Proposal for a Regulation of the European Parliament and of the Council establishing the European Union Solidarity Fund {SEC(2005) 447}
Date: 2005-04-06
Institutions: European Commission
Subjects: EU financial instrument, economic support, emergency aid, man-made disaster, natural disaster, public health, terrorism

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 6.4.2005 
COM(2005) 108 final 

2005/0033 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing the European Union Solidarity Fund 

(presented by the Commission) 

{SEC(2005) 447} 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

•  Grounds for and objectives of the proposal 

In  its  Communication  on  the  Financial  Perspectives  adopted  on  14  July  20041,  the 
Commission  called  for  action  at  European  level  to  provide  a  common  response  to 
emergency situations of different origin in an efficient and coordinated way. Action 
would  cover  both  solidarity  and  rapid  reaction,  with  measures  allowing  for 
immediate response and providing assistance in the aftermath of a major crises. The 
objective  of  the  present  proposal  is  to  develop  the  solidarity  strand  of  the 
Commission’s integrated approach, in order to ensure response to major disasters or 
public health emergencies, independent of their nature and origin. It is modelled on 
the current European Union Solidarity Fund (EUSF)2 while enlarging its scope and 
improving  its  operation  mechanism.  The  strand  on  preparing  and  delivering 
immediate  response  is  developed  through  a  complementary  proposal  of  a  “Rapid 
Response and Preparedness Instrument for major emergencies”3. 

Furthermore, Article 14 of the Regulation establishing the current EUSF states that 
the Regulation shall be reviewed by 31 December 2006 at the latest. 

•  General context 

The  expression  of  solidarity  with  third  countries  in  the  face  of  disasters  and 
emergency situations has existed for many years as part of the EU’s external actions. 
In 2002, following major floods in Central Europe, the EUSF was created in order to 
respond  to  such  events  within  the  EU  and  countries  which  had  opened  accession 
negotiations. The current EUSF is however mainly limited to major natural disasters. 
It may grant financial assistance to eligible States totalling up to EUR 1 billion per 
year. 

Responding appropriately at EU level to major crises which are not of natural origin 
with the existing instruments is extremely difficult or even impossible, as illustrated 
by  industrial  accidents  such  as  the  Prestige  oil  spill,  or  terrorists  acts  such  as  the 
Madrid  bombing  of  March  2004.  Likewise,  it  is  not  possible  at  present  to  provide 
assistance from the EUSF in the event of a serious public health crisis - such as the 
spreading  of  an  epidemic  like  SARS  to  Europe  or  caused  by  an  accident  of  the 
Chernobyl type - which could easily surpass the response capacities of the individual 
States. 

Furthermore, the threshold for mobilising the EUSF - currently set at direct damage 
in excess of EUR 3 billion, in 2002 prices, or more than 0.6% of national GNI - is 
extremely  high.  As  a  result,  more  than  two  thirds  of  all  applications  for  EUSF 
assistance so far presented by eligible States have been based on an exception for so-

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3 

COM(2004) 101. 
Council Regulation (EC) No 2012/2002 - OJ L 311, 14.11.2002, p. 3. 
COM(2005) 113, 6.4.2005. 

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called  "extraordinary  regional  disasters",  thus  perverting  the  initial  rationale  of  the 
EUSF.  Moreover,  the  rather  vague  qualitative  criteria  for  such  exceptional 
mobilisations of the EUSF are difficult to apply in practice and budgetary resources 
under this heading are limited to EUR 75 million per year only. Mobilisation of the 
Fund under the main criterion ("major disaster") should become the rule rather than 
the exception. 

•  Existing provisions in the area of the proposal 

The proposal is based on the current EUSF Regulation, which will be repealed with 
effect from the moment the proposed new Regulations applies, i.e. 1 January 2007. 
Apart  from  a  complete  overhaul  of  the  legal  drafting  the  main  features  and 
differences of substance are the following: 

The  geographical  scope  remains  unchanged;  it  is  limited  to  Member  States  and 
countries  negotiating  their  accession  to  the  EU.  The  thematic  scope,  however,  is 
enlarged to cover not only major crisis situations resulting from natural disasters but 
also  to  include  industrial/technological  disasters,  public  health  threats  and  acts  of 
terrorism. 

The  Fund  remains  limited  to  "major"  disasters.  These  are  defined  using  a  partially 
new, double approach. 

(1) As at present, total direct damage in excess of an absolute or a relative threshold, 
whichever is lower, is applied to the physical damage caused by disasters including 
the  intervention  costs  to  which  these  give  rise.  In  practice  this  will  cover  not  only 
natural disasters but also public health emergencies, industrial accidents and physical 
damage resulting from acts of terrorism. These thresholds are lowered from EUR 3 
billion or 0.6% of GNI of the affected country to EUR 1 billion or 0.5% respectively. 
The  new  thresholds  are  those  proposed  by  the  Commission  in  2002  when  the 
instrument  was  created.  With  these  revised  thresholds  the  potential  eligibility  of 
disasters for the assistance of the Fund is significantly increased. 

(2) A new criterion based on political considerations is introduced which enables the 
Commission  in  duly  justified  and  exceptional  circumstances  to  declare  a  disaster 
situation  as  "major"  even  if  the  quantitative  criteria  are  not  met.  This  will  allow 
mobilisation  of  the  Fund  for  crisis  situations  where  physical  damage  is  still,  at  the 
moment of decision, limited; such a possibility is more likely with terrorist attacks or 
major public health crises. This possibility will allow for grants to assist victims of 
terrorism or to pay for emergency measures in the event of unforeseen health crises 
and  thus  make  possible  to  help  refinance  the  cost  of  drugs,  medicines  and  medical 
equipment  used  during  an  emergency.  This  will  be  particularly  important  to  help 
protect the EU in the case of pandemics, in particular in officially declared influenza 
pandemics.  The  three  influenza  pandemics  of  the  last  century  (in  1918,  1957  and 
1968)  killed  millions  of  people  and  caused  widespread  disruption  to  the  countries 
affected.  Effective  protection  will  require  widespread  and  rapid  use  of  anti-viral 
drugs  and  vaccines.  The  EUSF  could  be  used  to  help  refinance  the  cost  of  these 
drugs. 

The revision of the threshold, which substantially widens the eligibility of disasters, 
makes  the  continuation  of  the  exception  for  regional  disasters  void,  as  all  disasters 

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requiring an act of European solidarity would now fall within the normal scope. This 
element  should  be  a  safeguard  for  the  EUSF  to  remain  an  instrument  for  major 
disasters, whereas regional or local disasters can be addressed directly by the states 
concerned,  in  conformity  with  the  subsidiarity  principle.  The  heavy  budgetary 
procedure  necessary  to  mobilise  the  Fund  through  the  adoption  of  an  amending 
budget in each case is another reason to limit the use of the Fund to the most severe 
cases. Furthermore, Community assistance to cater for smaller disasters may also be 
available  from  other  Community  instruments.  However,  the  declaration  mechanism 
still allows the Fund to be mobilised for truly unexpected and exceptional situations. 
This  political  criterion  should  be  used  only  in  justified  cases,  assessed  by  the 
Commission, in particular in the event of serious public health emergencies or acts of 
terrorism.  

A  new  feature  would  allow  the  Commission  to  take  under  certain  circumstances 
immediate solidarity action by making a down-payment as soon as the affected State 
has  applied  for  assistance.  This  down-payment  is  treated  as  an  advance  on  the 
assistance to be granted once the assessment and budgetary procedure are completed. 
In the event that the application is not accepted the applicant State would repay the 
advance to the Commission. 

Mobilisation  of  the  Fund,  as  under  the  current  procedure,  would  be  possible  only 
upon  request  of  an  eligible  State.  Following  the  Commission's  assessment  and 
proposal to the budget authority of an amount of financial assistance to be granted, 
the latter adopts a corresponding supplementary budget. The Commission will then 
adopt  a  grant  decision,  which  is  followed  by  the  conclusion  of  an  implementation 
agreement,  leading  to  the  payment  for  the  grant.  The  introduction  of  certain 
safeguards/deadlines will allow speedier payment of the grant. 

Eligible  operations  remain  limited  to  public  emergency  operations.  They  are 
extended  to  include  compensation  payments  to  victims  of  terrorism  and  medical 
assistance in case of health crises. 

A  provision  for  a  technical  assistance  budget  is  introduced  which  would  allow  the 
Commission to pay for expertise to help assess applications. 

•  Consistency with other policies and objectives of the Union 

The proposal builds on an existing policy instrument. By enlarging the scope of the 
current EUSF, and taken together with the complementary new proposal for a Rapid 
Response  and  Preparedness  Instrument  for  major  emergencies,  it  closes  a  gap  in 
current  legislation  and  allows  for  comprehensive  Community  action  in  response  to 
major disasters and crisis situations. Consistency with other Community policies, in 
particular  with  cohesion  policy,  is  ensured  by  a  number  of  legislative  provisions 
which,  among  others,  exclude  double  financing  and  require  respect  for  public 
procurement rules and the principle of sound financial management. 

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2. 

CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

•  Consultation of interested parties 

The  Fund  is  essentially  a  financial  mechanism  to  compensate  public  budgets  for 
damage  suffered.  Therefore,  Member  States  are  the  potential  applicants  and 
consequently the direct parties concerned. In May 2004, the Commission presented a 
report on the implementation of the Solidarity Fund. On several occasions this report, 
which addresses important issues relevant for the new  proposal was discussed with 
Member  States  in  the  Council  including  at  a  special  meeting  organised  by  the 
Council's budget group in Ireland. Furthermore, the views expressed by the Council 
and  the  European  Parliament  on  various  occasions  when  the  Commission  had 
proposed to mobilise the current EUSF yielded relevant results that are reflected in 
the proposal. 

•  Collection and use of expertise 

There was no need for external expertise. 

•  Impact assessment 

The  impact  assessment  explains  the  rationale  for  replacing  the  existing  EUSF 
Regulation  by  a  new  one,  the  policy  choices  proposed,  and  the  impacts  of  these 
policy choices. The assessment relates in particular to the rationale of enlarging the 
current EUSF in scope and to the proposed changes of the eligibility thresholds. The 
new  proposed  Regulation  is  compared  to  a  “no  change”  scenario.  The  main  risk 
inherent in the current situation is that the EU does not dispose of an instrument to 
rapidly react to crisis situations and to show solidarity in the aftermath of other than 
natural disasters. This concerns in particular the consequences of technological and 
industrial  disasters,  public  health  threats  and  terrorist  attacks.  As  regards  the 
eligibility criteria of the current EUSF, an increasing number of aid applications for 
smaller  regional  disasters  has  been  observed,  which  creates  the  risk  that  Solidarity 
aid  is  spent  not  well-targeted,  but  simply  as  an  additional  expenditure  with  no  real 
added value. 

The  main  impacts  expected  from  the  proposal  as  compared  to  the  “no  changes” 
scenario  is  a  better  responsiveness  on  the  level  of  the  EU  to  crisis  situations  other 
than natural disasters. Solidarity actions would in future be possible in the aftermath 
of  other  crisis  situations  such  as  industrial/technological  disasters,  public  health 
threats and terrorist attacks. In addition, by focussing the policy on the genuine major 
disasters  and  abolishing  the  eligibility  for  regional  disasters,  the  focus  and 
effectiveness of the solidarity measures should be improved. 

As a result of the assessment, it is proposed to improve the EU’s responsiveness in 
facing major crisis situations by adopting a new Solidarity Fund Regulation. The new 
instrument should be modelled around the current EUSF but be widened in scope and 
concentrated on the major disasters and crisis situations. 

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The  Commission  carried  out  an  impact  assessment  listed  in  the  Work  Programme, 
InfoRegio  Website  at 
whose 
http://europa.eu.int/comm/regional_policy/funds/solidar/solid_en.htm. 

the  Commission’s 

is  accessible  on 

report 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

•  5Summary of the proposed action 

The  proposed  action  continues  and  widens  that  of  the  current  EUSF  by  granting 
financial assistance to Member States and countries negotiating their accession to the 
EU in the event of major disasters or crises. 

•  Legal basis 

As  the  proposal  covers  actions  both  in  Member  States  and  candidate  countries  it 
requires  a  double  legal  base,  namely,  the  third  paragraph  of  Article  159,  and  the 
second paragraph of Article 181a of the EC Treaty. 

Article  159  was  used  as  a  legal  base  for  the  current  EUSF  Regulation  as  regards 
Member  States.  While  the  material  scope  of  the  new  proposal  is  widened,  its 
rationale  remains  unchanged.  Article  159  therefore  remains  the  appropriate  legal 
base. With Article 181 EC, the Nice Treaty introduced a specific legal provision for 
economic  and  financial  cooperation  with  third  countries  which,  in  view  of  the 
Commission,  is  an  appropriate  legal  basis  for  the  proposed  Fund’s  funding  actions 
regarding candidate countries. Since a specific legal base now exists, this should be 
utilised in preference to Article 308 EC which was used before. 

•  Subsidiarity principle 

The  subsidiarity  principle  applies  insofar  as  the  proposal  does  not  fall  under  the 
exclusive competence of the Community. 

The objectives of the proposal cannot be sufficiently achieved by the Member States 
for the following reasons. 

While  existing  agreements  of  mutual  assistance  between  individual  States  in  some 
cases  are  very  effective  in  providing  urgently  needed  equipment  or  intervention 
teams,  the  kind  of  major  disaster  which  this  proposal  addresses  also  calls  for 
financial solidarity for which no effective mechanism between Member States exists. 
The potential financial burden is such that it cannot be borne by individual Member 
States alone but only by sharing it out between all Member States evenly. Member 
States acknowledged this in setting up the current European Union Solidarity Fund in 
2002. 

Community action will better achieve the objectives of the proposal for the following 
reasons: 

The new Fund is specifically designed to grant financial assistance to Member States 
and eligible candidate countries to respond to major crisis situations where their own 
capacity is insufficient to respond appropriately and effectively. The Fund may only 
be  activated  upon  an  eligible  country’s  request  and  complements  the  applicant 

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country's  administrative,  physical  and  financial  efforts  to  respond  to  the  crisis 
situations. Mobilising the Fund requires the consent of the European Parliament and 
the Council thus expressing financial solidarity by the Community and the Member 
States as whole whereby account is taken of the capacity of the affected country to 
cope with the situation with its own financial means. 

The proposal therefore complies with the subsidiarity principle. 

•  Proportionality principle 

The proposal complies with the proportionality principle for the following reasons. 

Obligations imposed on beneficiary States are limited to the absolute minimum and 
reflect  the  emergency  situation  under  which  aid  is  granted.  The  implementation  of 
the grant is left entirely to the authorities of the beneficiary State. In particular, the 
full amount of aid is granted upfront. Other than the conclusion of an implementation 
agreement  between  the  beneficiary  State  and  the  Commission  there  are  no 
programming  obligations  or  any  formalised  monitoring  and  reporting  procedures. 
The  beneficiary  State  is,  however,  required  to  present  a  report  justifying  the  use 
made of the grant, including a statement at the end of the operation. 

The administrative burden falling upon the Community, national, regional and local 
authorities is therefore extremely limited and does not go beyond what is required to 
allow  the  Commission  exercise  its  overall  responsibility  for  the  execution  of  the 
Community budget. 

•  Choice of instruments 

Proposed  instruments:  The  proposal  replaces  an  existing  Regulation  and  should 
therefore also take the form of a Regulation. 

Other  means  would  not  be  adequate  because  the  objective  can  only  be  achieved 
through a directly applicable legal instrument. 

4. 

BUDGETARY IMPLICATION 

The  proposal  remains  consistent  with  the  existing  Solidarity  Fund  by  providing 
financial  assistance  for  immediate  repair  and  assistance  after  a  request  from  a 
Member  State  or  candidate  country.  The  Commission  proposes  that  the  Fund  be 
included  in  Heading  3  'Citizenship,  Freedom,  Security  and  Justice'  of  the  financial 
framework  2007-2013,  as  part  of  the  instruments  available  to  address  EU  citizens’ 
concerns.  Procedures  preserve  the  current  arrangements  for  the  involvement  of  the 
budgetary authority in the release of resources; and the ring-fencing of resources for 
specifically-defined  solidarity  actions.  Unused  appropriations  could  not  be  used  for 
other purposes or for the 'reallocation facility' proposed by the Commission. 

In order to be able to respond more quickly than under the current EUSF, provision 
is made for a mechanism by which under certain circumstances an advance of 5% of 
the estimated amount of eligible operations, but not exceeding EUR 5 million, could 
be paid upon request as "immediate solidarity". In this case, available Commitment 
Appropriations  would  have  to  be  transferred  to  the  relevant  budged  lines  and  re-

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transferred  once  the  application  has  been  approved  and  the  amending  budget 
becomes  effective.  This  down-payment  would  be  treated  as  an  advance  on  the 
assistance to be granted once the assessment and budgetary procedure are completed. 
In the event that the application is not accepted the advance would have to be repaid 
to the Commission. 

The  financial  envelope  foreseen  for  the  Fund  also  follows  the  existing  Solidarity 
Fund,  with  an  annual  amount  of  EUR  1  billion  (current  prices).  In  each  case  the 
amount of assistance considered necessary is mobilised through an amending budget. 
As at present, on 1 October each year, at least one-quarter of this annual amount will 
remain available in order to cover needs which could arise until the end of the year. 

5. 

ADDITIONAL INFORMATION 

•  Simplification 

The proposal provides for simplification of legislation. 

Solidarity action in response to major crisis situations independent of their origin or 
cause would be covered by a single instrument. 

•  Repeal of existing legislation 

The adoption of the proposal will lead to the repeal of existing legislation. 

•  Review/revision/sunset clause 

The proposal includes a review clause. 

The proposal includes a revision clause. 

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2005/0033 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing the European Union Solidarity Fund 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular the third 
paragraph of Article 159 and the second paragraph of Article 181a thereof, 

Having regard to the proposal from the Commission4, 

Having regard to the opinion of the European Economic and Social Committee5, 

Having regard to the opinion of the Committee of the Regions6, 

Acting in accordance with the procedure laid down in Article 2517, 

Whereas: 

(1) 

In  the  event  of  major  disasters  or  crisis  situations,  the  Community  should  show  its 
solidarity with the Member States and the population concerned by providing financial 
assistance  to  contribute  to  a  rapid  return  to  normal  living  conditions  in  the  affected 
regions and by contributing to financial compensation for the victims of terrorism. 

(2) 

The  Community  should  also  show  solidarity  with  the  countries  negotiating  their 
accession to the European Union. 

(3)  Major  disasters  or  crisis  situations  may  result  from  natural,  industrial  and 
technological  events,  including  marine  pollution  and  radiological  threats,  or  from 
public health emergencies, in particular an officially declared influenza pandemic, or 
acts  of  terrorism.  Existing  economic  and  social  cohesion  instruments  are  able  to 
finance  risk-prevention  measures  and  the  repair  of  damaged  infrastructure.  The 
European  Union  Solidarity  Fund  established  by  Council  Regulation  (EC)  No 
2012/20028 enables the Community to help in mobilising emergency services to meet 
people's immediate needs and contribute to the short-term restoration of damaged key 
infrastructure  so  that  economic  activity  can  resume  in  the  disaster-stricken  regions. 
That  Fund  is  however  mainly  limited  to  natural  disasters.  Provision  should  also  be 

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7 
8 

OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
OJ L 311, 14.11.2002, p. 3. 

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(4) 

(5) 

made  to  allow  the  Community  to  intervene  in  the  event  of  crisis  situations  having  a 
non-natural origin. 

The  objective  of  the  action  to  be  taken  is  to  complement  the  efforts  of  the  States 
concerned in such cases where the effects of a disaster or crisis situation are of such 
gravity that those States cannot tackle the situation with their own means alone. Since 
this objective cannot be sufficiently achieved by the Member States and can therefore, 
by  reason  of  the  scale  of  the  action,  be  better  achieved  at  Community  level,  the 
Community  may  adopt  measures,  in  accordance  with  the  principle  of  subsidiarity  as 
set out in Article 5 of the Treaty. In accordance with the principle of proportionality, 
as set out in that Article, this Regulation does not go beyond what is necessary in order 
to achieve those objectives. 

In  line  with  the  principle  of  subsidiarity,  action  under  this  Regulation  should  be 
confined to major disasters. These should be defined depending on the field; however, 
a certain degree of political appreciation should be allowed for in order to respond to 
events whose consequences are particularly serious but which, by their nature, cannot 
be  assessed  on  the  basis  of  physical  damage  alone  as  is  the  case,  in  particular,  with 
major health crises and acts of terrorism. Consideration shall be given to the specific 
situation of remote and isolated regions, such as the insular and outermost regions. 

(6)  Major disasters, particularly those which are of a natural origin, often affect more than 
one country. Where a major disaster has struck an eligible State, assistance should also 
be granted to an eligible neighbouring country affected by the same disaster. 

(7) 

(8) 

(9) 

Community aid should be complementary to the efforts of the States concerned and be 
used  to  cover  a  share  of  the  public  expenditure  committed  to  dealing  with  the  most 
essential emergency operations resulting from a major disaster. 

In line with the principle of subsidiarity, Community aid should only be granted upon 
application  of  the  affected  State.  The  Commission  should  ensure  equitable  treatment 
of requests presented by the States. 

Applicant  States  may  have  an  immediate  need  for  financial  assistance  to  help  cover 
expenditure relating to the most urgent interventions and rescue operations. Where an 
applicant State so requests, advance funding should therefore be made upon receipt of 
that application, subject to budgetary availability. 

(10)  Prudent  financial  management  is  required  to  ensure  that  the  Community  can  be  in  a 

position to respond if several major disasters occur in the same year. 

(11) 

It  is  appropriate  to  allow  a  rapid  decision  to  be  taken  to  commit  specific  financial 
resources and mobilise them as quickly as possible. Administrative procedures should 
be  adjusted  accordingly  and  confined  to  the  minimum  absolutely  necessary.  To  this 
end,  the  European  Parliament,  the  Council  and  the  Commission  have  concluded  an 
Inter-institutional  Agreement  on  the  financing  of  the  European  Union  Solidarity 
Fund9. 

9 

Not yet published. 

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(12)  The  mechanisms  for  payment  and  use  of  grants  made  under  this  Regulation  should 
reflect the urgency of the situation. Therefore a deadline should be laid down for the 
use of the financial assistance awarded. 

(13) 

It  may  be  desirable  for  a  State  which  benefits  from  assistance  to  involve,  in 
accordance  with  its  specific  constitutional,  institutional,  legal  or  financial  context, 
regional  or  local  authorities  in  the  conclusion  and  application  of  the  implementation 
agreements.  The  beneficiary  State  should  nevertheless  remain  responsible  for  the 
implementation of the assistance and for the management and control of the operations 
supported  by  Community  financing  in  accordance  with  Council  Regulation  (EC, 
Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the 
the  European  Communities10,  (hereinafter  “the  Financial 
general  budget  of 
Regulation”). 

(14)  An  operation  funded  under  this  Regulation  should  not  receive  financial  assistance 
from  other  Community  financial  instruments.  Where,  in  relation  to  an  operation, 
financial assistance is provided from Community or international instruments relating 
to  the  compensation  of  specific  damages,  that  operation  should  not,  for  the  same 
purpose, benefit from assistance under this Regulation. 

(15)  Community  action  should  not  relieve  third  parties  of  their  responsibility  who,  under 
the ‘polluter pays’ principle, are liable in the first instance for the damage caused by 
them, or discourage preventive measures at both Member State and Community level. 

(16)  Maximum  transparency  is  required  in  implementing  the  Community's  financial 

assistance as well as proper monitoring of the use of resources. 

(17)  Provision  should  be  made  for  the  beneficiary  States  to  justify  the  use  made  of  any 

assistance received. 

(18) 

In  exceptional  cases  and  depending  on  the  availability  of  financial  resources  for 
solidarity  action  under  this  Regulation  in  the  year  of  the  occurrence  of  the  disaster, 
provision should be made for supplementary grants under the financial appropriations 
for the following year. 

(19) 

It is necessary to provide that the competent Community bodies are able to carry out 
their obligations regarding financial control. 

(20)  Assistance  for  expenditure  which  is  subsequently  recovered  from  third  parties,  or 
assistance which is not used in accordance with this Regulation or which was received 
in excess of the final valuation of the damages, should be recovered. 

(21)  Technical assistance for solidarity action under this Regulation should be provided for 
in order to improve the Commission’s ability to assess applications made to it. 

(22)  Regulation  (EC)  No  2012/2002  should  be  repealed  with  effect  from  the  date  of 
application  of  this  Regulation.  Its  provisions  should,  however,  continue  to  be 
applicable to any application introduced before that date. 

10 

OJ L 248, 16.9.2002, p. 1. 

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(23)  This  Regulation  should  apply  from  the  date  of  applicability  of  the  Financial 

Perspectives 2007-2013, 

HAVE ADOPTED THIS REGULATION: 

Article 1 

Subject-matter and scope 

1. 

2. 

A European Union Solidarity Fund, hereinafter "the Fund", is established to enable 
the Community to respond to major disasters affecting Member States, or candidate 
countries  involved  in  accession  negotiations  with  the  European  Union,  hereinafter 
“eligible States”. 

This Regulation lays down rules concerning operations of the Fund in relation to the 
following: 

(a) 

natural disasters; 

(b) 

industrial and technological disasters; 

(c) 

public health emergencies; 

(d) 

acts of terrorism. 

Article 2 

Major disasters 

For the purposes of this Regulation, a disaster shall be considered to be major where it results, 
in at least one eligible State, in direct damage, the amount of which is estimated as being in 
excess of EUR 1 billion in 2007 prices or in excess of 0,5 % of the gross national income of 
the State concerned. 

However, even if those quantitative criteria are not met, the Commission may in exceptional 
and duly justified circumstances, recognise that a major disaster has occurred on the territory 
of an eligible State. 

Article 3 

Solidarity operations 

1. 

At the request of an eligible State, the Commission may award financial assistance 
from the Fund in the form of a grant, if a major disaster occurs on the territory of that 
State. 

At the request of an eligible State which shares a border with the State referred to in 
the  first  subparagraph  and  has  been  affected  by  the  same  major  disaster,  the 
Commission may also grant assistance from the Fund to that State. 

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2. 

For any given disaster, a State may receive a single grant only. 

Article 4 

Eligible operations 

Financial  assistance  under  this  Regulation  shall  be  granted  only  for  operations,  hereinafter 
“eligible operations”, which are carried out by the public authorities of the State concerned, or 
by bodies acting in the public interest, and which belong to the following categories: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

1. 

essential  emergency  operations  necessary  for  the  immediate  restoration  to  working 
order  of  infrastructure  and  plant  in  the  fields  of  energy,  water  and  waste  water, 
telecommunications, transport, health and education; 

immediate  medical  assistance  and  measures  to  protect  the  population  against 
imminent  health  threats,  including  the  cost  of  vaccines,  drugs,  medical  products, 
equipment and infrastructure used during an emergency; 

provision  of  temporary  accommodation  and  funding  of  rescue  services  to  meet  the 
immediate needs of the population concerned; 

essential  emergency  operations  for 
infrastructures; 

the 

immediate  securing  of  preventive 

measures for the immediate protection of the cultural and natural heritage; 

essential  emergency  operations  for  the  immediate  cleaning  up  of  disaster-stricken 
areas; 

medical, psychological and social assistance to the direct victims of acts of terrorism 
and their families. 

Article 5 

Applications 

As  soon  as  possible  and  no  later  than  ten  weeks  after  the  date  of  the  first  damage 
caused  by  the  disaster,  an  eligible  State  may  submit  to  the  Commission  an 
application  for  assistance  from  the  Fund,  providing  all  available  information  on  at 
least the following: 

(a) 

(b) 

(c) 

the  damage  caused  by  the  disaster  and  its  impact  on  the  population  and  the 
economy concerned; 

a  breakdown  of  the  estimated  costs  of  operations  in  the  categories  listed  in 
Article 4 as appropriate to the disaster; 

any  other  sources  of  Community  funding  which  might  contribute  to  making 
good the effects of the disaster; 

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13 

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(d) 

any  other  sources  of  national  or  international  funding,  including  public  and 
private insurance coverage, which might contribute to the costs of repairing the 
damage and in particular to the costs of eligible operations. 

The information provided under point (a) of the first subparagraph shall include an 
estimate of the amount of total direct damage caused by the disaster. 

2. 

The Commission shall assess, on the basis of the information referred to in paragraph 
1,  and  of  any  additional  information,  which  the  Commission  may  have  sought  or 
otherwise  obtained,  whether  the  conditions  for  granting  financial  assistance  under 
this Regulation are met. 

Where, for the purposes of the first subparagraph, additional information is provided 
by the State concerned on its own initiative, that information must be received by the 
Commission within two months of the date of the application. 

However, where, for the purposes of the first subparagraph, the Commission requests 
additional information  from  the State  concerned,  that  information  must  be  received 
by the Commission within one month of the date of the request. 

Article 6 

Advance funding 

1. 

2. 

1. 

2. 

Immediately  upon  receipt  of  the  application  referred  to  in  Article  5(1),  the 
Commission  may,  subject  to  budgetary  availability,  adopt  a  decision  granting 
advance funding for the most urgent eligible operations and pay the advance funding 
to the State concerned in a single instalment without delay. 

The  first  subparagraph  shall  apply  only  where  the  application  contains  an  explicit 
request for advance funding. 

The  amount  of  the  advance  funding  paid  pursuant  to  the  first  subparagraph  of 
paragraph 1 shall represent 5% of the of the total of the estimated costs referred to in 
Article 5(1)(b), but shall not exceed EUR 5 million. 

Article 7 

Determination of financial assistance 

The Commission shall, on the basis of the assessment carried out pursuant to Article 
5(2), determine as quickly as possible an appropriate amount of financial assistance, 
if any, to be granted within the limits of the resources available. 

The  amount  may  not  exceed  50%  of  the  total  of  the  estimated  costs  referred  to  in 
Article 5(1)(b). 

Where,  on  the  basis  of  the  assessment  carried  out  pursuant  to  Article  5(2),  the 
Commission  has  concluded  that  the  conditions  for  granting  assistance  under  this 
Regulation are not met, it shall notify the State concerned accordingly.  

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14 

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Any advance funding paid pursuant to Article 6(1) shall be repaid to the Commission 
within three months of the date of that notification. 

Article 8 

Budget procedure 

1. 

2. 

1. 

2. 

1. 

If the Commission has concluded that financial assistance should be granted from the 
Fund,  it  shall  submit  to  the  budgetary  authority  the  proposals  needed  to  authorise 
appropriations  corresponding  to  the  amount  determined  in  accordance  with  Article 
7(1). 

Those proposals shall include the following: 

(a) 

the assessment carried out pursuant to Article 5(2), together with a summary of 
the information on which that assessment is based; 

(b) 

evidence that the conditions laid down in Article 3(1) are met; 

(c) 

the reasons justifying the amounts proposed. 

Once  the  appropriations  are  made  available  by  the  budgetary  authority,  the 
Commission  shall  adopt  a  grant  decision,  taking  into  account  any  advance  funding 
paid pursuant to Article 6(1). 

Article 9 

Payment and use of the grant 

Following  adoption  of  the  grant  decision, the  Commission  shall,  immediately  upon 
signature  of  the  agreement  referred  to  in  Article  10(1),  pay  the  grant  to  the 
beneficiary State in a single instalment. 

The  beneficiary  State  shall  use  the  grant,  as  well  as  any  interest  earned  thereon, 
within  18  months of  the  date  of  first  damage, to  finance eligible operations carried 
out after that date. 

Article 10 

Implementation of the grant 

The  Commission  and  the  beneficiary  State  shall  conclude,  in  accordance  with  the 
specific constitutional, institutional, legal or financial provisions of that State and of 
the Community, an implementation agreement for the grant decision. 

That agreement shall specify in particular the type and location of the operations to 
be financed. 

2. 

The Commission shall ensure that the obligations under implementation agreements 
are the same for all beneficiary States. 

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15 

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3. 

The  beneficiary  State  shall  select  individual  operations  and  implement  the  grant  in 
accordance with this Regulation, the grant decision and the agreement. 

That responsibility shall be without prejudice to the responsibility of the Commission 
for  the  implementation  of  the  general  budget  of  the  European  Communities  in 
accordance  with  the  provisions  of  Regulation  (EC,  Euratom)  No  1605/2002, 
hereinafter  “the  Financial  Regulation”  applicable  to  shared  or  decentralised 
management. 

Article 11 

Financing of operations 

1. 

Operations funded, in whole or in part, under an implementation agreement shall not 
receive funding under any other Community or international instrument. 

The beneficiary State shall ensure compliance with the first subparagraph. 

2. 

Beneficiary States shall seek all possible compensation from third parties. 

Article 12 

Compatibility with other Instruments 

Operations  in  receipt  of  financial  assistance  from  the  Fund  shall  be  compatible  with  the 
provisions  of  the  Treaty  and  instruments  adopted  under  it,  with  Community  policies  and 
measures and with pre-accession assistance instruments. 

Article 13 

Final report and closure 

1. 

No  later  than  six  months  after  the  end  of  the  period  specified  in  Article  9(2),  the 
beneficiary State shall present a report to the Commission on the financial execution 
of the grant, together with a statement justifying the expenditure and indicating any 
other source of funding received for the operations concerned. 

The report shall detail preventive measures introduced or proposed by the beneficiary 
State  in  order  to  limit  damage  and  to  avoid,  to  the  extent  possible,  a  recurrence  of 
similar disasters. 

2. 

No  later  than  six  months  after  the  Commission  has  received  all  the  information 
required under paragraph 1, it shall wind up the financial assistance from the Fund. 

EN 

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Article 14 

Use of the Euro 

Applications, grant decisions, implementation agreements and reports under this Regulation, 
as well as any other related documents, shall express all amounts in Euro. 

Article 15 

Financial shortfall 

1. 

2. 

Where,  at  the  time  when  a  proposal  is  submitted  under  Article  8,  the  remaining 
financial resources available for that year for the Fund are not sufficient to cover the 
amount  of  financial  assistance  considered  necessary,  the  Commission  may  propose 
that  the  difference  be  financed  from  the  financial  appropriations  available  for  the 
Fund for the following year. 

The total annual budgetary ceiling for the Fund in the year of the occurrence of the 
disaster and the following year shall under all circumstances be respected. 

Article 16 

Financial control by Community bodies 

The  beneficiary  State  shall  ensure  that  all  financing  decisions  adopted  pursuant  to  the 
implementation  agreement  provided  for  in  Article  10,  and  all  agreements  and  contracts 
resulting from those financing decisions provide for checks by the Commission, through the 
Anti-Fraud Office (OLAF), and for on-the-spot checks to be carried out by the Commission or 
the Court of Auditors, in accordance with the appropriate procedures. 

Article 17 

Recovery 

1. 

2. 

3. 

In cases where the amount of total direct damage incurred is at least 10% less than 
the  estimated  amount  quoted  pursuant  to  Article  5(1)(a),  the  Commission  may 
require  the  beneficiary  State  to  reimburse  a  corresponding  amount  of  the  financial 
assistance received. 

Where a beneficiary State has failed to comply with Article 10(3), the Commission 
may require the beneficiary State to reimburse all or part of the financial assistance 
received. 

Prior  to  the  adoption  of  a  Decision  under  paragraphs  1  or  2,  the  Commission  shall 
conduct  a  suitable  examination  of  the  case  and  shall,  in  particular,  allow  the 
beneficiary State a specified period of time in which to submit its comments. 

EN 

17 

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4. 

1. 

Any  sum  received  unduly  and  to  be  recovered  shall  be  repaid  to  the  Commission. 
Default interest may be charged on sums not repaid in compliance with the Financial 
Regulation. 

Article 18 

Technical assistance at the initiative of the Commission 

At  the  initiative  of  the  Commission,  subject  to  a  ceiling  of  0.20%  of  the  financial 
resources  available  for  that  year,  the  Fund  may  be  used  to  finance  preparatory, 
monitoring,  administrative  and  technical  support,  audit  and  inspection  measures 
necessary to implement this Regulation. 

Those  actions  shall  be  executed  in  accordance  with  Article  53(2)  of  the  Financial 
Regulation and any other provisions of that Regulation and of its implementing rules 
applicable to this form of execution of the budget. 

Those  actions  shall  in  particular  include  expert  reports  to  assist  the  Commission  in 
carrying out the assessment of applications pursuant to Article 5(2). 

2. 

Where  a  contribution  from  the  Fund  is  foreseen  to  procure  external  services,  the 
Commission shall adopt a decision for the actions listed in the first subparagraph of 
paragraph 1. 

Article 19 

Annual report 

Before 1 July of each year, with effect from [year following year of date of application], the 
Commission  shall  present  to  the  European  Parliament  and  to  the  Council  a  report  on  the 
activities  under  this  Regulation  in  the  previous  year.  That  report  shall  in  particular  contain 
information relating to applications submitted, grant decisions adopted and the winding-up of 
financial assistance granted. 

Article 20 

Review 

The  European  Parliament  and  the  Council  shall  review  this  Regulation  on  the  basis  of  a 
proposal by the Commission by 31 December 2013 at the latest. 

Article 21 

Repeal 

Regulation (EC) No 2012/2002 is repealed with effect from 1 January 2007. 

References to the repealed Regulation shall be construed as references to this Regulation. 

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18 

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Article 22 

Transitional provision 

Regulation  (EC)  No  2012/2002  shall  continue  to  apply  to  applications  received  by  the 
Commission on or before 31 December 2006. 

Article 23 

Entry into force 

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

It shall apply from 1 January 2007. 

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

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President  

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19 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL : 

Proposal  for  a  REGULATION  of  the  European  Parliament  and  of  the  Council 
establishing the European Union Solidarity Fund 

2. 

ABM / ABB FRAMEWORK 

Policy Area(s) concerned and associated Activity/Activities: 

Citizenship, Freedom, Security and Justice 

3. 

BUDGET LINES 

3.1. 

Budget  lines  (operational  lines  and  related  technical  and  administrative 
assistance lines (ex- B.A lines)) including headings : 

Three budget lines under heading 3 

For Administrative Management: 13 01 04 04 

For Member States: 13 06 01 

For Candidate countries: 13 06 02 

3.2. 

Duration of the action and of the financial impact: 

Indeterminate,  with  the  possibility  of  using  up  to  EUR  1000  million  per  year  in 
current prices to be made available on a case by case basis by the budgetary authority 
in the event of major disasters upon proposal from the Commission of an amending 
budget 

Up to 0.2% of any grant paid under the EUSF may be used for Technical Assistance 
under 13 01 04 04. 

Up to 5% of the estimated costs of eligible operation claimed in the application - but 
no more than EUR5 million in each case – may be granted as advance funding upon 
request  of  the  affected  Member  State.  In  this  case,  available  Commitment 
Appropriations would have to be transferred to either 13 06 01 or 13 06 02 and re-
transferred  once  the  application  has  been  approved  and  the  amending  budget 
becomes effective. The Member State would have to repay the advance payment if 
the application is not approved. 

3.3. 

Budgetary characteristics (add rows if necessary) : 

Budget line 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

EN 

20 

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13 01 04 04 

13 06 01 

13 06 02 

Non-
comp 

Non-
comp 

Non-
comp 

Non 
Diff 

Yes 

No 

Diff11 

 NO 

NO 

Diff 

 NO 

NO 

No 

NO 

NO 

No 3 

No 3 

No 3 

4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

4.1.1. 

Summary of commitment appropriations (CA) and payment appropriations (PA) 

EUR million (to 3 decimal places) 

Section 
no. 

Expenditure type 

n + 1 

n + 2 

n + 3 

n + 4 

Year 
n 

n + 5 
and 
later 

Total 

Operational expenditure12 

Commitment 
Appropriations (CA) 

8.1 

Payment  Appropriations 
(PA) 

a 

b 

p.m.  p.m.  p.m.  p.m.  p.m.  p.m.  p.m. 

p.m.  p.m.  p.m.  p.m.  p.m.  p.m.  p.m. 

Administrative expenditure within reference amount13 

Technical 
& 
administrative  assistance 
(NDA) 

8.2.4 

c 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT  

p.m. 

p.m. 

p.m. 

p.m. 

p.m. 

p.m. 

p.m. 

Commitment 
Appropriations 

Payment 
Appropriations 

a+c  p.m.  p.m.  p.m.  p.m.  p.m.  p.m.  p.m. 

b+c  p.m.  p.m.  p.m.  p.m.  p.m.  p.m.  p.m. 

11 
12 
13 

ifferentiated appropriations 
xpenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
xpenditure within article xx 01 04 of Title xx. 

EN 

21 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
  
  
  
  
  
  
 
 
                                                 
Administrative expenditure not included in reference amount14 

Human 
associated 
(NDA) 

resources 

and 
expenditure 

Administrative  costs,  other 
than  human  resources  and 
associated 
not 
included in reference amount 
(NDA) 

costs, 

0.216

0.216 

0.216 

0.216 

0.216 

0.216 

8.2.5 

d 

8.2.6 

e 

Total indicative financial cost of intervention 

TOTAL  CA 
cost 
Resources 

of 

TOTAL  PA 
cost 
Resources 

of 

including 
Human 

including 
Human 

a+c
+d+
e 

b+c
+d+
e 

p.m.  p.m.  p.m.  p.m.  p.m.  p.m.  p.m. 

p.m.  p.m.  p.m.  p.m.  p.m.  p.m.  p.m. 

Co-financing details 

If  the  proposal  involves  co-financing  by  Member  States,  or  other  bodies  (please  specify 
which),  an  estimate  of  the  level  of  this  co-financing  should  be  indicated  in  the  table  below 
(additional  lines  may  be  added  if  different  bodies  are  foreseen  for  the  provision  of  the  co-
financing): 

EUR million (to 3 decimal places) 

n + 1 

n + 2 

n + 3 

n + 4 

Year 
n 

n  +  5 
and 
later 

Total 

Co-financing body 

…………………… 

TOTAL CA including co-
financing 

f 

a+c
+d+
e+f 

4.1.2.  Compatibility with Financial Programming 

X 

X 

X 

The proposal is compatible with existing financial programming. 

The proposal will entail reprogramming of the relevant heading in the financial 
perspective. 

The proposal may require application of the provisions of the Interinstitutional 
Agreement15 (i.e. flexibility instrument or revision of the financial perspective). 

14 
15 

xpenditure within chapter xx 01 other than articles xx 01 04 or xx 01 05. 
ee points 19 and 24 of the Interinstitutional agreement. 

EN 

22 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
4.1.3.  Financial impact on Revenue 

X 

(cid:133) 

The proposal has no financial implications on revenue 

Proposal has financial impact – the effect on revenue is as follows: 

NB: All details and observations relating to the method of calculating the effect on 
revenue should be shown in a separate annex. 

Budget line 

Revenue 

EUR million (to one decimal place) 

Situation following action 

[Yea
r n] 

[n+1] [n+2] [n+3

] 

[n+4]  [n+5]

16

Prior to
action 
[Year 
n-1] 

a) Revenue in absolute terms 

b) Change in revenue 

 ∆ 

(Please specify each revenue budget line involved, adding the appropriate number 
of rows to the table if there is an effect on more than one budget line.) 

4.2. 

Human Resources FTE (including officials, temporary and external staff) – see 
detail under point 8.2.1. 

Annual requirements 

Year n 

n + 1 

n + 2 

n + 3 

n + 4 

n + 5 
and 
later 

Total 
number 
human resources 

of 

2 

2 

2 

2 

2 

2 

5. 

CHARACTERISTICS AND OBJECTIVES 

Details  of  the  context  of  the  proposal  are  required  in  the  Explanatory  Memorandum. 
This section of the Legislative Financial Statement should include the following specific 
complementary information: 

5.1. 

Need to be met in the short or long term 

See Explanatory Memorandum 

16 

dditional columns should be added if necessary i.e. if the duration of the action exceeds 6 years 

EN 

23 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
5.2. 

Value-added  of  Community  involvement  and  coherence  of  the  proposal  with 
other financial instruments and possible synergy 

See Explanatory Memorandum 

5.3. 

Objectives, expected results and related indicators of the proposal in the context 
of the ABM framework 

5.4.  Method of Implementation (indicative) 

Show below the method(s)17 chosen for the implementation of the action. 

Shared management with Member states 

Decentralised  management  with  third  countries  (candidate  countries  negotiating 
accession to the Union) 

6. 

MONITORING AND EVALUATION 

Monitoring and evaluation are limited to reflect the character of the instrument and in 
order  not  to  impose  undue  burdens  on  national  administrations  in  the  event  of  a 
major  disaster.  However,  monitoring  visits  around  mid-term  of  the  implementation 
of the grant are foreseen for selected cases. 

ANTI-FRAUD MEASURES 

The proposal foresees that control and audit measures are to be carried out by the beneficiary 
state  on  the  basis  of  a  risk  analysis.  The  beneficiary  State  has  to  present  a  report  to  the 
Commission on the financial execution of the grant, together with a statement justifying the 
expenditure and indicating any other source of funding received for the operations concerned. 
The proposal foresees the possibility of audits by Community bodies in accordance with the 
Financial Regulation. 

7. 

DETAILS OF RESOURCES 

7.1. 

Objectives of the proposal in terms of their financial cost 

Commitment appropriations in EUR million (to 3 decimal places) 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 
and later 

TOTAL 

No. 
outp
uts 

Tot
al 
cos
t 

Tot
al 
cos
t 

No. 
outp
uts 

No. 
outp
uts 

Tot
al 
cos
t 

Tot
al 
cos
t 

No. 
outp
uts 

No. 
outp
uts 

Tot
al 
cos
t 

Tot
al 
cos
t 

No. 
outp
uts 

Tot
al 
cos
t 

Year n 

Av
. 
co
st  No. 
outp
uts 

Typ
e of 
outp
ut 

(Headings 
of 
Objectives, 
actions  and 
outputs 
should 
provided) 

be 

OPERATIO
NAL 
OBJECTIV

17 

f  more  than  one  method  is  indicated  please  provide  additional  details  in  the  "Relevant  comments" 
section of this point 

EN 

24 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
No.1 

E 
18……… 

 Action 1 

 - Output 1 

 - Output 2 

Action 2 

 - Output 1 

Sub-total 
Objective 1 

OPERATIO
NAL 
OBJECTIV
E No.2 1 

 Action 1 

 - Output 1 

Sub-total 
Objective 2 

OPERATIO
NAL 
OBJECTIV
E No.n 1 

Sub-total 
Objective n 

TOTAL 
COST 

18 

As described under Section 5.3 

EN 

25 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                                                                                                                         
7.2. 

Administrative Expenditure 

7.2.1.  Number and type of human resources 

Types of 
post 

Staff to be assigned to management of the action using existing and/or additional 
resources (number of posts/FTEs) 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 

A*/AD 

2 

2 

2 

2 

2 

2 

B*, 
C*/AST 

Officials 
or 
temporary 
staff19 
(XX 01 
01) 

Staff  financed20  by 
art. XX 01 02 

staff21 
Other 
financed  by  art.  XX 
01 04/05 

TOTAL 

2 

2 

2 

2 

2 

2 

7.2.2.  Description of tasks deriving from the action 

Assessment of applications, preparation of grant decisions, monitoring and closure of 
assistance 

7.2.3. 

Sources of human resources (statutory) 

Two statutory posts currently allocated to the management of the programme  

7.2.4.  Other  Administrative  expenditure  included  in  reference  amount  (XX  01  04/05  – 

Expenditure on administrative management) 

Budget line 

(number and heading) 

13 01 04 04, heading 3 

EUR million (to 3 decimal places) 

Year 
n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n+5  

and 
later 

TOTAL 

Technical 

1 
and 
assistance (including related staff costs) 

administrative 

 Executive agencies22 

19 
20 
21 

Cost of which is NOT covered by the reference amount 
Cost of which is NOT covered by the reference amount 
Cost of which is included within the reference amount 

EN 

26 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
 Other 

technical 

and 

administrative 

assistance 

 - intra muros  

 - extra muros 

p.m. 

p.m. 

p.m. 

p.m. 

p.m. 

p.m. 

p.m. 

 Total  Technical  and  administrative 
assistance 

p.m. 

p.m. 

p.m. 

p.m. 

p.m. 

p.m. 

p.m. 

7.2.5.  Financial cost of human resources and associated costs not included in the reference 

amount 

Type of human resources 

Year n 

Year n+1  Year n+2  Year n+3  Year n+4 

Year n+5 

and later 

EUR million (to 3 decimal places) 

Officials and temporary staff (XX 01 
01) 

Staff  financed  by  Art  XX  01  02 
(auxiliary, END, contract staff, etc.) 

(specify budget line) 

Total cost of Human Resources 
and associated costs (NOT in 
reference amount) 

0.216 

0.216 

0.216 

0.216 

0.216 

0.216 

0.216 

0.216 

0.216 

0.216 

0.216 

0.216 

Calculation– Officials and Temporary agents 
Reference should be made to Point 8.2.1, if applicable 

2 statutory posts à EUR 108.000 p.a 

Calculation– Staff financed under art. XX 01 02 

Reference should be made to Point 8.2.1, if applicable 

7.2.6.  Other administrative expenditure not included in reference amount 

EUR million (to 3 decimal places) 

22 

eference  should  be  made  to  the  specific  legislative  financial  statement  for  the  Executive  Agency(ies) 
concerned. 

EN 

27 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                                                                                                                         
Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n 

Year 
n+5 

and 
later 

TOTAL 

XX 01 02 11 01 – Missions 

XX 01 02 11 02 – Meetings & Conferences 

XX 01 02 11 03 – Committees23  

XX 01 02 11 04 – Studies & consultations 

XX 01 02 11 05 - Information systems 

2  Total 

Other 
Expenditure (XX 01 02 11) 

Management 

3  Other 

expenditure 

administrative 
including reference to budget line) 

nature 

of 

an 
(specify 

Total Administrative expenditure, other 
than human resources and associated 
costs (NOT included in reference 
amount) 

Calculation  -  Other  administrative  expenditure  not 

included 

in  reference  amount 

23 

pecify the type of committee and the group to which it belongs. 

EN 

28 

   EN