COMMUNICATION TO THE COMMISSION

of 19.12.2012

Allocation of human resources and decentralised administrative appropriations for 2013

The present communication sets out the allocation for 2013 for Commission departments taking into account the agreed results of the budgetary procedure as regards human resources and decentralised administrative appropriations. It does not include additional staff that some services finance under possible incoming earmarked revenue.

TABLE OF CONTENTS

1........... Results of the budgetary procedure & other developments since the 2013 Draft Budget 4

1.1........ 2013 Draft Budget 4

1.2........ Enlargement to Croatia. 5

2........... Resulting Available resources and allocation for 2013 on the operating budget 6

2.1........ Establishment plan posts (operating budget – Commission & offices) 6

2.1.1..... 2013 allocation. 6

2.1.2..... Further redeployment to be made in 2013 and 1% reduction in 2013. 6

2.1.3..... Surcharge in 2013. 7

2.1.4..... Timing of the 2013 allocation. 7

2.2........ External personnel & other decentralised administrative appropriations under heading 5 of the MFF – the so-called "global envelope". 8

2.2.1..... External personnel of the global envelope. 8

2.2.2..... Other decentralised administrative appropriations of the global envelope. 8

2.2.3..... Management of global envelope appropriations. 9

2.3........ Other external personnel financed under Heading 5 of the MFF. 9

2.4........ Other external staff financed under operational budget lines (former BA lines) 9

3........... Resulting Available resources and allocation for 2013 on the Research budget 9

3.1........ Indirect Research. 10

3.1.1..... Posts (XX 01 05 01). 10

3.1.2..... External staff (XX 01 05 02) 10

3.2........ Direct Research (JRC) 10

3.2.1..... Posts (budget line 10 01 05 01) 10

3.2.2..... External personnel (budget line 10 01 05 02) 10

4........... All human resources available by service. 10

Technical annexes to the Communication to the Commission on the allocation of human resources and decentralised administrative appropriations for 2013. 11

1. Results of the budgetary procedure & other developments since the 2013 Draft Budget

In a context where rigorous cost savings and maximum efficiency are demanded on all public administrations, the Commission's statement of estimates for 2013 (referred to hereafter as '2013 Draft Budget' or '2013 DB') translated the Commission proposal to reduce staff by 5 % over five years[1] into concrete budget terms, without prejudice to a limited request for additional staff in order to cope with the expected accession of Croatia to the EU as of 1st July 2013. Including this enlargement-related request, the 2013 DB integrated a Commission net reduction of 279 full time equivalent units (hereafter 'FTE') across all headings of the multiannual financial framework, of which 121 posts and 158 estimated FTE of external personnel. The 2013 DB also included EUR 3.8 million savings on decentralised administrative envelopes, representing an economy of 2.6% compared to 2012. The 2013 budget voted on 12-12-2012 confirmed these savings.

In the light of these restrictions, implementing the Commission Work Programme and the other policy priorities more than ever requires careful prioritisation and redeployment efforts.

1.1. 2013 Draft Budget

On the basis of the 2013 DB presented by the Commission in May 2012[2], the two arms of the budget authority granted in their reading all the establishment plan posts requested, including the first instalment of enlargement-related posts, the adjustment of function groups (228 upgradings across all establishment plans), the requested mix between temporary and permanent posts as well as the requested posts/external personnel composition (conversions of former D and administrative offices posts into appropriations for external personnel and conversion of appropriations for external personnel into establishment plan posts). All related appropriations, including the effect of career policy measures, have been granted.

The European Parliament had re-established in its reading all the cuts originally proposed by the Council on some of the requested appropriations allowing for the recruitment of external personnel on the envelopes of operational programmes.

Since no agreement was reached in the conciliation procedure between the two arms of the budgetary authority, the Commission resubmitted a second Draft Budget on 26 November 2012, based on the draft conclusions reached in the November conciliation and broadly accepted by Council and Parliament. The budget authority finally reached an agreement on this second DB, which was approved on 12 December. The 1,7% salary adjustment for 2011 for the Commission is not included in the adopted budget.

The present communication reflects the human resources (posts and estimates of external personnel financed under all headings of the MFF) as well as decentralised administrative appropriations that will ultimately be made available to the services.

Following the extension of the mandate of Education, Audiovisual and Culture Executive Agency (EACEA) as of 01/01/2013 (written procedures PE/2012/9273 and PE/2012/9274), the Commission has to compensate the increased staff need of the Agency (15 FTE) through an equivalent reduction of its own staffing. To this end, 2 AST posts from DG EAC are provisionally put in reserve and blocked, whereas appropriations corresponding to 2 and 11 contract agents are frozen in the quotas of DG EAC and DG DEVCO respectively. These resources, separately signalled in Tables 1, 5, 8, 9 and 10, will be deducted trom the Commission budget through an amending budget in 2013.

1.2. Enlargement to Croatia

Negotiations with Croatia were closed on 30/06/2011 and the date for accession is officially set on 01/07/2013.

As for previous enlargements, a limited reinforcement in human resources mainly for linguistic, legal and programme management tasks is necessary. As announced in Amending Letter 2/2012 of 16 September 2011, the Commission expressed a total reinforcement need of 384 FTE to be requested up to 2014[3]. A frontloading of 46 FTE (4 posts, 42 contract agents) was granted as of 01/01/2012. The 2013 DB requested another 125 FTE (114 posts and 11 contract agents). The remaining 213 FTE will be asked for in the 2014 Draft Budget. Furthermore, for 2013, the Commission requested the transformation into posts of appropriations for 28 contract agents frontloaded in 2012.

The reinforcement requested for 2013 as well as the above-mentioned transformation were accepted by the two arms of the budget authority and may be allocated to the services concerned for recruitment as of 1/7/2013. DG HR will establish and communicate recruitment targets for Croatian staff[4].

2. Resulting Available resources and allocation for 2013 on the operating budget

2.1. Establishment plan posts (operating budget – Commission & offices)

2.1.1. 2013 allocation

As a result of the budget procedure, the central pool of redeployment will count 115 posts available for reallocation as of 01/01/2013[5], plus the additional 114 posts in the context of Croatia accession, available as of 01/07/2013, subject to the approval of the 2013 budget, as shown in Table 1.

The paramount priority of the allocation of posts from the pool is to reinforce services in the frontline of the response to the financial crisis and enhance economic and fiscal governance, as well as to serve new and urgent Commission's priorities that go beyond previously agreed policies and activities. For this reason, 125 allocations originally granted on a temporary basis to DG ECFIN are made permanent. Six posts are allocated for the external projection of internal policies, along with the 7 posts allocated with the 2012 complementary allocation. Although these posts are administratively attached to DG DEVCO, they are meant to be of a mixed nature in order to serve multiple internal policy DGs. Their location will be decided by the President in agreement with the member of the Commission in charge of the Budget and their use will be reflected and monitored by the Commission’s internal coordination committee for the management of Commission resources in Delegations (COMDEL)[6]. Details and purpose of all allocations can be found in the annexed Table 1-bis.

The resulting allocation as of 01/01/2013 is reflected in Table 1 reproduced in annex. For the sake of clarity, this table recalls the starting situation of the 2012 basic job quotas including the transfers between services which have occurred since the 2012 final allocation, and details the net 2013 final allocation and resulting job quotas as of the reference date of 01/01/2013.

Table 2 reproduced in annex provides a detailed list of posts to be returned by 1/1/2013 at the end of previous temporary allocations and as a result of delegation of tasks to agencies. These returns are already incorporated into Table 1.

Table 3 lists the outstanding temporary allocations due to return to the pool in future exercises.

2.1.2. Further redeployment to be made in 2013 and 1% reduction in 2013

1% pool for redeployment

In the current rapidly changing environment the Commission must be able to adapt swiftly to new and evolving needs. Therefore, posts will have to be redeployed between DGs in the course of 2013. To this end, a linear 1% redeployment tax will be levied on the basic job quota of all services with effect on 01/05/2013. Services wishing to return these posts in advance of this date can do so as of 01/01/2013.

Table 1 reproduced in annex spells out, in its last column, the number of posts to be returned by each service as a result of the 2013 redeployment tax.

1% reduction in the Commission establishment plans

Moreover, the first instalment of staff reduction initiated by the Commission as part of the economies sought for the next financial programming period has been reflected in the 2013 budget. Therefore, all services are requested to return their share of the 1% net reduction in the Commission establishment plans (including research) in 2013. The corresponding (vacant) posts will have to be made available by 01/07/2013. Services wishing to return these posts in advance of this date can do so as of 01/01/2013.

Since AST 'ex-D' posts will continue to be progressively transformed into appropriations as they become vacant, they cannot be returned as contribution to the above taxes.

2.1.3. Surcharge in 2013

The structural 'surcharge' for the Commission operating establishment plan (i.e. posts allocated to departments in excess of the total number of authorised posts) currently remains at 467 posts as of 01/01/2013. The structural surcharge may increase by up to 50 posts during 2013 to mitigate the possible increase in the vacancy rate following the introduction of the linear redeployment tax.

The inter-departmental standing group set up by Commission decision C(2003)5267 on the establishment and management of job quotas will monitor closely and regularly the rate of occupancy of the establishment plans and the availability of relevant appropriations. Where parameters indicate a potential financial shortfall, appropriate measures could be introduced in accordance with the above Commission decision, ranging from selective recruitment targets or specific timing to blocking recruitments.

2.1.4. Timing of the 2013 allocation

Except for the 1% redeployment tax due by 01/05/2013, the 1% staff cut due by 01/07/2013, the new enlargement-related posts on 01/07/2013, all movements summarised in Table 1 in annex shall take effect as of 01/01/2013.

DGs/services expected to return posts following either ending temporary allocations or delegation to agencies (see Table 2 in annex for further reminder of the source of returning posts) and DGs which benefit from upgradings should make the due number of AD and AST vacant posts available by 01/01/2013.

If DGs/services expected to return posts fail to liberate them by these dates, DG HR will automatically seize the corresponding vacant posts as soon as available. Similarly, upgradings will only occur when the DGs concerned have returned the corresponding vacant AST posts.

2.2. External personnel & other decentralised administrative appropriations under heading 5 of the MFF – the so-called "global envelope"

Expenditure for the global envelope is not centralised in a single budget item by nature but is formally voted by policy area, notwithstanding the horizontal reserve voted on appropriations for salaries adjustment.

2.2.1. External personnel of the global envelope

· Allocation for external personnel 2013

The allocation per DG is summarised in Table 5 reproduced in annex, including appropriations granted for specific one-off tasks (known as 'hors quota') listed in the footnotes of Table 5.

· Specific supplementary allocation for the replacement of absent staff 2013

Commission departments are entitled to additional appropriations for external staff for the replacement of long-term absence in accordance with the Communication on the replacement of absent personnel[7]. As foreseen in the latter decision, 100 % of this amount is made available at the beginning of the year.

These appropriations allow for the distribution of € 18.5 million to Commission departments in 2013, corresponding to an estimate of 502 FTE (based on average standard cost). The allocation is distributed to Commission departments on the basis of 2011 Sysper2/Time management module statistics, weighted against past allocations. Table 6 details these specific allocations per DG.

· Conversion of former D category posts into appropriations for external personnel

In accordance with the principles defined at the time of the reform of Staff Regulations in 2004, vacant former Commission D posts of the operating budget shall be converted into Function Group (hereafter 'FG') I contract agents. The corresponding posts are frozen and withdrawn from the establishment plan in the earliest DB. Conversions taken into account in the 2013 DB, i.e. conversions requested up to 15 January 2012, have been granted by the budget authority and are included in Table 5 below.

For posts frozen after 15/01/2012, DGs will receive the corresponding appropriations in accordance with the joint instructions of DG HR/BUDG to be sent to DGs.

2.2.2. Other decentralised administrative appropriations of the global envelope

The allocation of other decentralised administrative appropriations of the global envelope is set out in Table 7 reproduced in annex.

2.2.3. Management of global envelope appropriations

According to the delegations granted by the Internal Rules on the implementation of the budget on the XX 01 02 01 & 11 lines[8], each authorising officer enjoys some flexibility in the management of these appropriations.

External personnel nevertheless remain centrally managed by central authorising officers. They are made available in 'persons-months', estimated on the basis of a standard cost by category of external staff. DG BUDG makes the corresponding transfers of appropriations in ABAC in accordance with the annual guide on the management of the global envelope. The 2013 guide for the management of the global envelope, to be published by DG BUDG at the end of the year, will define the rules and principles applicable in accordance with the Internal Rules on the implementation of the 2013 budget.

As regards hors quota allocations of external personnel and other decentralised administrative appropriations of the global envelope, which have proven a potential source of under-execution in the past years, failure to make use of the appropriations by the clearing exercise in the spring may lead to DGs losing these appropriations, should the transfer amongst XX 01 02 01 and 11 lines so require to serve more urgent needs.

2.3. Other external personnel financed under Heading 5 of the MFF

All appropriations for external personnel under Heading 5 may be confirmed for the 2013 budget. These appropriations account for an estimate of some 2.094 FTE of external personnel in the representation offices in the Member States, DGT, SCIC and the offices (see Table 4 on appropriations of external personnel and Tables 9 & 10 on overall human resources available by service, reproduced in annex).

2.4. Other external staff financed under operational budget lines (former BA lines)

Both at headquarters and in delegations, the requested sub-ceilings for external personnel financed under the operational lines of the structural funds and other sub-ceilings have been granted and may thus be confirmed in the final allocation 2013, as detailed in Table 8 reproduced in Annex.

3. Resulting Available resources and allocation for 2013 on the Research budget

The redeployment effort mentioned under paragraph 2.1.2 also applies to posts financed from the research budgets. The following paragraphs reflect posts and administrative appropriations that should ultimately be made available to the concerned services.

3.1 Indirect Research

3.1.1. Posts (XX 01 05 01).

All posts requested (including an upgrading of 6 AST6 into AD5) and corresponding appropriations have been authorised. 14 research posts will return for reallocation in 2013 as a result of delegation of tasks to the Research Executive Agency (REA), composed of 12 posts as initially provided for in the legislative financial statement accompanying the setting up of the agency and 2 posts as a result of the decrease in the number of Commission officials seconded to the agency[9]. One of these posts is allocated to DG CNECT to offset 1 remaining temporary surcharge of a structural nature, thus completing the offsetting exercise for this establishment plan initiated with the 2012 complementary allocation. This results in an availability of 1863 posts (including 6 posts of structural surcharge allocated to DG CNECT under the present Research Framework Programme), of which 1850 allocated and 13 kept in reserve as reflected in Table 1 in annex.

3.1.2. External staff (XX 01 05 02)

All appropriations requested under the Research budget have been granted. The estimate of 851 FTE may thus be confirmed to the benefit of DGs EAC, ENER, ENTR, CNECT, MOVE and RTD (see Tables 9 & 10 on overall human resources available by DG, reproduced in annex.). Appropriations should be implemented accordingly, resorting as necessary to flexibility rules as detailed in the Internal Rules on the implementation of the 2013 Budget.

3.2. Direct Research (JRC)

3.2.1. Posts (budget line 10 01 05 01)

All posts requested (including an upgrading of 8 AST6 into AD5) and corresponding appropriations have been authorised and can be allocated to JRC.

3.2.2. External personnel (budget line 10 01 05 02)

All appropriations requested under the Research budget have been granted. The estimate of 775 FTE may be confirmed to the benefit of the JRC (see Tables 9 & 10 on overall human resources available by service, reproduced in annex.). Appropriations should be implemented accordingly, resorting as necessary to flexibility rules as detailed in the Internal Rules on the implementation of the 2013 Budget.

4. All human resources available by service

Table 9 & Table 10 in annex summarise the overall human resources (posts and estimates of external personnel financed under all headings of the MFF) that should ultimately be made available to the services in accordance with the present communication (with and without structural surcharge).

Technical annexes to the Communication to the Commission on the allocation of human resources and decentralised administrative appropriations for 2013

Index

Table 1 || 2013 Final Allocation of Establishment Plan Posts – Commission

Table 1 bis || 2013 Final Allocation - Reinforcement in human resources by service

Table 2 || 2013 Final Allocation - Returns by Commission services due by 1/1/2013

Table 3 || 2013 Final Allocation - Outstanding temporary allocations due to return in the years to come

Table 4 || 2013 Final Allocation - Appropriations for external personnel under all headings of the MFF

Table 5 || 2013 Final Allocation - Appropriations for external personnel of the ‘global envelope’

Table 6 || 2013 Final Allocation - Additional appropriations for the replacement of absent personnel

Table 7 || 2013 Final Allocation - Other decentralised administrative appropriations of the ‘global envelope’

Table 8 || 2013 Final Allocation - Appropriations for external personnel authorised on former ‘BA lines’

Table 9 || 2013 Final Allocation - Overall human resources available to Commission services excluding structural surcharge

Table 10 || 2013 Final Allocation - Overall human resources available to Commission services including structural surcharge

[1] A budget for Europe 2020 (COM(2011)500 final of 29/06/2011); Draft Interinstitutional Agreement between the European Parliament, the Council and the Commission on cooperation in budgetary matters and on sound financial management, Article 23 (COM(2011)403 final of 29/06/2011).

[2] Draft general budget of the European Union for the financial year 2013 presented by the Commission on 25 May 2012, COM(2012)300.

[3] Amending letter 2/2012, COM(2011) 576 final of 16/09/2011.

[4] On the basis of the methodology established in the communication concerning the recruitment of Commission officials and temporary agents from Croatia (SEC(2012) 436 final) of 12/07/2012.

[5] 104 posts deriving from the 2012 redeployment tax and not yet allocated, 10 returns of temporary allocations, 1 post freed at DG HOME following the transfer of some activities to the IT large scale system agency.

[6] Commission Decision on the Management of Commission resources in Union Delegations, C(2012)7200 final of 10.10.2012.

[7] "Guidelines for an additional procedure concerning the replacement of absent personnel following the reform of the Staff Regulations", C(2005) 4754 adopted on 9 December 2005.

[8] Where 'XX' represents the different policy areas.

[9] 7 AD and 6 AST posts from RTD, 1 AD post from ENTR as specified in Table 2 reproduced in Annex.

Technical annexes to the Communication to the Commission on the allocation of human resources and decentralised administrative appropriations for 2013

Index

Table 1 || 2013 Final Allocation of Establishment Plan Posts – Commission

Table 1 bis || 2013 Final Allocation - Reinforcement in human resources by service

Table 2 || 2013 Final Allocation - Returns by Commission services due by 1/1/2013

Table 3 || 2013 Final Allocation - Outstanding temporary allocations due to return in the years to come

Table 4 || 2013 Final Allocation - Appropriations for external personnel under all headings of the MFF

Table 5 || 2013 Final Allocation - Appropriations for external personnel of the ‘global envelope’

Table 6 || 2013 Final Allocation - Additional appropriations for the replacement of absent personnel

Table 7 || 2013 Final Allocation - Other decentralised administrative appropriations of the ‘global envelope’

Table 8 || 2013 Final Allocation - Appropriations for external personnel authorised on former ‘BA lines’

Table 9 || 2013 Final Allocation - Overall human resources available to Commission services excluding structural surcharge

Table 10 || 2013 Final Allocation - Overall human resources available to Commission services including structural surcharge