000 | 0,000 | 647,801 | 0,000 |
| 13 03 63 | Payments | (4) | -31,108 | 0,000 | 0,000 | 31,108 | 0,000 |
| 13 03 64 01 | Payments | (5) | -186,707 | 0,000 | 0,000 | 186,707 | 0,000 |
| 13 04 60 | Payments | (6) | -1 265,652 | 0,000 | 0,000 | 1 265,652 | 0,000 |
| Appropriations of an administrative nature financed from the envelope of specific programmes
  14 | N/A | N/A | N/A | N/A | N/A |
| TOTAL appropriations

  for DG REGIO | Payments | | -5 249,139 | 0,000 | 0,000 | 5 249,139 | 0,000 |

Year

  2021

Year

  2022

Year

  2023

Year

  2024

TOTAL

• Operational appropriations

13 03 60

Payments

(1)

-2 608,675

0,000

0,000

2 608,675

0,000

13 03 61

Payments

(2)

-509,195

0,000

0,000

509,195

0,000

13 03 62

Payments

(3)

-647,801

0,000

0,000

647,801

0,000

13 03 63

Payments

(4)

-31,108

0,000

0,000

31,108

0,000

13 03 64 01

Payments

(5)

-186,707

0,000

0,000

186,707

0,000

13 04 60

Payments

(6)

-1 265,652

0,000

0,000

1 265,652

0,000

Appropriations of an administrative nature financed from the envelope of specific programmes
  14

N/A

N/A

N/A

N/A

N/A

TOTAL appropriations

  for DG REGIO

Payments

-5 249,139

0,000

0,000

5 249,139

0,000

• TOTAL operational appropriations

| • TOTAL operational appropriations | Payments | | -7 105,630 | 0,000 | 0,000 | 7 105,630 | 0,000 |
| --- | --- | --- | --- | --- | --- | --- | --- |
| • TOTAL appropriations of an administrative nature financed from the envelope for specific programmes | N/A | N/A | N/A | N/A | N/A |
| TOTAL appropriations

  under HEADING 1B
  of the multiannual financial framework | Payments | | -7 105,630 | 0,000 | 0,000 | 7 105,630 | 0,000 |

Payments

-7 105,630

0,000

0,000

7 105,630

0,000

• TOTAL appropriations of an administrative nature financed from the envelope for specific programmes

N/A

N/A

N/A

N/A

N/A

TOTAL appropriations

  under HEADING 1B
  of the multiannual financial framework

Payments

-7 105,630

0,000

0,000

7 105,630

0,000

Heading of multiannual financial

  framework

| Heading of multiannual financial

  framework | 2 | Sustainable Growth: Natural Resources |
| --- | --- | --- |

2

Sustainable Growth: Natural Resources

DG MARE

| DG MARE | | | Year

  2021 | Year

  2022 | Year

  2023 | Year

  2024 | TOTAL |
| --- | --- | --- | --- | --- | --- | --- | --- |
| • Operational appropriations | | | | | |
| 11 06 60 | Payments | (1) | -114,987 | 0,000 | 0,000 | 114,987 | 0,000 |
| Appropriations of an administrative nature financed from the envelope of specific programmes
  15 | N/A | N/A | N/A | N/A | N/A |
| TOTAL appropriations

  for DG MARE | Payments | | -114,987 | 0,000 | 0,000 | 114,987 | 0,000 |

Year

  2021

Year

  2022

Year

  2023

Year

  2024

TOTAL

• Operational appropriations

11 06 60

Payments

(1)

-114,987

0,000

0,000

114,987

0,000

Appropriations of an administrative nature financed from the envelope of specific programmes
  15

N/A

N/A

N/A

N/A

N/A

TOTAL appropriations

  for DG MARE

Payments

-114,987

0,000

0,000

114,987

0,000

If more than one heading is affected by the proposal / initiative:

| • TOTAL operational appropriations | Payments | | -7 220,617 | 0,000 | 0,000 | 7 220,617 | 0,000 |
| --- | --- | --- | --- | --- | --- | --- | --- |
| • TOTAL appropriations of an administrative nature financed from the envelope for specific programmes | | N/A | N/A | N/A | N/A | N/A |
| TOTAL appropriations

  under HEADINGS 1 to 4
  of the multiannual financial framework

  (Reference amount) | Payments | | -7 220,617 | 0,000 | 0,000 | 7 220,617 | 0,000 |

• TOTAL operational appropriations

Payments

-7 220,617

0,000

0,000

7 220,617

0,000

• TOTAL appropriations of an administrative nature financed from the envelope for specific programmes

N/A

N/A

N/A

N/A

N/A

TOTAL appropriations

  under HEADINGS 1 to 4
  of the multiannual financial framework

  (Reference amount)

Payments

-7 220,617

0,000

0,000

7 220,617

0,000

Heading of multiannual financial

  framework

| Heading of multiannual financial

  framework | 5 | ‘Administrative expenditure’ |
| --- | --- | --- |

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 | | | | | | | | |

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

  under HEADING 5
  of the multiannual financial framework

| TOTAL appropriations

  under HEADING 5
  of the multiannual financial framework | (Total commitments = Total payments) | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |

(Total commitments = Total payments)

EUR million (to three decimal places)

| | | | Year

  N
  16 | 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 |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| TOTAL appropriations

  under HEADINGS 1 to 5
  of the multiannual financial framework | Commitments | | | | | | | | |
| | Payments | | | | | | | | |

Year

  N
  16

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

TOTAL appropriations

  under HEADINGS 1 to 5
  of the multiannual financial framework

Commitments

Payments

3.2.2.Estimated impact on operational appropriations

–◻
     The proposal/initiative does not require the use of operational appropriations

–◻
     The proposal/initiative requires the use of operational appropriations, as explained below:

Commitment appropriations in EUR million (to three decimal places)

| Indicate objectives and outputs



  ⇩ | | | Year

  N | Year

  N+1 | Year

  N+2 | Year

  N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) | TOTAL |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| | OUTPUTS |
| | Type
  17 | Average cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | Total No | Total cost |
| SPECIFIC OBJECTIVE No 1
  18
  ... | | | | | | | | | | | | | | | | |
| - Output | | | | | | | | | | | | | | | | | | |
| - Output | | | | | | | | | | | | | | | | | | |
| - Output | | | | | | | | | | | | | | | | | | |
| Subtotal for specific objective No 1 | | | | | | | | | | | | | | | | |
| SPECIFIC OBJECTIVE No 2 ... | | | | | | | | | | | | | | | | |
| - Output | | | | | | | | | | | | | | | | | | |
| Subtotal for specific objective No 2 | | | | | | | | | | | | | | | | |
| TOTAL COST | | | | | | | | | | | | | | | | |

Indicate objectives and outputs

⇩

Year

  N

Year

  N+1

Year

  N+2

Year

  N+3

Enter as many years as necessary to show the duration of the impact (see point 1.6)

TOTAL

OUTPUTS

Type
  17

Average cost

No

Cost

No

Cost

No

Cost

No

Cost

No

Cost

No

Cost

No

Cost

Total No

Total cost

SPECIFIC OBJECTIVE No 1
  18
  ...

- Output

- Output

- Output

Subtotal for specific objective No 1

SPECIFIC OBJECTIVE No 2 ...

- Output

Subtotal for specific objective No 2

TOTAL COST

3.2.3.Estimated impact on appropriations of an administrative nature

3.2.3.1.Summary

–◻
     The proposal/initiative does not require the use of appropriations of an administrative nature

–◻
     The proposal/initiative requires the use of appropriations of an administrative nature, as explained below:

EUR million (to three decimal places)

| | Year

  N
  19 | 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 |
| --- | --- | --- | --- | --- | --- | --- |

Year

  N
  19

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

HEADING 5

  of the multiannual financial framework

| HEADING 5

  of the multiannual financial framework | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Human resources | | | | | | | | |
| Other administrative expenditure | | | | | | | | |
| Subtotal HEADING 5

  of the multiannual financial framework | | | | | | | | |

Human resources

Other administrative expenditure

Subtotal HEADING 5

  of the multiannual financial framework

Outside HEADING 5
  20


  of the multiannual financial framework

| Outside HEADING 5
  20


  of the multiannual financial framework | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Human resources | | | | | | | | |
| Other expenditure

  of an administrative nature | | | | | | | | |
| Subtotal

  outside HEADING 5

  of the multiannual financial framework | | | | | | | | |

Human resources

Other expenditure

  of an administrative nature

Subtotal

  outside HEADING 5

  of the multiannual financial framework

TOTAL

| TOTAL | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |

The appropriations required for human resources and other expenditure of an administrative nature will be met by appropriations from the DG that are already assigned to management of the action and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual allocation procedure and in the light of budgetary constraints.

3.2.3.2.Estimated requirements of human resources

–◻
     The proposal/initiative does not require the use of human resources.

–◻
     The proposal/initiative requires the use of human resources, as explained below:

Estimate to be expressed in full time equivalent units

| | Year

  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) |
| --- | --- | --- | --- | --- | --- |
| • Establishment plan posts (officials and temporary staff) | | |
| XX 01 01 01 (Headquarters and Commission’s Representation Offices) | | | | | | | |
| XX 01 01 02 (Delegations) | | | | | | | |
| XX 01 05 01 (Indirect research) | | | | | | | |
| 10 01 05 01 (Direct research) | | | | | | | |
| • External staff (in Full Time Equivalent unit: FTE)
  21 |
| XX 01 02 01 (AC, END, INT from the ‘global envelope’) | | | | | | | |
| XX 01 02 02 (AC, AL, END, INT and JED in the delegations) | | | | | | | |
| XX 01 04 yy 
  22 | - at Headquarters | | | | | | | |
| | - in Delegations | | | | | | | |
| XX 01 05 02 (AC, END, INT - Indirect research) | | | | | | | |
| 10 01 05 02 (AC, END, INT - Direct research) | | | | | | | |
| Other budget lines (specify) | | | | | | | |
| TOTAL | | | | | | | |

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)

• Establishment plan posts (officials and temporary staff)

XX 01 01 01 (Headquarters and Commission’s Representation Offices)

XX 01 01 02 (Delegations)

XX 01 05 01 (Indirect research)

10 01 05 01 (Direct research)

• External staff (in Full Time Equivalent unit: FTE)
  21

XX 01 02 01 (AC, END, INT from the ‘global envelope’)

XX 01 02 02 (AC, AL, END, INT and JED in the delegations)

XX 01 04 yy 
  22

- at Headquarters

- in Delegations

XX 01 05 02 (AC, END, INT - Indirect research)

10 01 05 02 (AC, END, INT - Direct research)

Other budget lines (specify)

TOTAL

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 | |
| --- | --- |
| External staff | |

Officials and temporary staff

External staff

3.2.4.Compatibility with the current multiannual financial framework

–◻
     The proposal/initiative is compatible the current multiannual financial framework.

–◻
     The 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.

–◻
     The proposal/initiative requires application of the flexibility instrument or revision of the multiannual financial framework.

–

◻

Explain what is required, specifying the headings and budget lines concerned and the corresponding amounts.

3.2.5.Third-party contributions

3.2.5.

Third-party contributions

–The proposal/initiative does not provide for co-financing by third parties.

–

The proposal/initiative does not provide for co-financing by third parties.

–The proposal/initiative provides for the co-financing estimated below:

–

The proposal/initiative provides for the co-financing estimated below:

Appropriations in EUR million (to three decimal places)

Appropriations in EUR million (to three decimal places)

| | Year

  N | Year

  N+1 | Year

  N+2 | Year

  N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) | Total |
| --- | --- | --- | --- | --- | --- | --- |
| Specify the co-financing body | | | | | | | | |
| TOTAL appropriations co-financed | | | | | | | | |

Year

  N

Year

N

Year

  N+1

Year

N+1

Year

  N+2

Year

N+2

Year

  N+3

Year

N+3

Enter as many years as necessary to show the duration of the impact (see point 1.6)

Enter as many years as necessary to show the duration of the impact (see point 1.6)

Total

Total

Specify the co-financing body

Specify the co-financing body

TOTAL appropriations co-financed

TOTAL appropriations co-financed

3.3. Estimated impact on revenue

3.3.

Estimated impact on revenue

–◻
     The proposal/initiative has no financial impact on revenue.

–

◻

–◻
     The proposal/initiative has the following financial impact:

–

◻

–◻
     on own resources

–

◻

–◻
     on miscellaneous revenue

–

◻

EUR million (to three decimal places)

EUR million (to three decimal places)

| Budget revenue line: | Appropriations available for the current financial year | Impact of the proposal/initiative
  23 |
| --- | --- | --- |
| | | Year

  N | Year

  N+1 | Year

  N+2 | Year

  N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) |
| Article ............. | | | | | | | | |

Budget revenue line:

Budget revenue line:

Appropriations available for the current financial year

Appropriations available for the current financial year

Impact of the proposal/initiative
  23

Impact of the proposal/initiative

23

Year

  N

Year

N

Year

  N+1

Year

N+1

Year

  N+2

Year

N+2

Year

  N+3

Year

N+3

Enter as many years as necessary to show the duration of the impact (see point 1.6)

Enter as many years as necessary to show the duration of the impact (see point 1.6)

Article .............

Article .............

For miscellaneous ‘assigned’ revenue, specify the budget expenditure line(s) affected.

For miscellaneous ‘assigned’ revenue, specify the budget expenditure line(s) affected.

Specify the method for calculating the impact on revenue.

Specify the method for calculating the impact on revenue.