Proposal for a COUNCIL REGULATION amending the lists of insolvency proceedings, winding-up proceedings and liquidators in Annexes A, B and C to Regulation (EC) No 1346/2000 on insolvency proceedings and codifying Annexes A, B and C to that Regulation
Date: 2011-04-04
Institutions: European Commission
Subjects: EU law, financial solvency, judicial cooperation, judicial proceedings, national law

EN 

EN 

   EN 

 
EUROPEAN COMMISSION 

Brussels, 4.4.2011 
COM(2011) 156 final 

2011/0065 (NLE) 

Proposal for a 

COUNCIL REGULATION  

amending the lists of insolvency proceedings, winding-up proceedings and liquidators in 
Annexes A, B and C to Regulation (EC) No 1346/2000 on insolvency proceedings and 
codifying Annexes A, B and C to that Regulation 

EN 

   EN 

 
 
  
EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

Annex A to Council Regulation (EC) No 1346/2000 lists the insolvency proceedings referred 
to in Article 2(a) of the Regulation. Annex B lists the winding-up proceedings referred to in 
Article 2(c). Annex C lists the liquidators referred to in Article 2(b). 

The  annexes  to  Council  Regulation  (EC)  No  1346/2000  were  amended  lastly  by  Council 
Implementing Regulation (EU) No 210/2010 of 25 February 2010.1 

Austria notified the Commission on 15 September 2010 of further amendments to the lists set 
out in Annexes A, B and C. Latvia notified the Commission on 23 November 2010 of further 
amendments to the lists set out in Annexes A and B. 

Regulation (EC) No 1346/2000 should be amended accordingly by this Proposal. 

2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENTS 

External consultation was not relevant. 

There  was  no  need  for  impact  assessment.  Amending  the  Regulation  may  have  a  positive 
effect on the re-organisation of businesses. It is likely to have a positive or neutral impact on 
employment. 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

•  Summary of the proposed action 

The proposal aims at amending the Annexes of Regulation (EC) No 1346/2000 in order to 
take account of amendments to the domestic insolvency law of Member States. 

•  Legal basis 

The proposal is based on Article 45 of Regulation (EC) No 1346/2000. 

•  Subsidiarity principle 

The proposal falls under the exclusive competence of the European Union. The subsidiarity 
principle therefore does not apply. 

•  Proportionality principle 

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

1 

OJ L 65, 13.3.2010, p.1. 

EN 

2 

   EN 

                                                 
The Commission Proposal replaces the lists for Austria and Latvia in Annexes A, B and C to 
Council Regulation (EC) No 1346/2000 with new lists taking into account the information 
notified by Austria and Latvia. 

The Regulation is directly applicable in the Member States and it does not require any 
implementation measures. It is published in the Official Journal of the European Union, 
therefore its contents are accessible to all interested parties.  

•  Choice of instruments 

The proposed instrument is a regulation. 

Other means would not be adequate for the following reasons: 

By virtue of Article 45 of Council Regulation (EC) No 1346/2000, the Annexes to the 
Regulation can only be amended by the Council on the initiative of Member States or on a 
proposal by the Commission. 

Austria and Latvia notified the Commission of further amendments to the lists set out in the 
Annexes. Accordingly, the Commission is proposing to the Council amendments to the 
Annexes to the Regulation. 

4. 

BUDGETARY IMPLICATION 

The proposal has no budgetary implication. 

EN 

3 

   EN 

2011/0065 (NLE) 

Proposal for a 

COUNCIL REGULATION  

amending the lists of insolvency proceedings, winding-up proceedings and liquidators in 
Annexes A, B and C to Regulation (EC) No 1346/2000 on insolvency proceedings and 
codifying Annexes A, B and C to that Regulation 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty on the Functioning of the European Union,  

Having  regard  to  Council  Regulation  (EC)  No  1346/2000  of  29  May  2000  on  insolvency 
proceedings2, and in particular Article 45 thereof, 

Having regard to the proposal from the European Commission, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

Annexes A, B and C to Regulation (EC) No 1346/2000 list the designations given in 
the  national  legislation  of  the  Member  States  to  the  proceedings  and  liquidators  to 
which that Regulation applies. Annex A lists the insolvency proceedings referred to in 
Article 2(a) of that Regulation. Annex B lists the winding-up proceedings referred to 
in  Article  2(c)  of  that  Regulation  and  Annex  C  lists  the  liquidators  referred  to  in 
Article 2(b) of that Regulation. 

On  15  September  2010,  Austria  notified  the  Commission,  pursuant  to  Article  45  of 
Regulation  (EC)  No  1346/2000,  of  amendments to  the  lists  set  out  in  Annexes  A,  B 
and C to that Regulation. On 23 November 2010, Latvia notified the Commission of 
further amendments to the lists set out in Annexes A and B. 

As a consequence of the amendments to Annexes A, B and C to Regulation (EC) No 
1346/2000 following the abovementioned notifications by Austria and Latvia and the 
subsequent  adjustment  thereof,  a  codification  of  Annexes  A,  B  and  C  to  that 
Regulation should be made to provide all parties involved in insolvency proceedings 
covered by that Regulation with the necessary legal certainty. 

The United Kingdom and Ireland are bound by Regulation (EC) No 1346/2000 and, by 
virtue  of  Article  45  of  that  Regulation,  are  therefore  taking  part  in  the  adoption  and 
application of this Regulation. 

In  accordance  with  Articles  1  and  2  of  the  Protocol  on  the  Position  of  Denmark, 
annexed to the Treaty on European Union and to the Treaty on the Functioning of the 

2 

OJ L 160, 30.6.2000, p.1. 

EN 

4 

   EN 

                                                 
European Union, Denmark is not taking part in the adoption of this Regulation and is 
not bound by it or subject to its application. 

(6) 

Annexes A, B and C to Regulation (EC) No 1346/2000 should therefore be amended 
and codified accordingly, 

HAS ADOPTED THIS REGULATION: 

Article 1 

1. in Annex A, the designations for Latvia and Austria are replaced by the following: 

"LATVIJA 

–  Tiesiskās aizsardzības process (Legal Protection Proceedings) 

–  Juridiskās personas maksātnespējas process (Insolvency Proceedings for a Legal Person) 

–  Fiziskās personas maksātnespējas process (Insolvency Proceedings for a Natural Person); 

ÖSTERREICH 

–  Das Konkursverfahren (Insolvenzverfahren) 

–  Das Sanierungsverfahren ohne Eigenverwaltung (Insolvenzverfahren) 

–  Das Sanierungsverfahren mit Eigenverwaltung (Insolvenzverfahren) 

–  Das Schuldenregulierungsverfahren 

–  Das Abschöpfungsverfahren 

–  Das Ausgleichsverfahren"; 

2. in Annex B, the designations for Latvia and Austria are replaced by the following: 

"LATVIJA 

–  Juridiskās personas maksātnespējas process (Insolvency Proceedings for a Legal Person); 

–  Fiziskās personas maksātnespējas process (Insolvency Proceedings for a Natural Person); 

ÖSTERREICH 

–  Das Konkursverfahren (Insolvenzverfahren)"; 

3. in Annex C, the designations for Austria are replaced by the following: 

–  "ÖSTERREICH 

–  Masseverwalter 

–  Sanierungsverwalter 

EN 

5 

   EN 

–  Ausgleichsverwalter 

–  Besonderer Verwalter 

–  Einstweiliger Verwalter 

–  Sachwalter 

–  Treuhänder 

–  Insolvenzgericht 

–  Konkursgericht". 

Article 2 

Annexes  A,  B  and  C  to  Regulation  (EC)  No  1346/2000  as  amended  in  accordance  with 
Article 1 of this Regulation are hereby codified and replaced by the texts set out in Annexes I, 
II and III to this Regulation. 

This Regulation shall enter into force on the 20th day following that of its publication in the 
Official Journal of the European Union. 

Article 3 

This Regulation shall be binding in its entirety and directly applicable in the Member States in 
accordance with the Treaties. 

Done at 

For the Council 
The President 

EN 

6 

   EN 

 
 
ANNEX I 

"ANNEX A 

Insolvency proceedings referred to in Article 2(a) 

BELGIË/BELGIQUE 

–  Het faillissement/La faillite 

–  De  gerechtelijke  reorganisatie  door  een  collectief  akkoord/La  réorganisation  judiciaire  par  accord 

collectif 

–  De gerechtelijke reorganisatie door overdracht onder gerechtelijk gezag/La réorganisation judiciaire 

par transfert sous autorité de justice 

–  De collectieve schuldenregeling/Le règlement collectif de dettes 

–  De vrijwillige vereffening/La liquidation volontaire 

–  De gerechtelijke vereffening/La liquidation judiciaire 

–  De  voorlopige  ontneming  van  beheer,  bepaald  in  artikel  8  van  de  faillissementswet/Le 

dessaisissement provisoire, visé à l’article 8 de la loi sur les faillites 

БЪЛГАРИЯ 

–  Производство по несъстоятелност 

ČESKÁ REPUBLIKA 

–  Konkurs 

–  Reorganizace 

–  Oddlužení 

DEUTSCHLAND 

–  Das Konkursverfahren 

–  Das gerichtliche Vergleichsverfahren 

–  Das Gesamtvollstreckungsverfahren 

–  Das Insolvenzverfahren 

EESTI 

–  Pankrotimenetlus 

EN 

7 

   EN 

ΕΛΛΑΣ 

–  Η πτώχευση 

–  Η ειδική εκκαθάριση 

–  Η προσωρινή διαχείριση εταιρείας. Η διοίκηση και διαχείριση των πιστωτών 

–  Η υπαγωγή επιχείρησης υπό επίτροπο µε σκοπό τη σύναψη συµβιβασµού µε τους πιστωτές 

ESPAÑA 

–  Concurso 

FRANCE 

–  Sauvegarde 

–  Redressement judiciaire 

–  Liquidation judiciaire 

IRELAND 

–  Compulsory winding-up by the court 

–  Bankruptcy 

–  The administration in bankruptcy of the estate of persons dying insolvent 

–  Winding-up in bankruptcy of partnerships 

–  Creditors’ voluntary winding-up (with confirmation of a court) 

–  Arrangements under the control of the court which involve the vesting of all or part of the property 

of the debtor in the Official Assignee for realisation and distribution 

–  Company examinership 

ITALIA 

–  Fallimento 

–  Concordato preventivo 

–  Liquidazione coatta amministrativa 

–  Amministrazione straordinaria 

ΚΥΠΡΟΣ 

–  Υποχρεωτική εκκαθάριση από το ∆ικαστήριο 

EN 

8 

   EN 

–  Εκούσια εκκαθάριση από πιστωτές κατόπιν ∆ικαστικού ∆ιατάγµατος 

–  Εκούσια εκκαθάριση από µέλη 

–  Εκκαθάριση µε την εποπτεία του ∆ικαστηρίου 

–  Πτώχευση κατόπιν ∆ικαστικού ∆ιατάγµατος 

–  ∆ιαχείριση της περιουσίας προσώπων που απεβίωσαν αφερέγγυα 

LATVIJA 

–  Tiesiskās aizsardzības process (Legal Protection Proceedings) 

–  Juridiskās personas maksātnespējas process (Insolvency Proceedings for a Legal Person) 

–  Fiziskās personas maksātnespējas process (Insolvency Proceedings for a Natural Person) 

LIETUVA 

–  Įmonės restruktūrizavimo byla 

–  Įmonės bankroto byla 

–  Įmonės bankroto procesas ne teismo tvarka 

LUXEMBOURG 

–  Faillite 

–  Gestion contrôlée 

–  Concordat préventif de faillite (par abandon d’actif) 

–  Régime spécial de liquidation du notariat 

MAGYARORSZÁG 

–  Csődeljárás 

–  Felszámolási eljárás 

MALTA 

–  Xoljiment 

–  Amministrazzjoni 

–  Stralċ volontarju mill-membri jew mill-kredituri 

–  Stralċ mill-Qorti 

EN 

9 

   EN 

–  Falliment f’każ ta’ negozjant 

NEDERLAND 

–  Het faillissement 

–  De surséance van betaling 

–  De schuldsaneringsregeling natuurlijke personen 

ÖSTERREICH 

–  Das Konkursverfahren (Insolvenzverfahren) 

–  Das Sanierungsverfahren ohne Eigenverwaltung (Insolvenzverfahren) 

–  Das Sanierungsverfahren mit Eigenverwaltung (Insolvenzverfahren) 

–  Das Schuldenregulierungsverfahren 

–  Das Abschöpfungsverfahren 

–  Das Ausgleichsverfahren"; 

POLSKA 

–  Postępowanie upadłościowe 

–  Postępowanie układowe 

–  Upadłość obejmująca likwidację 

–  Upadłość z możliwością zawarcia układu 

PORTUGAL 

–  Processo de insolvência 

–  Processo de falência 

–  Processos especiais de recuperação de empresa, ou seja: 

–  Concordata 

–  Reconstituição empresarial 

–  Reestruturação financeira 

–  Gestão controlada 

EN 

10 

   EN 

ROMÂNIA 

–  Procedura insolvenței 

–  Reorganizarea judiciară 

–  Procedura falimentului 

SLOVENIJA 

–  Stečajni postopek 

–  Skrajšani stečajni postopek 

–  Postopek prisilne poravnave 

–  Prisilna poravnava v stečaju 

SLOVENSKO 

–  Konkurzné konanie 

–  Reštrukturalizačné konanie 

SUOMI/FINLAND 

–  Konkurssi/konkurs 

–  Yrityssaneeraus/företagssanering 

SVERIGE 

–  Konkurs 

–  Företagsrekonstruktion 

UNITED KINGDOM 

–  Winding-up by or subject to the supervision of the court 

–  Creditors’ voluntary winding-up (with confirmation by the court) 

–  Administration, including appointments made by filing prescribed documents with the court 

–  Voluntary arrangements under insolvency legislation 

–  Bankruptcy or sequestration". 

EN 

11 

   EN 

ANNEX II 

"ANNEX B 

Winding-up proceedings referred to in Article 2(c) 

BELGIË/BELGIQUE 

–  Het faillissement/La faillite 

–  De vrijwillige vereffening/La liquidation volontaire 

–  De gerechtelijke vereffening/La liquidation judiciaire 

–  De gerechtelijke reorganisatie door overdracht onder gerechtelijk gezag/La réorganisation judiciaire 

par transfert sous autorité de justice 

БЪЛГАРИЯ 

–  Производство по несъстоятелност 

ČESKÁ REPUBLIKA 

–  Konkurs 

DEUTSCHLAND 

–  Das Konkursverfahren 

–  Das Gesamtvollstreckungsverfahren 

–  Das Insolvenzverfahren 

EESTI 

–  Pankrotimenetlus 

ΕΛΛΑΣ 

–  Η πτώχευση 

–  Η ειδική εκκαθάριση 

ESPAÑA 

–  Concurso 

FRANCE 

–  Liquidation judiciaire 

EN 

12 

   EN 

IRELAND 

–  Compulsory winding-up 

–  Bankruptcy 

–  The administration in bankruptcy of the estate of persons dying insolvent 

–  Winding-up in bankruptcy of partnerships 

–  Creditors’ voluntary winding-up (with confirmation of a court) 

–  Arrangements under the control of the court which involve the vesting of all or part of the property 

of the debtor in the Official Assignee for realisation and distribution 

ITALIA 

–  Fallimento 

–  Concordato preventivo con cessione dei beni 

–  Liquidazione coatta amministrativa 

–  Amministrazione straordinaria con programma di cessione dei complessi aziendali 

–  Amministrazione  straordinaria  con  programma  di  ristrutturazione  di  cui  sia  parte  integrante  un 

concordato con cessione dei beni 

ΚΥΠΡΟΣ 

–  Υποχρεωτική εκκαθάριση από το ∆ικαστήριο 

–  Εκκαθάριση µε την εποπτεία του ∆ικαστηρίου 

–  Εκούσια εκκαθάριση από πιστωτές (µε την επικύρωση του ∆ικαστηρίου) 

–  Πτώχευση 

–  ∆ιαχείριση της περιουσίας προσώπων που απεβίωσαν αφερέγγυα 

LATVIJA 

–  Juridiskās personas maksātnespējas process (Insolvency Proceedings for a Legal Person) 

–  Fiziskās personas maksātnespējas process (Insolvency Proceedings for a Natural Person) 

LIETUVA 

–  Įmonės bankroto byla 

–  Įmonės bankroto procesas ne teismo tvarka 

EN 

13 

   EN 

LUXEMBOURG 

–  Faillite 

–  Régime spécial de liquidation du notariat 

MAGYARORSZÁG 

–  Felszámolási eljárás 

MALTA 

–  Stralċ volontarju 

–  Stralċ mill-Qorti 

–  Falliment inkluż il-ħruġ ta’ mandat ta’ qbid mill-Kuratur f’każ ta’ negozjant fallut 

NEDERLAND 

–  Het faillissement 

–  De schuldsaneringsregeling natuurlijke personen 

ÖSTERREICH 

–  Das Konkursverfahren (Insolvenzverfahren) 

POLSKA 

–  Postępowanie upadłościowe 

–  Upadłość obejmująca likwidację 

PORTUGAL 

–  Processo de insolvência 

–  Processo de falência 

ROMÂNIA 

–  Procedura falimentului 

SLOVENIJA 

–  Stečajni postopek 

–  Skrajšani stečajni postopek 

EN 

14 

   EN 

SLOVENSKO 

–  Konkurzné konanie 

SUOMI/FINLAND 

–  Konkurssi/konkurs 

SVERIGE 

–  Konkurs 

UNITED KINGDOM 

–  Winding-up by or subject to the supervision of the court 

–  Winding-up  through  administration,  including  appointments  made  by  filing  prescribed  documents 

with the court 

–  Creditors’ voluntary winding-up (with confirmation by the court) 

–  Bankruptcy or sequestration". 

EN 

15 

   EN 

ANNEX III 

"ANNEX C 

Liquidators referred to in Article 2(b) 

BELGIË/BELGIQUE 

–  De curator/Le curateur 

–  De gedelegeerd rechter/Le juge-délégué 

–  De gerechtsmandataris/Le mandataire de justice 

–  De schuldbemiddelaar/Le médiateur de dettes 

–  De vereffenaar/Le liquidateur 

–  De voorlopige bewindvoerder/L’administrateur provisoire 

БЪЛГАРИЯ 

–  Назначен предварително временен синдик 

–  Временен синдик 

–  (Постоянен) синдик 

–  Служебен синдик 

ČESKÁ REPUBLIKA 

–  Insolvenční správce 

–  Předběžný insolvenční správce 

–  Oddělený insolvenční správce 

–  Zvláštní insolvenční správce 

–  Zástupce insolvenčního správce 

DEUTSCHLAND 

–  Konkursverwalter 

–  Vergleichsverwalter 

–  Sachwalter (nach der Vergleichsordnung) 

–  Verwalter 

EN 

16 

   EN 

–  Insolvenzverwalter 

–  Sachwalter (nach der Insolvenzordnung) 

–  Treuhänder 

–  Vorläufiger Insolvenzverwalter 

EESTI 

–  Pankrotihaldur 

–  Ajutine pankrotihaldur 

–  Usaldusisik 

ΕΛΛΑΣ 

–  Ο σύνδικος 

–  Ο προσωρινός διαχειριστής. Η διοικούσα επιτροπή των πιστωτών 

–  Ο ειδικός εκκαθαριστής 

–  Ο επίτροπος 

ESPAÑA 

–  Administradores concursales 

FRANCE 

–  Mandataire judiciaire 

–  Liquidateur 

–  Administrateur judiciaire 

–  Commissaire à l’exécution du plan 

IRELAND 

–  Liquidator 

–  Official Assignee 

–  Trustee in bankruptcy 

–  Provisional Liquidator 

–  Examiner 

EN 

17 

   EN 

ITALIA 

–  Curatore 

–  Commissario giudiziale 

–  Commissario straordinario 

–  Commissario liquidatore 

–  Liquidatore giudiziale 

ΚΥΠΡΟΣ 

–  Εκκαθαριστής και Προσωρινός Εκκαθαριστής 

–  Επίσηµος Παραλήπτης 

–  ∆ιαχειριστής της Πτώχευσης 

–  Εξεταστής 

LATVIJA 

–  Maksātnespējas procesa administrators 

LIETUVA 

–  Bankrutuojančių įmonių administratorius 

–  Restruktūrizuojamų įmonių administratorius 

LUXEMBOURG 

–  Le curateur 

–  Le commissaire 

–  Le liquidateur 

–  Le conseil de gérance de la section d’assainissement du notariat 

MAGYARORSZÁG 

–  Vagyonfelügyelő 

–  Felszámoló 

MALTA 

–  Amministratur Proviżorju 

EN 

18 

   EN 

–  Riċevitur Uffiċjali 

–  Stralċjarju 

–  Manager Speċjali 

–  Kuraturi f’każ ta' proċeduri ta' falliment 

NEDERLAND 

–  De curator in het faillissement 

–  De bewindvoerder in de surséance van betaling 

–  De bewindvoerder in de schuldsaneringsregeling natuurlijke personen 

ÖSTERREICH 

–  Masseverwalter 

–  Sanierungsverwalter 

–  Ausgleichsverwalter 

–  Besonderer Verwalter 

–  Einstweiliger Verwalter 

–  Sachwalter 

–  Treuhänder 

–  Insolvenzgericht 

–  Konkursgericht 

POLSKA 

–  Syndyk 

–  Nadzorca sądowy 

–  Zarządca 

PORTUGAL 

–  Administrador da insolvência 

–  Gestor judicial 

–  Liquidatário judicial 

EN 

19 

   EN 

–  Comissão de credores 

ROMÂNIA 

–  Practician în insolvență 

–  Administrator judiciar 

–  Lichidator 

SLOVENIJA 

–  Upravitelj prisilne poravnave 

–  Stečajni upravitelj 

–  Sodišče, pristojno za postopek prisilne poravnave 

–  Sodišče, pristojno za stečajni postopek 

SLOVENSKO 

–  Predbežný správca 

–  Správca 

SUOMI/FINLAND 

–  Pesänhoitaja/boförvaltare 

–  Selvittäjä/utredare 

SVERIGE 

–  Förvaltare 

–  Rekonstruktör 

UNITED KINGDOM 

–  Liquidator 

–  Supervisor of a voluntary arrangement 

–  Administrator 

–  Official Receiver 

–  Trustee 

–  Provisional Liquidator 

–  Judicial factor". 

EN 

20 

   EN 

LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

[to be used for any proposal or initiative submitted to the legislative authority 

(Articles 28 of the Financial Regulation and 22 of the implementing rules)] 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative  

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

1.3.  Nature of the proposal/initiative 

1.4.  Objective(s) 

1.5.  Grounds for the proposal/initiative 

1.6.  Duration and financial impact  

1.7.  Management method(s) envisaged  

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

2.2.  Management and control system  

2.3.  Measures to prevent fraud and irregularities  

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

3.2.  Estimated impact on expenditure  

3.2.1. Summary of estimated impact on expenditure  

3.2.2. Estimated impact on operational appropriations  

3.2.3. Estimated impact on appropriations of an administrative nature 

3.2.4. Compatibility with the current multiannual financial framework 

3.2.5. Third-party participation in financing  

3.3.  Estimated impact on revenue

EN 

21 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

Proposal for a Council Regulation amending the lists of insolvency proceedings, winding-
up proceedings and liquidators in Annexes A, B and C to Regulation (EC) No 1346/2000 
on insolvency proceedings and codifying Annexes A, B and C to that Regulation 

1.2. 

Policy area(s) concerned in the ABM/ABB structure3  

DG Justice, judicial co-operation in civil matters 

1.3. 

Nature of the proposal/initiative  

(cid:133) The proposal/initiative relates to a new action  

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action4  

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

(cid:133) The proposal/initiative relates to an action redirected towards a new action  

1.4. 

Objectives 

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

Building a European Area of Justice 

1.4.2. 

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

Specific objective No.. 

Developing Judicial Co-operation in Civil Matters 

ABM/ABB activity(ies) concerned 

[…] 

3 
4 

ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 

EN 

22 

   EN 

                                                 
1.4.3.  Expected result(s) and impact 

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

[…] 

[…] 

[…] 

1.4.4. 

Indicators of results and impact  

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

[…] 

[…] 

1.5. 

Grounds for the proposal/initiative  

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

[…] 

[…] 

1.5.2.  Added value of EU involvement 

[…] 

[…] 

1.5.3.  Lessons learned from similar experiences in the past 

[…] 

[…] 

1.5.4.  Coherence and possible synergy with other relevant instruments 

[…] 

[…] 

EN 

23 

   EN 

1.6. 

Duration and financial impact  

(cid:133) Proposal/initiative of limited duration  

–  (cid:133) Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY  

–  (cid:133) Financial impact from YYYY to YYYY  

X Proposal/initiative of unlimited duration 

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

–  followed by full-scale operation. 

1.7.  Management mode(s) envisaged5  

(cid:133) Centralised direct management by the Commission  

(cid:133) Centralised indirect management with the delegation of implementation tasks to: 

–  (cid:133) executive agencies  

–  (cid:133) bodies set up by the Communities6  

–  (cid:133) national public-sector bodies/bodies with public-service mission  

–  (cid:133) persons entrusted with the implementation of specific actions pursuant to Title V of the 
Treaty  on  European  Union  and  identified  in  the  relevant  basic  act  within  the  meaning  of 
Article 49 of the Financial Regulation  

(cid:133) Shared management with the Member States  

(cid:133) Decentralised management with third countries  

(cid:133) Joint management with international organisations (to be specified) 

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

Comments  

[…] 

[…] 

5 

6 

EN 

Details  of  management  modes  and  references  to  the  Financial  Regulation  may  be  found  on  the  BudgWeb  site: 
http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html 
As referred to in Article 185 of the Financial Regulation. 

24 

   EN 

                                                 
2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

[…] 

[…] 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

[…] 

[…] 

2.2.2.  Control method(s) envisaged  

[…] 

[…] 

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

[…] 

[…] 

EN 

25 

   EN 

3. 

3.1. 

Heading of 
multiannual 
financial 
framework 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

•  Existing expenditure budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of  
expenditure

Contribution  

Number  
[Description………………………...……….] 

DA/NDA 
(7) 

from 
EFTA8 
countries 

from 
candidate 
countries9 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

[XX.YY.YY.YY] 

[…] 

[…] 

•  New budget lines requested  

DA/DNA  YES/NO 

YES/NO 

YES/NO 

YES/NO 

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of 
expenditure

Contribution  

Number  
[Heading……………………………………..] 

Diff./non-
diff. 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

Heading of 
multiannual 
financial 
framework 

[XX.YY.YY.YY] 

[…] 

[…] 

[…] 

YES/NO 

YES/NO 

YES/NO 

YES/NO 

7 
8 
9 

EN 

DA= Differentiated appropriations / DNA= Non-Differentiated Appropriations 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 

26 

   EN 

                                                 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial 
framework:  

Number 

[Heading ……………...……………………………………………………………….] 

EUR million (to 3 decimal places) 

DG: <…….> 

(cid:121) Operational appropriations  

Number of budget line 

Number of budget line 

Appropriations 
of 
 from the envelop of specific programs11  
Number of budget line 

an 

administrative 

TOTAL appropriations 
for DG <…….> 

Year 
N10 

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 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1a) 

(2a) 

nature 

financed 

Commitments 

Payments 

(3) 

=1+1a 
+3 

=2+2a 

+3 

10 
11 

EN 

Year N is the year in which implementation of the proposal/initiative starts. 
Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect research, direct 
research. 

27 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelop of specific programs  

(4) 

(5) 

(6) 

TOTAL appropriations  
under HEADING <….> 
of the multiannual financial framework 

Commitments 

=4+ 6 

Payments 

=5+ 6 

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

(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelop of specific programs  

(4) 

(5) 

(6) 

TOTAL appropriations  
under HEADINGS 1 to 4 
of the multiannual financial framework 
(Reference amount) 

Commitments 

=4+ 6 

Payments 

=5+ 6 

EN 

28 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial 
framework:  

5 

" Administrative expenditure " 

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 

EUR million (to 3 decimal places) 

DG: <…….> 

(cid:121) Human resources  
(cid:121) Other administrative expenditure  

TOTAL DG <…….> 

Appropriations  

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

Year 
N12 

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 

EUR million (to 3 decimal places) 

TOTAL appropriations  
under HEADINGS 1 to 5 
of the multiannual financial framework  

Commitments 

Payments 

12 

Year N is the year in which implementation of the proposal/initiative starts. 

EN 

29 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.2.  Estimated impact on operational appropriations  

–  (cid:133) The proposal/initiative does not require the use of operational appropriations  

–  (cid:133) The proposal/initiative requires the use of operational appropriations, as explained below: 

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 

Commitment appropriations in EUR million (to 3 decimal places) 

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

Total 
numbe
r of 
ouputs 

Total  
cost 

(cid:216) 

Type 
of 
output
13 

Avera
ge 
cost  
of the 
ouput 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

SPECIFIC OBJECTIVE No 114… 

- Output 

- Output 

- Output 

Sub-total for specific objective N°1 

SPECIFIC OBJECTIVE No 2… 

- Output 

Sub-total for specific objective N°2 

TOTAL COST 

13 
14 

EN 

Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 
As described in Section 1.4.2. "Specific objective(s)…" 

30 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

–  (cid:133) The  proposal/initiative  does  not 

require 

the  use  of  administrative 

appropriations  

–  (cid:133) The  proposal/initiative  requires  the  use  of  administrative  appropriations,  as 

explained below: 

EUR million (to 3 decimal places) 

Year 
N 15 

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 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 516 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

TOTAL 

15 
16 

Year N is the year in which implementation of the proposal/initiative starts. 
Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of  EU 
programmes and/or actions (former "BA" lines), indirect research, direct research. 

EN 

31 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.   Estimated requirements of human resources  

–  (cid:133) The proposal/initiative does not require the use of human resources  

–  (cid:133) The  proposal/initiative  requires  the  use  of  human  resources,  as  explained 

below: 

Estimate to be expressed in full amounts (or at most to one decimal place) 

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) 

(cid:121) Establishment plan posts (officials and temporary agents) 

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) 

(cid:121) External personnel (in Full Time Equivalent unit: FTE)17 

XX 01 02 01 (CA, INT, SNE from the "global 
envelope") 

XX 01 02 02 (CA, INT, JED, LA and SNE in 
the delegations) 

XX 01 04 yy 18 

- at Headquarters19 

- in delegations  

XX 01 05 02 (CA, INT, SNE - Indirect 
research) 

10 01 05 02 (CA, INT, SNE - 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. 

17 

18 
19 

CA= Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune Expert en Délégation" (Young 
Experts in Delegations); LA= Local Agent; SNE= Seconded National Expert;  
Under the ceiling for external personnel from operational appropriations (former "BA" lines). 
Essentially  for  Structural  Funds,  European  Agricultural  Fund  for  Rural  Development  (EAFRD)  and 
European Fisheries Fund (EFF). 

EN 

32 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Description of tasks to be carried out: 

Officials and temporary agents 

External personnel 

EN 

33 

   EN 

 
 
 
3.2.4.  Compatibility with the current multiannual financial framework  

–  (cid:133) Proposal/initiative is compatible the current multiannual financial framework. 

–  (cid:133) 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. 

[…] 

–  (cid:133) Proposal/initiative requires application of the flexibility instrument or revision 

of the multiannual financial framework20. 

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

[…] 

3.2.5.  Third-party contributions  

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

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

Appropriations in EUR million (to 3 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 
cofinanced  

20 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

34 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.3. 

Estimated impact on revenue  

–  (cid:133) Proposal/initiative has no financial impact on revenue. 

–  (cid:133) Proposal/initiative has the following financial impact: 

– 

– 

(cid:133) 

(cid:133) 

on own resources  

on miscellaneous revenue  

Appropriation
s available for 
the ongoing 
budget 
exercise 

Budget revenue line: 

Article …………. 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative21 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… insert as many columns as necessary 
in order to reflect the duration of the 
impact (see point 1.6) 

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

[…] 

Specify the method for calculating the impact on revenue. 

[…] 

21 

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 25% for collection costs. 

EN 

35 

   EN