Proposal for a COUNCIL DECISION on the conclusion of a new Protocol setting out the fishing opportunities and financial contribution provided for in the Fisheries Partnership Agreement between the European Community and the Republic of Cape Verde
Date: 2011-04-27
Institutions: European Commission
Subjects: Cabo Verde, allocation of resources, cooperation agreement, fishery management, fishing agreement, fishing area, fishing licence, fishing rights

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EUROPEAN COMMISSION 

Brussels, 27.4.2011 
COM(2011) 228 final 

2011/0097 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the conclusion of a new Protocol setting out the fishing opportunities and financial 
contribution provided for in the Fisheries Partnership Agreement between the 
European Community and the Republic of Cape Verde 

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EXPLANATORY MEMORANDUM 

Based  on  a  mandate  from  the  Council1,  the  European  Commission  has  negotiated  with  the 
Republic  of  Cape  Verde  to  renew  the  Protocol  to  the  Fisheries  Partnership  Agreement 
between the European Community and the Republic of Cape Verde, dated 19 December 2006. 
Following these negotiations, a new protocol was initialled on 22 December 2010, covering a 
period  of  three  years  starting  from  1 September  2011,  since  the  protocol  currently  in  force 
will expire on 31 August 2011. 

This procedure is initiated in parallel with the procedures relating to the Council Decision on 
the signing on behalf of the Union and on the provisional application of the Protocol itself, as 
well as to the Council Regulation concerning the allocation of fishing opportunities between 
the Member States of the EU. 

The  Commission’s  negotiating  position  was  based  in  part  on  the  results  of  an  ex-post 
evaluation carried out by external experts. 

The main objective of the Protocol is to define the fishing opportunities offered to European 
Union vessels on the basis of the surplus available, as well as the financial contribution due 
separately for access rights and sectoral support. 

The objective is to continue the cooperation between the European Union and the Republic of 
Cape Verde to create a partnership framework within which to develop a sustainable fisheries 
policy and to ensure the sound exploitation of fisheries resources in the Cape Verde fishing 
zone, which is in the interests of both Parties. 

The  new  Protocol  is  in  keeping  with  the  two  Parties’  concern  to  strengthen  partnership  and 
cooperation in the fisheries sector using all the financial instruments available. To this end, it 
should  be  reiterated  that  there  is  a  need  to  create  a  framework  which  is  favourable  to  the 
development  of  investment  in  this  sector  and  optimising  the  production  of  small-scale 
fisheries. 

The  overall  annual  contribution  of  the  Protocol  of  EUR  1 305 000  over  the  whole  period  is 
based on: a) an annual reference tonnage fixed at 5 000 tonnes for 74 vessels, corresponding 
to EUR 325 000 per year, and b) support for the development of the sectoral fisheries policy 
of the Republic of Cape Verde amounting to EUR 110 000 per year. This support meets the 
objectives of the national fisheries policy.  

With  regard  to  the  fishing  opportunities,  28  tuna  seiners,  35  surface  longliners  and 
11 pole-and-line  vessels  will  be  authorised  to  fish.  Nevertheless,  on  the  basis  of  the  annual 
assessments  of  the  state  of  stocks,  these  fishing  opportunities  could  be  revised  upwards  or 
downwards, which would lead to a corresponding review of the financial contribution.  

The Commission proposes, on this basis, that the Council, with the consent of the Parliament, 
adopt this new Protocol by Decision. 

1 

Decision No 12600/10 of 27 September 2010. 

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2011/0097 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the conclusion of a new Protocol setting out the fishing opportunities and financial 
contribution provided for in the Fisheries Partnership Agreement between the 
European Community and the Republic of Cape Verde 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 43(2) in conjunction with Article 218(6)(a) thereof, 

Having regard to the proposal from the Commission2, 

Having regard to the consent of the European Parliament3, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

On  19  December  2006,  the  Council  adopted  Regulation  (EC)  No 2027/2006  on  the 
conclusion of the Fisheries partnership agreement between the European Community 
and the Republic of Cape Verde4. 

The European Union has negotiated with the Republic of Cape Verde a new protocol 
granting European Union vessels fishing opportunities in waters in which Cape Verde 
exercises its sovereignty or jurisdiction as regards fishing. 

Following these negotiations, the new Protocol was initialled on 22 December 2010. 

On  the  basis  of  Council  Decision  2010/XXX  of  […]5,  this  new  Protocol  was  signed 
and has been provisionally applied since 1 September 2011, 

(5) 

The Protocol should be concluded, 

HAS ADOPTED THIS DECISION: 

Article 1 

The Protocol to the Fisheries Partnership Agreement between the European Community and 
the Republic of Cape Verde is hereby approved on behalf of the Union6. 

2 
3 
4 
5 

OJ C , , p. . 
OJ C , , p. . 
Council Regulation (EC) No 2027/2006 of 19 December 2006 (OJ L 414, 30.12.2006, p. 1).  
OJ C [...], [...], p. [...]. 

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Article 2 

The President of the Council shall designate the persons empowered to proceed, on behalf of 
the Union, to the notification provided for in Article 16 of the Protocol, in order to express the 
consent of the Union to be bound by the Protocol7. 

Article 3 

This  Decision  shall  take  effect  on  the  day  of  its  publication  in  the  Official  Journal  of  the 
European Union. 

Done at Brussels,  

For the Council 
The President 

6 
7 

The text of the Protocol and the Decision on its signing were published in the Official Journal. 
The date of entry into force of the Protocol will be published in the Official Journal of the European 
Union by the General Secretariat of the Council. 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE 

1.1.  Title of the proposal/initiative 

1.2.  Policy area(s) concerned 

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 mode(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 contributions 

3.3.  Estimated impact on revenue 

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1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE 

1.1. 

Title of the proposal/initiative 

Proposal  for  a  Council  Decision  on  the  conclusion  of  a  new  Protocol  setting  out  the  fishing 
opportunities  and  financial  contribution  provided  for  in  the  Fisheries  Partnership  Agreement 
between the European Community and the Republic of Cape Verde 

1.2. 

Policy area(s) concerned in the ABM/ABB structure8 

11. - Maritime Affairs and Fisheries 

11.03 - International fisheries and law of the sea 

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 action9 

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 

The  Commission’s  exclusive  responsibility  for  negotiating  bilateral  fisheries  agreements 
involves negotiating, concluding and implementing Fisheries Partnership Agreements (FPAs) 
and,  at  the  same  time,  ensuring  political  dialogue  between  partners  in  the  field  of  fisheries 
policy in the third countries concerned.  

The negotiation and conclusion of fisheries agreements with third countries meets the general 
objective of maintaining and safeguarding the fishing activities of the European Union fleet, 
including the distant-water fleet, and developing relations in a spirit of partnership with a view 
to  strengthening  the  sustainable  exploitation  of  fishery  resources  outside  EU  waters,  taking 
account of environmental, social and economic concerns.  

FPAs  also ensure coherence between the principles governing the Common Fisheries Policy 
and  the  commitments  made  under  other  European  policies  (sustainable  use  of  third-country 
resources, combating illegal, unreported and unregulated (IUU) fishing, integration of partner 
countries into the global economy and better political and financial governance of fisheries). 

8 
9 

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

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1.4.2. 

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

Specific objective No 110 

To  contribute  to  sustainable  fishing  in  non-EU  waters,  maintain  a  European  presence  in 
distant-water  fisheries  and  protect  the  interests  of  the  European  fisheries  sector  and  of 
consumers by negotiating and concluding fisheries partnership agreements with coastal states 
(third countries), in consistency with other European policies.  

In the specific case of the new Protocol with the Republic of Cape Verde, the catch level for 
the European tuna fleet has been set at a reference tonnage of 5 000 tonnes/year. The unit cost 
has been set at EUR 100/t, of which EUR 65/t is to be paid from the EU budget and EUR 35/t 
is to be borne by the operators. 

ABM/ABB activity(ies) concerned 

Maritime affairs and fisheries, international fisheries and law of the sea, international fisheries 
agreements (budget line 11.0301) 

1.4.3.  Expected result(s) and impact 

Specify 
beneficiaries/groups targeted. 

the  effects  which 

the  proposal/initiative 

is  expected 

to  have  on 

the 

1.  The  conclusion  of  the  Fisheries  Protocol  between  the  EU  and  Cape  Verde  will  help 
maintain the current level of fishing opportunities for European vessels in Cape Verde waters 
for  the  period  September  2011-August  2014,  particularly  as  regards  the  tuna  fleet.  The 
Protocol  will  help  maintain  continuity  in  the  fishing  zones  covered  by  agreements  in  the 
western Africa region.  

2.  The  Protocol  will  also  contribute  to  better  management  and  conservation  of  fishery 
resources,  through  financial  support  (sectoral  support)  for  the  implementation  of  the  annual 
and multiannual programmes adopted at national level by the partner country.  

1.4.4. 

Indicators of results and impact 

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

The following indicators will be used in the context of ABM (activity-based management) for 
the purposes of monitoring implementation of the Agreement:  

-  monitoring  the  annual  rate  of  utilisation  of  fishing  opportunities  (annual  uptake  of  fishing 
authorisations as a percentage of availability under the Protocol); 

-  gathering  and  analysing  data  on  catches  and  the  commercial  value  of  the  Agreement  (the 
tonnage caught and its annual development in comparison with the reference tonnage set in the 
Protocol); 

10 

p.m.:  In  the  activity  statements  drawn  up  for  the  2010  budget,  this  is  specific  objective  No  2;  Please  refer  to: 
http://www.cc.cec/budg/bud/proc/adopt/_doc/_pdf/2010/apb2010-working-documents-part1-11-mare.pdf 

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In  aggregate  with  other  fisheries  partnership  agreements  concluded  by  the  EU  with  third 
countries, the following indicators may be used as part of a multiannual analysis: 

- contribution to employment and to added value in the EU; 

- contribution to stabilising the EU market; 

Furthermore, within the framework of partnership  dialogue, use of the following monitoring 
indicator is also proposed: 

- number of technical meetings and Joint Committee meetings. 

1.5. 

Grounds for the proposal/initiative 

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

The Protocol to the Fisheries Agreement between the European Community and the Republic 
of Cape Verde for the period 2006-11 expired on 31 August 2011. The new Protocol covers 
the period from 1 September 2011 to 31 August 2014. A procedure for to the adoption by the 
Council  of  a  decision  regarding  the  provisional  implementation  of  the  Protocol  has  been 
launched in parallel with this procedure. 

The new Protocol will provide a framework for the fishing activities of the European fleet and 
will,  in  particular,  allow  shipowners  to  continue  to  obtain  fishing  authorisations  in  the  Cape 
Verde EEZ from 2011. 

In addition, one of the objectives of the new Protocol is to strengthen the cooperation between 
the EU  and Cape  Verde  on  promoting the development of a sustainable fisheries policy and 
the rational exploitation of fishery resources in the Cape Verde fishing zone. The EUR 60 000 
contribution  allocated  to  this  end  under  the  previous  protocol  has  been  used  in  full  and  was 
even insufficient to meet requirements in this area, particularly as regards the monitoring and 
surveillance of fishing activities in the Cape Verde EEZ. In order to meet these requirements 
more  effectively,  the  amount  allocated  under  the  new  protocol  to  assist  the  fishing  sector  is 
greater, at EUR 110 000. 

The main elements of the new Protocol are: 

- 
Fishing opportunities: 28 tuna seiners, 35 surface longliners and 11 pole-and-line vessels 
will be authorised to fish, with an annual reference tonnage of 5 000 tonnes. The allocation of 
these  fishing  opportunities  among  the  Member  States  concerned  is  the  subject  of  a  proposal 
for a specific Council Regulation.  

- 

Annual financial contribution: EUR 435 000 

Advances  and  fees  payable  by  shipowners11:  EUR 35  per  tonne  of  tuna  caught  in  the 
- 
Cape Verde fishing area by seiners and surface longliners and EUR 25 per tonne for pole-and-
line  vessels.  The  annual  advances  are  set  at  EUR 4 375 per  tuna  seiner,  EUR 3 150  per 
longliner and EUR 450 per pole-and-line vessel.  

11 

Advances and fees payable by shipowners have no impact on the Community budget. 

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1.5.2.  Added value of EU involvement 

As  regards  this  new  Protocol,  failure  to  act  by  the  EU  would  allow  private  agreements  to 
spring  up  which  would  not  guarantee  sustainable  fisheries.  The  European  Union  also  hopes 
that,  with  this  Protocol,  Cape  Verde  will  continue  to  cooperate  effectively  with  the  EU  in 
regional bodies such as the International Commission for the Conservation of Atlantic Tunas 
(ICCAT) and the Sub-Regional Fisheries Commission (SRFC). 

The funds available  will also allow Cape  Verde to  continue its strategic planning efforts for 
the implementation of its fisheries policies and to strengthen its capacity for combating IUU 
fishing,  in  particular  by  improving  its  infrastructure  for  monitoring  and  controlling  fishing 
activities in its Exclusive Economic Zone (EEZ). 

The Fisheries Agreement also provides employment for seamen from the European Union and 
Cape Verde. It will also generate economic activity in ports in Cape Verde which are used by 
EU shipowners to trans-ship fish or to carry out repairs on their ships.  

1.5.3.  Lessons learned from similar experiences in the past 

A thorough evaluation was carried out on the Protocol for 2006-11, finalised in October 2010, 
with  the  assistance  of  a  consortium  of  independent  consultants,  with  a  view  to  the  possible 
launch of negotiations on a new Protocol.  

The ex-ante evaluation identified the following points of interest for the EU: 

- 

- 

By meeting the needs of the European fleets, the fisheries agreement with Cape Verde 
could help support the viability of the EU tuna industry in the Atlantic Ocean. 

The  Protocol  is  deemed  to  be  capable  of  contributing  to  the  viability  of  European 
industries by offering European Union vessels and the industries which depend on them 
a stable legal environment and medium-term visibility.  

As regards the interests of Cape Verde in the context of the Protocol, the conclusions of the 
evaluation were: 

– 

– 

The  Fisheries  Agreement  can  help  strengthen  institutional  capacities  in  the  fisheries 
sector by improving research, and monitoring, control and surveillance (MCS) activities, 
as well as training and the viability of the small-scale fishing sector. 

The Fisheries Agreement will also have a major impact on the country’s budgetary and 
political stability. 

In  addition  to  the  direct  commercial  value  of  the  catches  for  the  vessels  involved,  the 
agreement could yield the following manifest benefits: 

- 

- 

- 

guaranteed jobs on board fishing vessels; 

multiplier effect on employment in ports, shipyards, service enterprises, etc.; 

location of these jobs in regions where there are no other employment possibilities; 

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- 

contribution to the supply of fish in the EU. 

The  evaluation  report12  indicates  that  the  contribution  of  the  agreement  to  making  the 
activities of the EU fleet safe has proved to be important for the tuna segment, even if catches 
can only be made for a few months of the year.  

The new Agreement has taken these recommendations into account by confirming the granting 
of  fishing  authorisations  to  the  tuna  category  alone.  Furthermore,  in  comparison  with  the 
previous Protocol, fishing opportunities for the longline segment have been reduced from 48 
to  35,  taking  into  account  the  historical  rates  of  utilisation  for  this  category  in  recent  years. 
Moreover, there has been a slight increase in the number of licences available for seiners as a 
category (from 25 to 28) in order to mitigate the recent migration of some operators from the 
Indian Ocean to the Atlantic Ocean as a result of the phenomenon of piracy. 

The  reference  tonnage  has  been  kept  unchanged  at  5 000 tonnes/year.  Nevertheless,  taking 
account of needs in the fisheries sector in Cape Verde, the budget allocated to sectoral support 
has increased in comparison with the previous Protocol.  

The annual financial contribution has increased by EUR 50 000 (+ 13%) in comparison with 
the previous Protocol (2006-11). 

1.5.4.  Coherence and possible synergy with other relevant financial instruments 

Funds  paid  out  under  fisheries  partnership  agreements  constitute  fungible  revenue  in  the 
budgets  of  the  third-country  partners.  However,  allocating  some  of  those  funds  for 
implementing  measures  as  part  of  the  country’s  sectoral  policy  is  a  condition  for  the 
conclusion  and  monitoring  of  FPAs.  These  financial  resources  are  compatible  with  other 
sources  of  funding  from  other  international  donors  for  carrying  out  projects  and/or 
programmes at national level in the fisheries sector. Other measures possibly co-financed by 
the  EDF  could  also  be  compatible  with  those  identified  within  the  framework  of  the  annual 
and  multi-annual  planning  of  the  country’s  sectoral  policy;  in  these  cases,  the  results  of 
implementation  each  year,  as  referred  to  in  paragraph  2.1  below,  will  be  the  subject  of  an 
overall analysis. 

12 

Ex-post evaluation of the 2006-11 Protocol and ex-ante evaluation of the future Protocol. 

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1.6. 

Duration and financial impact 

X 

Proposal/initiative of limited duration 

X 
Proposal/initiative in force for a period of three years from 1 September 2011, the date 
from which the Protocol applies on a provisional basis pursuant to the Council Decision on the 
signing,  on  behalf  of  the  European  Union,  and  the  provisional  application  of  the  Protocol 
setting  out  the  fishing  opportunities  and  financial  contribution  provided  for  in  the  Fisheries 
Partnership Agreement between the European Community and the Republic of Cape Verde. 

X 

Financial impact from 2011 to 2014 

(cid:133) 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) envisaged13 

X 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 Communities14 

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

[…] 

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14 

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. 

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2. 

MANAGEMENT MEASURES 

2.1.  Monitoring and reporting rules 

Specify frequency and conditions. 

The Commission (DG MARE, in collaboration with its fisheries counsellor in Dakar and the 
European  Union’s  Delegation  to  Cape  Verde)  will  ensure  regular  monitoring  of  the 
implementation of this Protocol, particularly as regards operators’ use of fishing opportunities 
and in terms of catch data.  

Furthermore, the Fisheries Partnership Agreement provides for at least one annual meeting of 
the Joint Committee, at which the Commission and the Member States concerned meet with 
the third country to review the implementation of the Agreement and the Protocol thereto. 

As regards the implementation of sectoral support, the Protocol stipulates that, each year, the 
two  Parties  must  evaluate  the  progress  made  in  implementing  the  multiannual  sectoral 
programme.  The  Protocol  provides  for  a  possible  adjustment  of  the  financial  contribution 
allocated to sectoral support if this evaluation reveals that the financed objectives are not being 
satisfactorily achieved.  

2.2.  Management and control system 

2.2.1.  Risk(s) identified 

There  is  some  risk  in  setting  up  a  fisheries  protocol,  for  example:  the  amounts  intended  to 
finance the sectoral fisheries policy might not be allocated as agreed (under-programming).  

2.2.2.  Control method(s) envisaged 

To  avoid  the  risks  mentioned  in  the  previous  point,  extensive  dialogue  is  planned  on  the 
programming and implementation of the sectoral policy. Joint analysis of progress, as referred 
to in paragraph 2.1, also forms part of these control methods. 

In addition, the Protocol contains specific clauses for its suspension, on certain conditions and 
in given circumstances. 

2.3. 

Measures to prevent fraud and irregularities 

Specify existing or envisaged prevention and protection measures. 

The  use  to  which  the  financial  contribution  paid  by  the  EU  under  the  Agreement  is  put  is 
entirely  at  the  discretion  of  the  sovereign  third  country  concerned.  Nevertheless,  the 
Commission undertakes to try to establish permanent political dialogue and cooperation with a 
view to improving the management of the Agreement and strengthening the EU’s contribution 
to the sustainable management of resources. In any case, any payment which the Commission 
makes under a fisheries agreement is subject to the Commission's standard rules and budgetary 
and  financial  procedures.  This  makes  it  possible,  in  particular,  to  fully  identify  the  bank 
accounts of the third countries into which the financial contribution is paid. For this particular 

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Protocol, Article 2(7) stipulates that the entire financial contribution must be paid into a Public 
Treasury account opened with a financial institution specified by the Cape Verde authorities. 

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3. 

3.1. 

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. 

Heading 
of 
multiann
ual 
financial 
framewor
k 

Budget line: 

Number  
[Description…...] 

11.0301 

2 

International fisheries agreements 

•  New budget lines requested  

(not applicable) 

Type  of
expendit
ure 

Contribution 

DA/NDA
15 

from 
EFTA 
countrie
s16 

from 
candidate 
countries
17 

from 
third 
countrie
s 

the 
of 

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

DA 

NO 

NO 

NO 

NO 

In order of multiannual financial framework headings and budget lines. 

Heading 
of 
multiann
ual 
financial 
framewor
k 

Budget line: 

Number  
[Description…...] 

[XX.YY.YY.YY] 

[…] 

[…] 

Type  of
expendit
ure 

Contribution 

DA/NDA

from 
EFTA 
countrie
s 

from 
candidate 
countries 

from 
third 
countrie
s 

the 
of 

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

[…] 

YES/N
O 

YES/NO 

YES/N
O 

YES/NO 

15 
16 
17 

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

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3.2. 

Estimated impact on expenditure 

3.2.1. 

Summary of estimated impact on expenditure 

Heading of multiannual financial framework:  

2 

Preservation and management of natural resources 

EUR million (to four decimal places) 

DG: MARE 

(cid:121) Operational appropriations 

Number of budget line: 11.0301 

Number of budget line:  

Appropriations 

(cid:121) 
 from the envelope of specific programmes19 
Number of budget line:  

an 

of 

order 

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

to 

Year 
N18 
(2011)  

Year 
N+1 
(2012) 

Year 
N+2 
(2013) 

Year 
N+3 

0.435 

0.435 

0.435 

0.435 

0.435 

0.435 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1a) 

(2a) 

administrative 

nature 

financed

TOTAL 
for DG MARE 

appropriations 

Commitments 

Payments 

(3) 

=1+1a 
+3 

=2+2a 

+3 

0.435 

0.435 

0.435 

0.435 

0.435 

0.435 

TOTAL 

1.305 

1.305 

1.305 

1.305 

18 
19 

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. 

15 

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(cid:121) TOTAL operational appropriations20 

Commitments 

Payments 

(4) 

(5) 

0.435 

0.435 

0.435 

0.435 

0.435 

0.435 

(cid:121)  TOTAL 
appropriations 
an 
 from the envelope of specific programmes 

of 

administrative 

nature 

financed

(6) 

0 

0 

0 

TOTAL 
under HEADING 2 

of the multiannual financial framework 

appropriations 

Commitments 

=4+ 6 

0.435 

0.435 

0.435 

Payments 

=5+ 6 

0.435 

0.435 

0.435 

If more than one heading is affected by the proposal/initiative: (not applicable) 

(cid:121) TOTAL operational appropriations 

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelope of specific programmes 

TOTAL 
under 
of 
the 
(Reference amount) 

HEADINGS 
multiannual 

1 
financial 

appropriations  
to 
4 
framework  

Commitments 

Payments 

(4) 

(5) 

(6) 

=4+ 6 

=5+ 6 

1.305 

1.305 

1.305 

1.305 

20 

EN 

The financial contribution comprises: a) EUR 325 000 per year, equivalent to an annual reference tonnage of 5 000 tonnes, and b) EUR 110 000 per year, corresponding to 
support for  the  development  of  the  sectoral  fisheries  policy  of  the  Republic  of  Cape Verde. Where the  annual  quantity  caught  exceeds  5 000 tonnes,  the  amount  of  the 
annual  financial  contribution  will  be  increased  by  EUR 65  for  each  additional  tonne  caught.  However,  the  total  annual  amount  paid  by  the  EU  may  not  exceed 
EUR 650 000 per year (see Article 2(4) of the Protocol). 

16 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Heading of multiannual financial framework:  

5 

‘Administrative expenditure’ 

EUR million (to three decimal places) 

DG: MARE 

(cid:121) Human resources 

Year 
N (2011) 

Year 
N+1 
(2012) 

Year 
N+2 
(2013) 

Year 
N+321 
(2014)  

0.01843 

0.0572 

0.0572 

0.03877 

(cid:121) Other administrative expenditure22 

0.005 

0.010 

0.010 

0.005 

TOTAL DG MARE 

Appropriations 

order 

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

to 

TOTAL 

0.1716 

0.030 

TOTAL 
under 
of the multiannual financial framework 

HEADING 

appropriations 
5 

(Total  commitments  =  Total 
payments) 

EUR million (to three decimal places) 

0.02343 

0.0672 

0.0672 

0.04377 

0.2016 

Year 
N23 

Year 
N+1 

Year 
N+2 

Year 
N+3 

order 

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

to 

TOTAL 

TOTAL 
under 
HEADINGS 
of the multiannual financial framework 

1 

appropriations  
5 

to 

Commitments 

Payments 

0.45843 

1.107 

1.107 

0.04377 

1.5066 

21 

22 
23 

EN 

Administrative  expenses  are  spread  over  four  budget  years,  given  that  the  protocol  covers  the  period  September  2011-August  2014.  Human  resources  expenditure  is 
calculated on a pro rata basis for 2011 and 2014. 
Estimated costs for on-the-spot monitoring missions. 
Year N is the year in which implementation of the proposal/initiative starts. 

17 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.2.  Estimated impact on operational appropriations 

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

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

Commitment appropriations in EUR million (to four decimal places) 

Year 
N (2011) 

Year 
N+1 (2012) 

Year 
N+2 (2013) 

Year 
N+3 

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

TOTAL 

Indicate 

OUTPUTS 

objectives 
outputs 

and 

(cid:216) 

Type 
of 
output
24 

Averag
e  cost 
of 
the 
output 

Numbe
r 
of 
outputs 

Total 
cost 

N
u
m
be
r 
of 
ou
tp
ut
s 

Total cost 

Numbe
r 
of 
outputs 

Total 
cost 

Number 
of outputs 

Total 
cost 

Num
ber 
of 
outp
uts 

Total 
cost 

Nu
mb
er 
of 
out
put
s 

Total 
cost 

Num
ber 
of 
outp
uts 

Total 
cost 

Numbe
of 
r 
outputs
Total 
Numbe
r 
of 
outputs 

Total cost 

SPECIFIC OBJECTIVE NO 125 

Tuna catches 

Ref 
tonna
ge 

65 €/t  

5 000 t  

0.325 

5 000 t  

0.325 

5 000 t  

0.325 

Sectoral support 

0.110 

1 

0.110 

1 

0.110 

1 

0.110 

15 000 
t 

0.975 

0.330 

24 
25 

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)’ 

EN 

18 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Sub-total for specific objective No 1 

0.435 

0.435 

0.435 

SPECIFIC OBJECTIVE NO 2 ... 

Output 

Sub-total for specific objective No 2 

TOTAL COST 

0.435 

0.435 

0.435 

1.305 

1.305 

EN 

19 

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 

–  X  The  proposal/initiative  requires  the  use  of  administrative  appropriations,  as  explained 

below: 

EUR million (to three decimal places) 

Year 
N26 (2011)  

Year 
N+1 (2012) 

Year 
N+2 (2013) 

Year 
N+3 

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

TOTAL 

HEADING 
of 
the 
financial framework 

5 
multiannual 

Human resources 

0.01843 

0.0572 

0.0572 

0.03877 

0.005 

0.010 

0.010 

0.005 

0.02343 

0.0672 

0.0672 

0.04377 

Other 
expenditure 

administrative 

Subtotal  HEADING 
of 
the 
financial framework 

5 
multiannual 

Outside  HEADING  5  of 
the  multiannual  financial 
framework27 

Human resources 

0.005 

0.016 

0.016 

0.011 

Other  expenditure  of  an 
administrative nature 

Subtotal  
outside  HEADING 
of 
the 
financial framework 

5 
multiannual 

0.0015 

0.005 

0.005 

0.0035 

0.0065 

0.021 

0.021 

0.0145 

0.1716 

0.030 

0.2016 

0.048 

0.015 

0.063 

TOTAL 

0.02993 

0.0882 

0.0882 

0.05827 

0.2646 

26 
27 

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 

20 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.  Estimated requirements of human resources 

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

–  X  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 
(2011) 

Year 
N+1 
(2012) 

Year 
N+2 
(2013) 

Year 
N+3 
(2014) 

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 
Representation 
Commission’s 
Offices) 

XX 01 01 02 (Delegations) 

0.13 

0.4 

0.4 

0.27 

XX 01 05 01 (Indirect research) 

0 

0 

10 01 05 01 (Direct research) 
(cid:121) External personnel (in full-time equivalent - FTE)28 

0 

0 

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

0 

0 

0 

0 

0 

0 

0 

0 

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

0.03 

0.1 

0.1 

0.07 

XX  01  04 
yy29 

at 
Headquarter
s30 

- 
delegations 

in 

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

10 01 05 02 (CA, INT, SNE - Direct 
research) 

28 

29 
30 

CA=  Contract  Agent;  INT=  agency  staff  (‘Intérimaire’);  JED=  ‘Jeune  Expert  en  Délégation’  (Young  Experts  in 
Delegations); LA= Local Agent; SNE= Seconded National Expert. 
Sub-ceiling for external staff under operational appropriations (former ‘BA’ lines). 
For Structural Funds, European Agricultural Fund for Rural Development (EAFRD) and European Fisheries Fund 
(EFF). 

EN 

21 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(CA, 

11010404 
monitoring 
sectoral support) 

responsible 
implementation 

for 
of 

0.08 

0.25 

0.25 

0.17 

TOTAL 

0.24 

0.75 

0.75 

0.51 

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. 

EN 

22 

   EN 

 
 
 
 
 
 
 
Human resources estimate: 

Officials and temporary agents  1  desk  officer  from  DG  MARE  +  HoU/deputy  HoU  +  secretariat: 

overall estimate of 0.4 people/year 

External personnel 

Non-Heading 5 staff  

Calculation  of  costs:  0.4  people/year  x  EUR 127 000/year  = 
EUR 50 800 

1  CA  at  a  delegation  (Cape  Verde),  with  responsibility  for  monitoring 
the  Cape  Verde 
fishing  authorisations  submitted 
authorities: overall estimate of 0.1 people/year 

to/issued  by 

Calculation of costs: 0.1 people/year x EUR 64 000/year = EUR 6 400  

1  CA  fisheries  attaché  assigned  to  the  Senegal  Delegation  responsible 
for monitoring implementation of the sectoral support estimated overall 
at 0.25 people/year 

Calculation  of  costs:  0.25  people/year  x  EUR 64 000/year  = 
EUR 16 000 

Calculation of total human resources per year: EUR 50 800 + EUR 6 400 + EUR 16 000 = EUR 73 200 
=> EUR 0.0732 million 

Description of tasks to be carried out: 

- 

Assisting  the  negotiator  with  preparing  and  concluding  the  negotiation  of  fisheries 
agreements: 

- 

- 

- 

- 

taking part in negotiations with third countries to conclude fisheries agreements; 

preparing  draft  evaluation  reports  and  negotiation  strategy  notes  for  the 
Commissioner; 

presenting  and  defending  the  Commission’s  position  in  the  Council’s  ‘External 
Fisheries’ Working Party; 

taking part in the search for a compromise with the Member States to be included 
in the final text of the Agreement. 

- 

Monitoring the implementation of agreements: 

- 

- 

- 

- 

daily monitoring of fisheries agreements; 

preparing and checking the commitment and payment of the financial contribution 
and of any specific supplementary contributions; 

regular reporting on the implementation of agreements; 

evaluating agreements: scientific and technical aspects; 

EN 

23 

   EN 

 
- 

- 

preparing  the  draft  proposal  for  a  Council  Regulation  and  Decision  and  drafting 
the text of the Agreement; 

launching and monitoring adoption procedures. 

- 

Technical assistance: 

- 

preparing the Commission’s position for the Joint Committee. 

- 

Interinstitutional relations: 

- 

- 

representing the Commission before the Council, the European Parliament and the 
Member States in the negotiation process; 

drafting replies to oral and written questions from the European Parliament. 

- 

Interdepartmental consultation and coordination: 

- 

- 

liaising with other Directorates-General on matters relating to the negotiation and 
monitoring of agreements; 

organising and responding to interdepartmental consultations. 

- 

Evaluation: 

- 

- 

taking part in updating the impact assessment; 

analysing the objectives achieved and evaluation indicators. 

EN 

24 

   EN 

 
3.2.4.  Compatibility with the current multiannual financial framework 

–  x  Proposal/initiatives compatible with 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 framework31. 

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

[…] 

3.2.5.  Third-party contributions 

–  X 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 three decimal places) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

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

show 

Total 

the 

Specify 
co-financing 
body/source 

TOTAL 
appropriations 
co-financed 

31 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

25 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.3. 

Estimated impact on revenue 

–  X  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 

EUR million (to three decimal places) 

Impact of the proposal/initiative32 

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) 

Appropriat
ions 
available 
for 
ongoing 
budget 
exercise 

the 

Budget 
line: 

revenue 

Article …. 

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

[…] 

Specify the method for calculating the impact on revenue. 

[…] 

32 

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 

26 

   EN