DRAFT AMENDING BUDGET N° 6TO THE GENERAL BUDGET 2011 GENERAL STATEMENT OF REVENUESTATEMENT OF EXPENDITURE BY SECTIONSection III - Commission
Date: 2011-10-18
Institutions: European Commission
Subjects: European Commission, amending budget, budgetary expenditure, draft budget (EU)

EUROPEAN COMMISSION 

Brussels, 18.10.2011 
COM(2011) 674 final 

DRAFT AMENDING BUDGET N° 6 
TO THE GENERAL BUDGET 2011 

GENERAL STATEMENT OF REVENUE 

STATEMENT OF EXPENDITURE BY SECTION 
Section III - Commission 

 
 
 
 
  
 
 
 
DRAFT AMENDING BUDGET N° 6 
TO THE GENERAL BUDGET 2011 

GENERAL STATEMENT OF REVENUE 

STATEMENT OF EXPENDITURE BY SECTION 
Section III – Commission 

Having regard to: 

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– 

– 

– 

– 

– 

– 

– 

the Treaty on the Functioning of the European Union, and in particular Article 314 
thereof,  in  conjunction  with  the  Treaty  establishing  the  European  Atomic  Energy 
Community, and in particular Article 106a thereof, 

the  Council  Regulation  (EC,  Euratom)  No  1605/2002  of  25  June  2002  on  the 
Financial Regulation applicable to the general budget of the European Communities1, 
and in particular Article 37 thereof, 

the  general  budget  of  the  European  Union  for  the  financial  year  2011  adopted  on 
15 December 20102, 

the amending budget No 1/20113 adopted on 6 April 2011, 

the amending budget No 2/20114, adopted on 5 July 2011, 

the amending budget No 3/2011, adopted on 5 July 2011, 

the amending budget No 4/2011, adopted on 28 September 2011, 

the draft amending budget No 5/20115, adopted on 22 June 2011, 

The  European  Commission  hereby  presents  to  the  budgetary  authority  the  Draft  Amending 
Budget No 6 to the 2011 budget. 

CHANGES  TO  THE  STATEMENT  OF  REVENUE  AND  EXPENDITURE  BY 
SECTION 

The  changes  to  the  statement  of  revenue  and  expenditure  by  section  are  available  on  EUR-
Lex (http://eur-lex.europa.eu/budget/www/index-en.htm). An English version of the changes 
to this statement is attached for information as a budgetary annex. 

1 
2 
3 
4 
5 

OJ L 248, 16.9.2002, p. 1. 
OJ L 68, 15.3.2011, p. 1. 
OJ L 172, 30.6.2011, p. 1. 
OJ L 213, 19.5.2011, p. 1. 
COM (2011) 374 final. 

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TABLE OF CONTENTS 

1. 

INTRODUCTION ....................................................................................................................................................... 3 

2.  REVENUE ................................................................................................................................................................... 3 
REVISION OF OWN RESOURCES ............................................................................................................................ 3 
OTHER REVENUE .................................................................................................................................................. 4 
INTEGRATED MARITIME POLICY ..................................................................................................................... 4 

2.1 
2.2 

3. 

4.  GREECE: ESF - ADMINISTRATIVE REFORM OPERATIONAL PROGRAMME........................................ 5 

5. 

6. 

7. 

PALESTINE ................................................................................................................................................................ 5 

PAYMENT APPROPRIATIONS .............................................................................................................................. 8 

SUMMARY TABLE BY HEADING OF THE FINANCIAL FRAMEWORK................................................... 11 

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1. 

INTRODUCTION  

Draft Amending Budget (DAB) No 6 for the year 2011 covers the following: 

⎯  the usual update in the forecast of revenue after the revision of the forecasts of own resources and 

other revenue; 

⎯  the creation of a new budget line: 11 09 05 — Programme to support the further development of 
an  Integrated  Maritime  Policy  (IMP),  with  commitment  appropriations  of  EUR 23,14 million 
entered  in  reserve,  pending  adoption  of  the  legal  base.  These  commitment  appropriations  are 
reallocated from other lines withing Heading 2; 

⎯  the  reallocation  of  EUR 60 million  in  commitment  appropriations  within  Heading  4  EU  as  a 
Global Player, in favour of budget item 19 08 01 02 — European Neighbourhood and Partnership 
financial  assistance  to  Palestine,  the  peace  process  and  UNRWA  (United  Nations  Relief  and 
Works  Agency  for  Palestine  Refugees  in  the  Near  East).  This  amount  is  proposed  as  a  front-
loading of appropriations to cover expenditure in the year 2012; 

⎯  a  reinforcement  of  budget  article  04 02 20  European  Social  Fund  -  Operational  technical 
assistance  by  EUR 3,25 million  to  provide  specific  expertise  in  support  of  the  Administrative 
Reform  Operational  Programme  in  the  field  of  tax  administration  in  Greece.  Payment 
appropriations of EUR 300 000 are also requested. 

⎯  an  increase  of  payment  appropriations  of  EUR 550 million  to  meet  outstanding  needs  which 
remain  after  the  "Global  Transfer".  EUR 142 million  of  this  amount  will  be  used  to  increase 
payments  in  Heading  1a  Competitiveness  for  Growth  and  Employment,  and  the  remaining 
EUR 408 million will be reallocated to Heading 1b Cohesion for Growth and Employment; 

⎯  a  token  ("p.m.")  decrease  of  payment  appropriations  in  05 04 05 01  —  Rural  development 
programmes to take into account the possible difference between the payment forecasts from the 
Member  States,  as  updated  in  September  2011,  and  the  declaration  of  payments  that  will  be 
submitted  in  November  2011.  This  is  entered  tentatively  and,  once  declarations  from  Member 
States are received, may be revised to meet part of the needs in Heading 1b Cohesion for Growth 
and Employment. 

To summarise, the net effect of this DAB No 6/2011 is an increase in commitment appropriations by 
EUR 3,25 million  and  an  increase  in  payment  appropriations  by  EUR 550,3 million  in  Headings  1a 
and 1b. However, due to the VAT and GNI balances of previous years to be cashed in according to 
Regulation  (EC,  EURATOM)  No1150/2000  and  to  the  increase  in  other  revenue,  namely 
EUR 435 million  in  fines,  total  revenue  increases  EUR 1 276,9 million  leading  to  a  decrease  in  the 
budgeted Member States' GNI-based contributions for 2011 of EUR 726,6 million.  

2. 

REVENUE 

2.1 

Revision of Own Resources 

In accordance with Article 16 of Council Regulation (EC, Euratom) No 1150/2000 of 22 May 20006, 
the Commission has revised the forecasts for own resources. This refers in particular to VAT (value 
added tax) and GNI (gross national income) balances and to traditional own resources. 

6 

OJ L 130, 31.5.2000, p. 1.  

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As far as the VAT and GNI own resources balances of previous years are concerned, and on the basis 
of  the  available  information,  the  Commission  proposes  to  enter  an  amount  of  EUR 1 814,9 million. 
This increase relates to chapters 317 and 328 of the revenue side of the budget. 

At this stage the calculations for Member States' balances are still provisional because of the on-going 
verification of VAT and GNI data. This may lead the Commission to revise the figures in the course 
of the procedure for this DAB.  

The Commission also proposes to decrease Traditional Own Resources (TOR) by EUR 1 200 million 
in chapter 129 of revenue. If new data for the last quarter of the year implies significant changes to this 
estimation, the Commission will revise its figures in the course of the budgetary procedure. 

2.2 

Other Revenue 

Taking into account the amounts that at this stage of the year are cashed or will probably be cashed, it 
is proposed to increase the initial forecasts by a net amount of EUR 662 million. The detail by line is 
shown in the table below. 

Revenue lines 

Budget 2011 

DAB 6/2011 

New amount 

6 6 0 1  —  Other non-assigned contributions and refunds 

30 000 000

52 000 000 

82 000 000

7 0 0 0  —  Interest due on late payments into the accounts 
held with the treasuries of the Member States 

5 000 000 

170 000 000  

175 000 000

7 0 1  —  Interest on late payments and other interest on fines 

15 000 000 

5 000 000 

20 000 000 

7 1 0  —  Fines, periodic penalty payments and other penalties 

100 000 000 

435 000 000 

535 000 000 

Total

150 000 000

662 000 000 

812 000 000

3. 

INTEGRATED MARITIME POLICY 

The Integrated Maritime Policy was first established in December 2007 following the endorsement by 
the European Council of a Commission Communication proposing a dedicated policy for the oceans, 
seas and coasts. For the first three years it was financed via pilot projects and preparatory actions. In 
September  2010,  the  Commission  tabled  a  proposal  for  a  Regulation  so  as  to  continue  funding  the 
policy  until  the  end  of  the  current  financial  framework.    The  proposed  financing  will  enable  the 
Commission,  together  with  Member  States  and  stakeholders,  to  continue  exploratory  work  that  has 
already  been  initiated  through  pilot  projects  and  preparatory  actions,  and  to  further  develop  and 
concretise options for implementation of the Integrated Maritime Policy along the lines set out in the 
Progress  Report  of  15  October  2009  adopted  by  the  Commission,  endorsed  by  the  Council  on  16 
November 2009.  

The total amount initially proposed by the Commission was EUR 50 million, spread over three years 
(2011-2013),  to  be  sourced  from  the  margin  of  Heading  2.    Following  discussions  between  the 
European  Parliament  and  the  Council,  a  political  consensus  has  emerged,  on  an  envelope  of 
EUR 40 million  for  the  programme,  and  agreement  has  been  reached  on  this  at  a  trilogue  on  4 
October. 

The  agreement  foresees  that  this  envelope  is to  be  composed  of  EUR 23,14 million  drawn  from  the 
2011 budget without calling on the available margin of Heading 2, an amount of EUR 16,66 million 

7 

8 

9 

Balances and adjustment of balances based on VAT for the previous financial years resulting from application of 
article 10(4), (5) and (8) of Regulation (EC, EURATOM) No 1150/2000. 
Balances and adjustment of balances based on gross national income/product for the previous financial years as a 
result of the application of article 10(6) to (8) of Regulation (EC, EURATOM) No 1150/2000. 
Customs duties and other duties referred to in article 2(1)(a) of Decision 2007/436/EC. 

4 

 
 
  
 
                                                 
entered  in  the  Draft  Budget  and  accepted  by  Council  during  its  reading  of  the  2012  budget,  and  a 
further amount of EUR 200 000 for technical assistance to be entered in the 2013 budget. Therefore, 
this amending budget proposes to redeploy EUR 23,14 million of unused appropriations from 2011 to 
be  made  available  from  the  area  of  Chapter  17 04  —  Food  and  feed  safety,  animal  health,  animal 
welfare and plant health.   

In this amending budget, the Commission also proposes the creation of a new budget line: 11 09 05 
Programme  to  support  the  further  development  of  an  Integrated  Maritime  Policy  (IMP),  with 
EUR 23,14 million  entered  in  reserve,  pending  adoption  of  the  legal  base.  At  the  same  time,  the 
commitment appropriations available on the following budget items under Heading 2 will be reduced 
accordingly: 

Budget Item 

Amount 
(million EUR) 

Explanation 

17 04 01 01  Animal  disease  eradication  and 
monitoring  programmes  and  monitoring  of 
the physical conditions of animals that could 
pose  a  public  health  risk  linked  to  an 
external factor — New measures 

17 04 02 01  Other  measures 
the 
veterinary, animal welfare and public health 
field — New measures 

in 

-19,81  Lower than expected costs for bluetongue vaccination 
as  a  result  of  the  considerable  decline  in  the  disease 
due to the successful vaccination campaigns and also 
due  to  the  shift  of  some  MS  to  voluntary,  farmer 
financed programmes. Also, a decrease in the number 
of  Bovine  Spongiform  Encephalopathy  (BSE)  cases. 
Therefore,  unused  appropriation  can  be  made 
available.  

-3,33  The  funds  allocated  for  purchase  of  emergency 
vaccines in animal health will not be fully committed 
in  2011  as  there  were  no  new  major  outbreaks  of 
animal  disease.  Therefore,  unused  appropriation  can 
be made available.  

Total 

23,14 

4. 

GREECE: ESF - ADMINISTRATIVE REFORM OPERATIONAL PROGRAMME 

Administrative  reform  in  Greece  is  of  key  importance  to  support  the  successful  implementation  of 
Cohesion  policy  through  the  Structural  Funds.  The  Administrative  Reform  Operational  Programme 
(CCI : 2007GR05UPO003), part of the European Social Fund (ESF), aims to introduce reforms in the 
public  administration  that  would  improve  specific  significant  operations  of  the  Greek  state  and 
improve  the  functioning  of  public  management  and  the  efficiency  of  the  civil  service,  with  positive 
effects on the delivery of Cohesion policy, too. There are particularly urgent needs to address in the 
field of tax administration because of its importance for public finances. 

The Commission proposes to use technical assistance to mobilise specific expertise in the field of tax 
administration in Greece through a dedicated contract with the International Monetary Fund and draw 
on the specific expertise of the IMF and EU member States for that purpose. The activities proposed 
are  eligible  for  ESF  Technical  Assistance  as  they  directly  support  the  implementation  of  an  ESF 
Operational Programme in the Member State and the action can best be undertaken urgently through 
this  measure.  The  contract  will  still  be  signed  in  2011  justifying  the  need  for  the  commitment 
appropriations  (EUR 3,25 million).  Requested  payment  appropriations  (EUR 300 000)  will  cover 
initial contractual requirements. 

5. 

PALESTINE 

Analysis of the needs for commitment appropriations until the end of the year has shown available for 
EUR 60,4 million  in  Heading  4  EU  as  a  Global  Player.  It  is  proposed  to  reallocate  this  amount  in 
favour  of  budget  item  19 08 01 02  European  Neighbourhood  and  Partnership  financial  assistance  to 

5 

 
 
  
 
 
 
Palestine,  the  peace  process  and  UNRWA  (United  Nations  Relief  and  Works  Agency  for  Palestine 
Refugees in the Near East). 

The source of the EUR 60,4 million in commitments is as follows: 

–  EUR 51,4 million corresponding to the cancelled Macro Financial Assistance (MFA) operation in 
Kosovo. A key precondition for proposing the MFA operation was the respect of the provisions in 
Kosovo's 18-month Stand-By Arrangement (SBA) with the International Monetary Fund, approved 
by  the  IMF  Executive  Board  on  July  21,  2010.  The  programme  supported  by  the  SBA  was  built 
around  (i)  restraint  on  current  spending,  (ii)  higher  revenues  and  privatization  receipts,  and  (iii) 
bolstering the government’s deposits with the central bank to build buffers for fiscal and financial 
contingencies. The 2011 budget adopted by the newly constituted assembly in spring 2011 deviated 
from the budget agreed in the context of the SBA, notably by including large public sector wage 
increases. As a result, the key precondition for the Macro Financial Assistance operation was thus 
not met. 

–  EUR 6,3 million can be made available following the unilateral cancellation of on-going calls for 
proposals  by  the  USA  and  Canada  leading  to  a  surplus  under  budget  line  15 02 03  Cooperation 
with third countries on education and vocational training. 

–  A  number  of  smaller  amounts  of  excess  credits  stemming  from  various  other  budget  lines  and 
caused,  for  instance,  by  EUR-USD  exchange  rate  fluctuations,  which  had  an  impact  on  the  EU 
contribution to international organisations and multilateral agreements; or by unforeseen delays in 
the approval of international commodity agreements. 

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The full list of movements proposed is shown below: 

Budget Line 

01 03 02 — Macroeconomic assistance 

05 06 01  — International agricultural agreements 

07 11 01  — Contribution to multilateral and international climate agreements 

14 03 03  — Membership of international organisations in the field of customs and tax 

15 02 03  — Cooperation with third countries on education and vocational training 

21 07 03  — Agreement with the Food and Agriculture Organisation (FAO) and other United 
Nations bodies 

21 07 04  — Commodities agreements 

19 08 01 02  — European Neighbourhood and Partnership financial assistance to Palestine, the 
peace process and UNRWA  

Commitments 

(EUR) 

-51 400 000 

-75 977 

-174 118 

-129 471 

-6 326 400 

-305 000 

-2 027 164 

+60 438 130 

The  Commission  proposes  to  re-allocate  these  amounts  to  address  the  most  immediate  needs  of  the 
Palestinian Authority and UNRWA. While the additional funds will still be committed under the 2011 
budget,  they  are  intended  to  contribute  to  the  EU  assistance  foreseen  for  2012  and  will  be  closely 
aligned  with  the  Action  Plans  for  2012.  By  frontloading  a  sizeable  share  of  the  2012  aid,  the 
Commission aims at bringing the  level of appropriations available in practice in 2012 under budget 
item 19 08 01 02 close to that originally available in 2011 (EUR 300 million). Furthermore, an early 
and timely reinforcement of funding could act as an incentive to other donors to make available at an 
earlier stage their pledged contributions. 

Of  the  EUR 60,4 million  proposed  for  reallocation,  EUR 45 million  should  go  to  the  PEGASE 
Mechanism, in order to sustain the Palestinian administration and services, especially in the education,  
health  and  social  sectors.  In  2011,  the  overall  revenue  of  the  Palestinian  Authority  has  proven 
insufficient, partly due to a shortfall of international aid, thus jeopardising both state stability and the 
livelihoods of thousands of people. The request for frontloading the 2012 contribution is also framed 
by political efforts at high level to motivate other donors and to unblock the access of the Palestinian 
Authority  to  other  legitimate  sources  of  revenue  such  as  customs  clearance  by  promoting  a  policy 
(especially  vis-à-vis  Israel)  of  easing  the  closure  in  Gaza  and  restrictions  (material  into  Gaza,  West 
Bank trade and the like).  

The remaining EUR 15,4 million is proposed for UNRWA. UNRWA’s budget is faced with multiple 
challenges  (demographic  growth,  inflation,  rising  food  and  energy  costs,  rising  staff  costs  as  host 
countries  are  raising  public  sector  salaries,  and  decreasing  donor  contribution  due  to  the  financial 
crisis). UNRWA anticipates a shortfall in its funds and may not be able to meet its obligations for the 
first quarter of 2012. This means that the Agency would not have the necessary funds to cover even its 
most  basic  services  (schooling,  health)  in  late  2011  and  early  2012.  A  frontloaded  donation  of 
EUR 15,4 million, together with appropriations requested in the 2012 Draft Budget, will help to cover 
the shortfall of UNRWA's funds and to sustain the continuity of delivery of essential public services 
to  the  Palestinian  refugees  and  will  also  be  a  political  lever  in  the  Agency's  intensified  resource 
mobilisation efforts towards other donors, especially Arab countries.  

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6. 

PAYMENT APPROPRIATIONS 

In September, all services of the Commission were asked to update their forecasts of needs until the 
end of 2011, and submit their requests to adjust payment appropriations. The revised elements form 
the basis of the so-called Global Transfer (DEC 34/2011). 

In  preparing  the  Global  Transfer  for  2011,  the  Commission  sought  to  match  increased  needs  for 
payment  appropriations  on  some  budget  lines,  with  amounts  on  other  lines  which  would  otherwise 
remain unused, with a view to achieving full implementation. 

The  proposal  concerns  an  amount  of  EUR  719,2  million,  corresponding  to  some  0,6  %  of  the  total 
authorised  payments  in  the  2011  budget.  In  total,  103  budget  lines  are  concerned  (57  for 
reinforcement  and  46  for  reductions),  compared  to  95  (51  for  reinforcement  and  44  for  reductions) 
budget lines included in the Global Transfer presented at the end of 2010. 

Nevertheless it has not been possible to meet all the requests for increased payments. The total amount 
outstanding is EUR 1 142 million across four budget lines, as follows: 

Budget Line 

04 02 17 — European Social Fund (ESF) – Convergence 

04 02 19 — European Social Fund (ESF) – Regional Competitiveness 

08 04 01 — Cooperation – Nanosciences, nanotechnolgies, , materials and new production 
technologies 

09 04 01 01 — Support for research cooperation in the area of information and communication 
technologies (ICTs – Cooperation) 

Payments 

(million EUR) 

700 

300 

82 

60 

Total 

1 142 

At this point in time, an increase of EUR 550 million in payment appropriations is proposed to meet 
part of these additional needs. The Commission intends to exploit all budgetary means until the end of 
the year to cover the outstanding needs through transfers within the authorised budget to minimise the 
possible request for new appropriations. 

Given  the  differences  between  forecasts  and  final  declarations  made  by  Member  States  observed  in 
the past, the outstanding balance of EUR 592 million could be met through internal re-allocations. It is 
proposed to already enter a token amount ("p.m.") in this amending budget on budget line 05 04 05 01 
Rural development programmes. The final requests from the Member States for payments under this 
line will only be known on 10 November,  and  the  Commission will, on this basis confirm the final 
amount of payments to be redeployed in favour of the remaining needs for the European Social Fund 
(ESF) and ensure the best match between availabilities and needs.  

The  sections  below  provide  justifications  for  the  proposed  amendments  to  the  level  of  payment 
appropriations for the lines in question. 

Increase: 04 02 17 European Social Fund – Convergence objective (+ EUR 204 million) 

The  higher  than  expected  payment  needs  are  due  principally  to  the  fact  that  certain  payments 
originally  foreseen  in  2010  were  made  in  2011.  These  concerned  mainly  a  series  of  operational 
programmes  in  Spain  and  Poland  for  which  payments  were  interrupted  in  2010  as  a  result  of 
irregularities  identified  by  auditors  in  the  management  and  control  systems.  The  implementation  of 
action plans at the level of the regions involved has allowed the interruption to be lifted in 2011, with 
the  subsequent  reimbursement  of  significant  amounts  of  expenditure.  At  the  end  of  September, 

8 

 
 
  
 
implementation  exceeded  87 %  of  available  appropriations  and  additional  payments  are  required  to 
cover needs before the year end. 

Increase: 04 02 19 European Social Fund - Regional Competitiveness and employment objective 
(+ EUR 204 million) 

The  estimate  of  payment  needs  on  this  line  has  been  revised  upwards  following  the  Commission's 
latest  analysis  of  implementation  concerning  the  European  Social  Fund.  The  analysis,  based  on  the 
information  provided  individually  by  Member  States,  indicates  that  operational  programmes  are 
progressing  at  a  rapid  pace  and  that  payment  claims  expected  to  be  received  from  Member  States 
before  the  year  end  substantially  exceed  the  available  appropriations.  At  the  end  of  September, 
implementation already stood at almost 86 % of available appropriations. At the same time last year, 
implementation stood at only 35 % of the year-end outturn. 

Increase: 08 04 01 Cooperation - Nanosciences, nanotechnologies, materials and new production 
technologies (+ EUR 82 million) 

Several factors justify the request for increased payment appropriations: 

1) During 2011, management has identified new priorities relating to the finalisation of contracts from 
the following calls for proposals 2011: EU-JAPAN, EU-Russia and PPP (Public Private Partnership). 
It should be noted that the contract calls for proposals from the EU-Japan and EU-Russia must start in 
2011  to  ensure  parallelism  with  projects  funded  by  these  two  countries.  Regarding  the  call  for 
proposals 2011-PPP, it is part of the economic stimulus package. It is therefore important that these 
contracts could begin still in 2011. That requires the payment of corresponding additional advances of 
about EUR 35 million. 

2)  The  simplification  of  procedures  and  quality  of  applications  for  interim  payments  led  to  a  very 
large acceleration in the consumption of payments, bringing the level of payment claims for the 7th 
Framework Programme (FP7) at full cruising speed during the last quarter of 2010. Because of a lack 
of  payment  appropriations  at  the  end  of  2010,  some  advance  and  interim  payments  were  postponed 
until  2011  for  a  total  of  some  EUR 80 million.  This  situation  has  continued  during  the  year  2011, 
resulting in further needs of approximately EUR 25 million. 

The  overall  result  is  that  the  budget  line  needs  to  be  reinforced  by  EUR 138.3 million  in  payment 
appropriations. An increase of EUR 56.3 million is presented in the Global Transfer. The remaining 
balance, requested in the DAB 6/2011, is EUR 82 million. 

Increase:  09 04 01 01  Support  for  research  cooperation  in  the  area  of  information  and 
communication technologies (ICTs - Cooperation) (+ EUR 60 million) 

The current progress in negotiations for FP7 ICT Cooperation projects will require more pre-financing 
payments than originally expected for projects scheduled to start between September and December 
2011. In particular, it is expected to process 173 pre-financing payments related to Call 7 projects, and 
289 cost claims related to projects selected in previous calls before the year-end. Following the current 
progress in Call 7 negotiations, the appropriations necessary to carry out these transactions are higher 
than  the  amount  currently  available  in  the  budget.  The  increase  presented  in  the  framework  of  the 
Global Transfer is EUR 46 million, leaving an outstanding balance, requested in the DAB 6/2011, of 
EUR 60 million. 

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Decrease: 05 04 05 01 Rural development programmes (p.m.) 

The final payments to be made on the 2011 budget under the Rural Development programmes relate 
to Member States' 3rd quarter expenditure declarations that are to be transmitted to the Commission 
by  10  November.  Revised  forecasts  requested  by  the  Commission  from  the  Member  States,  and 
received  at  the  beginning  of  September,  indicate  that  payment  appropriations  available  for  Rural 
Development Programmes 2007-2013 should be fully utilised. However, it differences between these 
revised September forecasts and the amounts due to be reimbursed with regard to the final 3rd quarter 
expenditure declarations may still be possible. Indeed, over the past three years, forecasts have tended 
to exceed the declarations by a significant amount. Although current indications from Member States 
point to full use of available payment appropriations, the Commission, based on previous experience, 
assumes that it may be possible to reduce payment appropriations on the line. The Commission will be 
able  to  finalise  the  amount  after  Member  States  transmit  their  expenditure  declarations  by  10 
November. 

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7. 

SUMMARY TABLE BY HEADING OF THE FINANCIAL FRAMEWORK 

Financial framework 
Heading/subheading 

2011 Financial framework 

CA 

PA 

Budget 2011 
(incl. AB 1-4 and DAB 5) 
CA 

PA 

DAB 6/2011 

Budget 2011 
(incl. AB 1-4 and DAB 5-6/2011) 

CA 

PA 

CA 

PA 

1. SUSTAINABLE GROWTH 
1a. Competitiveness for growth and 
employment 
1b. Cohesion for growth and employment 

Total 
Margin10 

2. PRESERVATION AND 
MANAGEMENT OF NATURAL 
RESOURCES 
Of which market related expenditure and 
direct payments 

3. CITIZENSHIP, FREEDOM, 
SECURITY AND JUSTICE 
3a. Freedom, Security and Justice 
3b. Citizenship 

Total 
Margin 

Total 
Margin11   

4. EU AS A GLOBAL PLAYER12 

5. ADMINISTRATION13 

Margin 

Margin 
TOTAL 

Margin   

12 987 000 000

50 987 000 000
63 974 000 000

47 617 000 000

59 688 000 000

1 206 000 000
683 000 000
1 889 000 000

8 430 000 000

8 144 000 000

142 125 000 000

133 440 000 000

13 520 566 270

11 381 944 758

142 000 000

13 520 566 270

11 523 944 758 

50 980 593 784
64 501 160 054

-27 160 054  

41 652 094 626
53 034 039 384 

3 250 000
3 250 000

408 300 000
550 300 000

50 983 843 784
64 504 410 054

42 060 394 626 
53 584 339 384 

-30 410 054  

42 891 201 900

42 788 499 841

-23 140 000

42 868 061 900

42 788 499 841 

58 659 248 389
1 028 751 611  

56 378 918 184

58 659 248 389
1 028 751 611  

56 378 918 184 

1 180 030 263
879 831 486
2 059 861 749

26 072 737  

8 759 300 431
-70 439 377
8 172 839 289
53 160 711
142.152.409.912
1 115 385 628

857 199 845
842 903 486
1 700 103 331 

7 242 528 574 

8 171 544 289

126.527.133.762
7 094 866 238

1 180 030 263
879 831 486
2 059 861 749

26 072 737  

8 759 300 431
-70 439 377
8 172 839 289
53 160 711
142 155 659 912
1 112 135 628

857 199 845 
842 903 486 
1 700 103 331  

7 242 528 574 

8 171 544 289 

127 077 433 762 
6 544 566 238 

3 250 000

550 300 000

10 

11 
12 

13 

The European Globalisation adjustment Fund (EGF) is not included in the calculation of the margin under Heading 1a (EUR 500 million). EUR 34 million above the ceiling is financed 
by the mobilisation of the Flexibility Instrument. 
The European Union Solidarity Fund (EUSF) amount is entered over and above the relevant headings as foreseen by the IIA of 17 May 2006 (OJ C 139 of 14.6.2006) 
The 2011 margin for heading 4 does not take into account the appropriations related to the Emergency Aid Reserve (EUR 253,9 million). EUR 71 million above the ceiling is financed 
by the mobilisation of the Flexibility Instrument. 
For calculating the margin under the ceiling for heading 5, account is taken of the footnote (1) of the financial framework 2007-2013 for an amount of EUR 82 million for the staff 
contributions to the pension scheme. 

11