Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on online dispute resolution for consumer disputes (Regulation on consumer ODR)
Date: 2011-11-29
Institutions: European Commission
Subjects: arbitration, consumer protection, electronic commerce, producer's liability, regulation of transactions, single market

EUROPEAN COMMISSION 

Brussels, 29.11.2011 
COM(2011) 794 final 

2011/0374 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on online dispute resolution for consumer disputes (Regulation on consumer ODR) 

{SEC(2011) 1408} 
{SEC(2011) 1409} 

 
 
  
 
EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

The  present  proposal,  together  with  the  proposal  for  a  Directive  on  alternative  dispute 
resolution for consumer disputes ("Directive on consumer ADR"), is to be seen in the context 
of efforts to improve the functioning of the retail Internal Market, in particular by enhancing 
consumer redress linked to cross-border e-commerce transactions. 

At  present,  the  offer  of  ADR  schemes  to  resolve  consumer  disputes  related  to  e-commerce 
transactions  is  scattered  and  incomplete.  In  addition,  while  half  the  existing  ADR  schemes 
offer consumers the possibility of submitting their complaint online, very few offer consumers 
the  possibility  of  conducting  the  entire  procedure  online  (via  online  dispute  resolution  – 
ODR)1.  Handling  the  entire  process  online  would  produce  time  savings  and  ease 
communication between the parties. 

With the development of e-commerce, the scope and size of markets in which businesses and 
consumers operate have grown significantly and extend beyond national borders. Consumers 
as  well  as  traders,  however,  perceive  it  as  risky  to  engage  in  cross-border  e-commerce 
transactions because they fear that relevant disputes might not easily be resolved due to the 
virtual character of the transaction. 

The  lack  of  effective  redress  for  complaints  resulting  from  cross-border  online  transactions 
has  adverse  consequences  both  for  consumers  and  businesses.  Consumers  lose  out  by  not 
being  able  to  shop  online  across  borders;  they  thus  miss  the  opportunity  of  comparing  the 
costs of products in the wider EU market and of buying them where they are less expensive. 
Businesses, in particular small and medium-sized enterprises, are deterred from acquiring the 
administrative  capacity  needed  to  deal  with  disputes  with  consumers  residing  in  another 
Member State. This hinders the development of the digital Internal Market. 

The Europe 2020 flagship initiative "Digital Agenda for Europe"2 announced an EU strategy 
to improve ADR systems, indicating that the Commission will "propose an EU-wide online 
redress  tool  for  e-commerce"  to  boost  consumer  and  business  confidence  in  the  digital 
market. The 2011 Single Market Act3 included amongst its key priorities the establishment of 
"simple,  fast  and  affordable  out-of-court  settlement  procedures  for  consumers  and  protect 
relations between businesses and their customers. This action will also include an electronic 
commerce dimension". 

In view of the problems identified, the proposed Regulation aims at establishing an EU-wide 
ODR  system  that  will  facilitate  the  resolution  of  disputes  related  to  the  cross-border  online 
sale of goods or provision of services between a trader and a consumer. 

1 

2 
3 

EN 

The  2010  report  of  the  European  Consumer  Centre's  Network  indicates  that  more  than  half  of 
complaints (56.3%) received by the ECC-Net were linked to e-commerce transactions. However, out of 
the 35.000 cross border complaints received by ECC network in 2010, 91% could not be referred to an 
ADR 
existed 
another  Member  State 
(http://ec.europa.eu/consumers/ecc/docs/2010_annual_report_ecc_en.pdf). 
Europe 2020 flagship initiative: "A Digital Agenda for Europe", COM (2010) 245, p. 13. 
Commission Communication "Single Market Act" COM (2011) 206, p.9. 

suitable  ADR 

scheme 

scheme 

no 

as 

in 

2 

   EN 

 
                                                 
2. 

RESULTS  OF  CONSULTATIONS  WITH  THE  INTERESTED  PARTIES  AND  IMPACT 
ASSESSMENT 

2.1. 

Collection of expertise and consultation of interested parties 

Several studies conducted by the Commission on consumer ADR addressed issues linked to 
online  dispute  resolution  tools.  These  include  the  2009  “Study  on  the  use  of  Alternative 
Dispute resolution in the European Union” carrying out an in-depth analysis of existing ADR 
schemes  and  their  functioning  in  all  Member  States,  the  study  on  consumer  redress  in  the 
EU4,  the  "Assessment  of  the  compliance  costs  including  administrative  costs/burdens  on 
businesses linked to the use of Alternative Dispute Resolution (ADR)" (2011) and the study on 
"Cross-border ADR in the European Union" (2011). 

The public consultation on the use of ADR launched  in January 2011 also  addressed issues 
related  to  ODR  and  how  best  to  ensure  consumer  redress  in  cross-border  e-commerce 
transactions5.  A  large  measure  of  support  emerged  on  the  need  to  improve  ODR  tools,  in 
particular  for  e-commerce  transactions,  where  there  is  an  increasing  number  of  complaints 
especially for low-value cases. In particular, it was underlined the need to tackle the language 
issue  and  to  provide  adequate  information  to  the  parties  on  the  process  and  its  outcome.  A 
vast majority of respondents drew attention to the need to build on positive experiences that 
exist in specific sectors. 

The  debate  held  at  the  summit  on  "Alternative  Dispute  Resolution  for  Internal  Market  and 
consumers"  organised  jointly  by  the  Commission  services  and  the  European  Parliament  in 
March  2011,  showed  general  support  for  the  development  of  ODR  tools  for  consumer 
disputes  through  EU  action  in  order  to  provide  clarity  on  the  conditions  and  to  ensure  high 
quality ADR schemes for e-commerce in all sectors. The workshop on "ADR: how to make it 
work  better?",  organised  within  the  European  Consumer  Summit  of  April  20116,  dealt  with 
issues linked to online dispute resolution. 

Finally, the European Data Protection Supervisor (EDPS) was also consulted. 

2.2. 

Impact assessment 

The  Commission  has  carried  out  a  detailed  impact  assessment  (IA),  analysing  a  range  of 
policy options for both "ADR coverage, information and quality" and "ODR for cross-border 
e-commerce transactions". 

The IA concluded that only a combination of two instruments on ADR and ODR can ensure 
access  to  impartial,  transparent  and  effective  means  to  resolve  consumer  disputes  linked  to 
cross-border  e-commerce  transactions  out-of-court.  In  particular,  a  Regulation  will  establish 
an EU-wide ODR system, which can effectively deal with disputes related to cross-border e-
commerce  transactions  on  the  basis  of  the  full  coverage  of  quality  ADR  schemes  to  be 
achieved in accordance with the Directive on consumer ADR. 

4 

5 

6 

"Consumer  redress  in  the  European  Union:  consumers'  experiences,  perceptions  and  opinions",  2009 
http://ec.europa.eu/consumers/redress_cons/docs/cons_redress_EU_qual_study_report_en.pdf  
Public  consultation on  the  use  of  alternative dispute resolution (ADR)  as  a  means  to  resolve  disputes 
related to commercial transactions and practices in the EU. Replies and feedback statement available at: 
http://ec.europa.eu/consumers/redress_cons/adr_en.htm  
http://www.european-consumer-summit.eu/workshops3_en.asp  

EN 

3 

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3. 

LEGAL ELEMENTS OF THE PROPOSAL 

3.1. 

The functioning of the EU-wide online dispute resolution system 

3.1.1.  Establishment of the European online dispute resolution System 

The  present  proposal  aims  at  establishing  a  European  online  dispute  resolution  platform 
("ODR platform"). This ODR platform takes the form of an interactive website which offers a 
single  point  of  entry  to  consumers  and  traders  who  seek  to  resolve  out-of-court  a  dispute 
which has arisen from a cross-border e-commerce transaction. The platform can be accessed 
in all official languages of the EU and its use is free of charge. ADR schemes established in 
the  Member  States  which  have  been  notified  to  the  Commission  in  accordance  with  the 
"Directive on consumer ADR" will be registered electronically with the ODR platform. 

Consumers and traders will be able to submit their complaints through an electronic complaint 
form which will be available on the platform’s website in all official languages of the EU. The 
platform will check if a complaint can be processed and seek the agreement of the parties to 
transmit  it  to  the  ADR  scheme  which  is  competent to deal with the dispute. The competent 
ADR  scheme  will  seek  the  resolution  of  the  dispute  in  accordance  with  its  own  rules  of 
procedure  within  30  days  from  the  date  of  receipt  of  the  complaint.  The  ADR  scheme  will 
have  to  notify  to  the  platform  some  data  in  relation  to  the  development  of  the  dispute  (date 
when the complaint was notified to the parties; date when the dispute was resolved; outcome 
of the dispute).  

Under  the  proposal,  a  network  of  online  dispute  resolution  facilitators  ("ODR  facilitators' 
network")  will  be  established  which  will  consist  of  one  contact  point  for  online  dispute 
resolution in each Member State. The  ODR facilitators' network will provide support to the 
resolution of disputes submitted via the ODR platform. 

3.1.2. 

Information on the EU-wide ODR system  

The present proposal requires traders established within the EU that engage in cross-border e-
commerce  to  inform  consumers  about  the  ODR  platform.  This  information  shall  be  made 
easily,  directly,  prominently  and  permanently  accessible  on  the  traders'  websites  as  well  as 
when the consumer submit a complaint to the trader. 

3.1.3.  Monitoring 

An annual activity report will be drawn up on the operation of the platform. The compliance 
by  ADR  schemes  with  the  obligations  set  out  in  this  Regulation  will  be  monitored  by  the 
competent authorities to be established in the Member States in accordance with the Directive 
on consumer ADR. Every three years the Commission will report to the European Parliament 
and the Council on the application of the Regulation. 

3.1.4.  Data Protection rules 

The data entered in the ODR platform by the parties and the ADR schemes will be stored in a 
database and will be subject to the relevant legislation on data protection. 

EN 

4 

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3.2. 

Subsidiarity principle 

The proposal is based on Article 114 of the Treaty on the Functioning of the European Union. 

The  development  of  an  EU-wide  ODR  system  for  cross-border  online  disputes,  built  on 
existing  ADR  schemes  in  the  Member  States  and  respecting  their  respective  rules  of 
procedure,  will  strengthen  confidence  in  the  retail  digital  Internal  Market  and  will  open  up 
new opportunities for businesses. 

Despite  the  currently  low  level  of  cross-border  e-commerce  transactions,  there  is  a  rapidly 
expanding  digital  retail  market  within  the  Member  States.  Thus,  ensuring  simple,  low-cost 
and  effective  means  of  out-of-court  redress  is  needed  to  strengthen  consumers’  and  traders’ 
confidence in online transactions across borders. 

Action at EU level is necessary to establish an EU-wide ODR platform which is an essential 
tool for promoting e-commerce. It is also imperative to provide European consumers with the 
same  level  of  protection  and  promote  competitive  practices  amongst  businesses,  thus 
increasing the exchange of products and services online and across borders. 

3.3. 

Proportionality 

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

The  proposal  intends  to  put  in  place  the  most  effective  means  of  achieving  the  pursued 
objective  at  the  lowest  comparative  costs.  Instead  of  creating  a  completely  new  structure  at 
EU level, the intended regulatory approach is based on existing national ADR schemes which 
comply with the requirements set out in relevant Union legislation. 

The  proposed  Regulation  will  thus  ensure  full  coverage  in  quality  ADR  services  for  cross-
border  online  disputes  while  the  implementation  costs  will  be  limited  to  what  the  proposal 
adds to the existing ADR structures at national level.  

The  proposed  rules  have  been  subject  to  a  proportionality  test  and  intensive  consultation  to 
ensure appropriate and proportionate regulation. 

4. 

BUDGETARY IMPLICATION  

This  action  is  part  of  the  Consumer  programme  2014-2020.7  The  budgetary  impact  will  be 
addressed  by  redeployment  for  the  years  2012  and  2013.  The  financial  appropriations  for 
implementing this proposal from 2012 to 2020 will amount to EUR 4,586 million in current 
prices. The human resources required will be met by staff from the Directorate General who 
are  already  assigned  to  the  management  of  the  action  and  have  been  redeployed  within  the 
Directorate  General,  together  if  necessary  with  any  additional  allocation  which  may  be 
granted to the managing Directorate General under the annual allocation procedure and in the 
light of budgetary constraints. A financial statement is attached to the proposal.  

7  

Proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council  on  a  consumer  programme 
2014-2020, SEC(2011) 1320 final and SEC(2011) 1321 final. 

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2011/0374 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on online dispute resolution for consumer disputes (Regulation on consumer ODR) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 114 thereof, 

Having regard to the proposal from the European Commission, 

After transmission of the draft legislative act to the national Parliaments, 

Having regard to the opinion of the European Economic and Social Committee8,  

After consulting the European Data Protection Supervisor, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

Article 169(1) and point (a) of Article 169(2) of the Treaty on the Functioning of the 
European Union (TFEU) provide that the Union is to contribute to the attainment of a 
high  level  of  consumer  protection  through  the  measures  adopted  pursuant  to  Article 
114 thereof. Article 38 of the Charter of Fundamental Rights of the European Union 
provides that Union policies shall ensure a high level of consumer protection. 

In  accordance  with  Article  26(2)  TFEU,  the  Internal  Market  is  to  comprise  an  area 
without  internal  frontiers  in  which  the  free  movement  of  goods  and  services  is 
ensured.  In  order  for  consumers  to  have  confidence  in  and  benefit  from  the  digital 
dimension of the Internal Market, it is necessary that they have access to easy and low-
cost  ways  of  resolving  disputes  which  arise  from  the  sale  of  goods  or  the  supply  of 
services online. This is particularly important when consumers shop cross-border. 

In  its  Single  Market  Act9,  the  Commission  has  identified  legislation  on  alternative 
dispute  resolution  which  includes  an  electronic  commerce  dimension  as  one  of  the 
twelve levers to boost growth and strengthen confidence in the Single Market.  

The European Council has invited the Parliament and the Council to adopt, by the end 
of 2012, a first set of priority measures to bring a new impetus to the Single Market.10  

8 
9 

OJ C , , p. . 
Commission Communication "Single Market Act" COM (2011) 206, p.9. 

EN 

6 

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(5) 

(6) 

(7) 

(8) 

(9) 

The  Internal  Market  is  a  reality  for  consumers  in  their  daily  lives,  when  they  travel, 
buy and make payments. Consumers are key players in the Internal Market and should 
therefore be at its heart. The digital dimension of the Internal Market is becoming vital 
for  both  consumers  and  traders.  Consumers  increasingly  make  purchases  over  the 
internet and an increasing number of traders sell online. Consumers and traders should 
feel confident in carrying out transactions in a digital environment. 

Being  able  to  seek  easy  and  low-cost  dispute  resolution  can  boost  consumers'  and 
traders'  confidence  in  the  digital  market.  Consumers  and  traders,  however,  still  face 
barriers to finding out-of-court solutions in particular to their disputes arising from a 
cross-border  online  transaction.  Thus,  such  disputes  currently  are  often  left 
unresolved. 

Online dispute resolution offers a simple and low-cost out-of-court solution to disputes 
arising  from  cross-border  online  transactions.  However,  there  is  currently  a  lack  of 
mechanisms that allow consumers and traders to resolve such disputes via electronic 
means.  This  leads  to  consumer  detriment,  acts  as  a  barrier  to  cross-border  online 
transactions,  creates  an  uneven  playing  field  for  traders  and  thus  hampers  the 
development of electronic commerce. 

This  Regulation  should  apply  to  the  out-of-court  resolution  of  contractual  disputes 
between consumers and traders that arise from the online sale of goods or provision of 
services by traders across borders. It should not apply to disputes between consumers 
and traders that arise from the online sale of goods or provision of services if at least 
one of them is not established or resident in a Member State of the Union at the time 
when the consumer orders such goods or services or the trader and the consumer are 
established or resident in the same Member State. 

This Regulation should be without prejudice to Directive 2008/52/EC of the European 
Parliament and of the Council of 21 May 2008 on certain aspects of mediation in civil 
and  commercial  matters11,  Regulation  (EC)  No  44/2001  of  the  Council  of  22 
December 2000 on jurisdiction and the recognition and enforcement of judgments in 
civil  and  commercial  matters12,  Regulation  (EC)  No  864/2007  of  the  European 
Parliament and of the Council of 11 July 2007 on the law applicable to non-contractual 
obligations  (“Rome  II”)13  and  Regulation  (EC)  No  593/2008  of  the  European 
Parliament  and  of  the  Council  of  17  June  2008  on  the  law  applicable  to  contractual 
obligations (“Rome I”)14. 

(10)  The  definition  of  “consumer”  should  cover  natural  persons  who  are  acting  outside 
their  trade,  business,  craft  or  profession.  However,  if  the  contract  is  concluded  for 
purposes  partly  within  and  partly  outside  the  person’s  trade  (dual  purpose  contracts) 
and the trade purpose is so limited as not to be predominant in the overall context of 
the supply, that person should also be considered as a consumer. 

10 

11 
12 
13 
14 

Conclusions of the European Council of 24-25 March 2011, EUCO 10/11, p. 4; see also Conclusions of 
the European Council of 23 October 2011, EUCO 52/11, pp. 1-2. 
OJ L 136, 24.5.2008, p. 3. 
OJ L 12, 16.1.2001, p. 32. 
OJ L 199, 31.7.2007, p. 40. 
OJ L 177, 4.7.2008, p. 6. 

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(11)  The  definition  of  'online  sale  of  goods  or  provision  of  services'  should  cover  a 
transaction for the online sale of goods or provision of services where the trader, or the 
trader’s  intermediary,  has  offered  goods  or  services  through  a  website  or  by  other 
electronic means and the consumer has ordered those goods or services on that website 
or  by  other  electronic  means.  This  should  also  cover  cases  where  the  consumer  has 
accessed the website or other information society service through a mobile electronic 
device such as a mobile telephone. 

(12)  This Regulation should not apply to disputes between consumers and traders that arise 
from the cross-border sale of goods or provision of services offline. This Regulation 
should not apply to disputes between traders. 

(13)  This  Regulation  should  be  seen  in  conjunction  with  Directive  …./…/EU  [Office  of 
Publications insert reference number] of the European Parliament and of the Council 
of [Office of Publications insert date of adoption] on alternative dispute resolution for 
consumer disputes (Directive on consumer ADR)15 which requires Member States to 
ensure  that  all  disputes  between  consumers  and  traders  resident  or  established  in  the 
Union which arise from the sale of goods or provisions of services can be submitted to 
an alternative dispute resolution entity. 

(14)  This  Regulation  aims  at  creating  an  online  dispute  resolution  ('ODR')  platform  at 
European  level.  The  ODR  platform  should  take  the  form  of  an  interactive  website 
offering  a  single  point  of  entry  to  consumers  and  traders  seeking  to  resolve  disputes 
out-of-court which have arisen from a cross-border e-commerce transaction. It should 
allow consumers and traders to submit complaints by filling in an electronic complaint 
form  available  in  all  official  languages  of  the  Union  and  transmit  complaints  to  an 
alternative  dispute  resolution  ('ADR')  entity  competent  to  deal  with  the  dispute 
concerned. The platform should offer to ADR entities and the parties the possibility of 
conducting the dispute resolution procedure via the platform.  

(15)  An  ODR  system  at  European  level  should  build  on  existing  ADR  entities  in  the 
Member States and respect Member States' legal traditions. ADR entities to which a 
complaint has been transmitted via the ODR platform should therefore apply their own 
rules  of  procedure,  including  rules  on  cost.  However,  this  Regulation  intends  to 
establish some common rules applicable to those procedures that will safeguard their 
effectiveness.  This  should  include  rules  ensuring  that  such  dispute  resolution  is 
accomplished expeditiously. 

(16)  Ensuring that all ADR entities notified to the Commission in accordance with Article 
17(2) of Directive …./…/EU [= Directive on consumer ADR] Office of Publications 
insert  reference  number]  are  linked  electronically  to  the  European  ODR  platform 
should allow the full coverage in out-of-court redress online for cross-border disputes 
arising from the online sale of goods or provision of services. 

(17)  This  Regulation  does  not  prevent  the  functioning  of  any  existing  online  dispute 
resolution entity operating within the Union. It should not prevent ADR entities from 
dealing  with  cross-border  online  disputes  which  have  been  submitted  to  them  by  a 
means other than the ODR platform. 

15 

OJ L …, …., p. …. 

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(18)  A  network  of  online  dispute  resolution  facilitators  should  provide  support  to  the 
resolution  of  disputes  relating  to  complaints  submitted  via  the  ODR  platform.  That 
network should be composed of contact points for ODR in the Member States which 
host online dispute resolution facilitators.  

(19)  The  right  to  an  effective  remedy  and  the  right  to  a  fair  trial  are  fundamental  rights 
guaranteed in Article 47 of the Charter of Fundamental Rights of the European Union. 
Online  dispute  resolution  procedures  cannot  be  designed  to  replace  court  procedures 
and should not deprive consumers or traders of their rights to seek redress before the 
courts.  Nothing  in  this  Regulation  should,  therefore,  prevent  parties  from  exercising 
their right of access to the judicial system.  

(20)  The  processing  of  information  under  this  Regulation  should  be  subject  to  strict 
guarantees  of  confidentiality  and  should  comply  with  the  rules  on  the  protection  of 
personal data laid down in Directive 95/46/EC of the European Parliament and of the 
Council  of  24  October  1995  on  the  protection  of  individuals  with  regard  to  the 
processing of personal data and on the free movement of such data16 and in Regulation 
(EC) 45/2001 of the European Parliament and of the Council of 18 December 2000 on 
the  protection  of  individuals  with  regard  to  the  processing  of  personal  data  by  the 
Community  institutions  and  bodies  and  on  the  free  movement  of  such  data17.  These 
rules should apply to the processing of personal data carried out under this Regulation 
by  the  various  actors  of  the  platform,  whether  they  act  alone  or  jointly  with  other 
actors of the platform. 

(21)  Data  subjects  should  be  informed  about  the  processing  of  their  personal  data  in  the 
ODR  platform,  and  their  rights  with  regard  to  that  processing,  by  means  of  a 
comprehensive privacy notice to be  made publicly available by the Commission and 
explaining, in a clear and simple language, the processing operations performed under 
the responsibility of the various actors of the platform, in accordance with Articles 11 
and 12 of Regulation (EC) No 45/2001 and with national legislation adopted pursuant 
to Articles 10 and 11 of Directive 95/46/EC. 

(22)  Traders  should  inform  consumers  on  their  websites  about  the  ODR  platform  and 
provide an electronic link to its homepage. They should also provide such information 
when  a  consumer  submits  a  complaint  to  the  trader,  a  consumer  complaint  handling 
system  operated  by  the  trader  or  a  company  ombudsman.  This  obligation  should  be 
without  prejudice  to  Article  10(1)-(3)  of  Directive  .…/…/EU  [Office  of  Publications 
insert  reference  number]  concerning  the  information  of  consumers  by  traders  about 
the ADR procedures by which those traders are covered and about whether or not they 
commit  to  use  alternative  dispute  resolution  procedures  to  resolve  disputes  with 
consumers. Furthermore, this obligation should be without prejudice to Articles 6(1)(t) 
and 8 of Directive 2011/83/EU of the European Parliament and of the Council of 25 
October 2011 on consumer rights18. Article 6(1)(t) of Directive 2011/83/EU stipulates 
for consumer contracts concluded at a distance or off premises that the trader has to 
inform  the  consumer  about  the  possibility  of  having  recourse  to  an  out-of-court 

16 
17 
18 

OJ L 281, 23.11.1995, p. 31. 
OJ L 8, 12.1.2001, p. 1. 
OJ L ..., ..., p. .... 

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(23) 

(24) 

complaint and redress mechanism to which the trader is subject, and the methods for 
having access to it, before the consumer is bound by the contract.  

In order to supplement or amend certain non-essential elements of this Regulation, the 
power to adopt acts in accordance with Article 290 TFEU should be delegated to the 
Commission in respect of the type of information which a complainant is to provide in 
the electronic complaint form made available on the ODR platform. It is of particular 
importance  that  the  Commission  carries  out  appropriate  consultations  during  its 
preparatory  work,  including  at  expert  level.  The  Commission,  when  preparing  and 
drawing  up  delegated  acts,  should  ensure  a  simultaneous,  timely  and  appropriate 
transmission of relevant documents to the European Parliament and Council. 

In  order  to  ensure  uniform  conditions  for  the  implementation  of  this  Regulation 
implementing  powers  should  be  conferred  on  the  Commission  in  respect  of  the 
functioning of the ODR platform, the modalities for the submission of a complaint and 
co-operation within the ODR facilitators' network. Those powers should be exercised 
in accordance with Regulation (EU) No 182/2011 of the European Parliament and of 
the  Council  of  16  February  2011  laying  down  the  rules  and  general  principles 
concerning mechanisms for control by Member States of the Commission's exercise of 
implementing  powers.  The  advisory  procedure  should  be  used  for  the  adoption  of 
implementing acts relating to the electronic complaint form given its purely technical 
nature.  The  examination  procedure  should  be  used  for  the  adoption  of  the  rules 
concerning the modalities of cooperation between the ODR facilitators of the network 
of online dispute resolution facilitators. 

(25)  Since  the  objectives  of  this  Regulation,  namely  to  set  up  a  European  online  dispute 
resolution  platform  for  cross-border  online  disputes  governed  by  common  rules, 
because of the scale and effects of the action, cannot be sufficiently achieved by the 
Member States and therefore be better achieved at Union level, the Union may adopt 
measures in accordance with the principle of subsidiarity as set out in Article 5 of the 
Treaty on European Union. In accordance with the principle of proportionality, as set 
out in that Article, this Regulation does not go beyond what is necessary in order to 
achieve that objective. 

(26)  This regulation respects fundamental rights and observes the principles recognised in 
particular  by  the  Charter  of  Fundamental  Rights  of  the  European  Union  and 
specifically Articles 7, 8, 38 and 47 thereof, 

HAVE ADOPTED THIS REGULATION: 

CHAPTER I 
General provisions 

Article 1 
Subject matter 

The purpose of this Regulation is to contribute to the functioning of the internal market, and 
in  particular  its  digital  dimension,  and  to  the  achievement  of  a  high  level  of  consumer 

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protection  by  providing  a  platform  facilitating  the  impartial,  transparent,  effective  and  fair 
out-of-court resolution of disputes between consumers and traders online. 

Article 2 
Scope 

This Regulation shall apply to the out-of-court resolution of contractual disputes arising from 
the cross-border online sale of goods or provision of services between consumers and traders 
through the intervention of an alternative dispute resolution entity complying with Directive 
[Office of Publications please insert number of Directive of the European Parliament and of 
the Council on alternative dispute resolution for consumer disputes and amending Regulation 
(EC) No 2006/2004 and Directive 2009/22/EC (Directive on consumer ADR)] and involving 
the use of a European online dispute resolution platform. 

Article 3 
Relationship with other Union legislation 

This Regulation is without prejudice to Directive 2008/52/EC, Regulation (EC) No 44/2001, 
Regulation (EC) No 864/2007 and Regulation (EC) No 593/2008. 

Article 4 
Definitions 

For the purposes of this Regulation: 

(a) 

(b) 

(c) 

(d) 

"consumer" means any natural person who is acting for purposes which are outside 
his trade, business, craft or profession; 

"trader"  means  any  natural  persons  or  any  legal  person,  irrespective  of  whether 
privately  or  publicly  owned,  who  is  acting,  including  through  any  person  acting  in 
his  name  or  on  his  behalf,  for  purposes  relating  to  his  trade,  business,  craft  or 
profession; 

"online  sale  of  goods  or  provision  of  services"  means  a  transaction  for  the  sale  of 
goods  or  provision  of  services  where  the  trader,  or  the  trader's  intermediary,  has 
offered  goods  or  services  on  a  website  or  by  other  electronic  means  and  the 
consumer has ordered such goods or services on that website or by other electronic 
means; 

"electronic means" means electronic equipment for the processing (including digital 
compression)  and  storage  of  data  which  is  entirely  transmitted,  conveyed  and 
received by wire, by radio, by optical means or by other electromagnetic means. 

The following shall not be regarded as services provided by electronic means: 

– 

– 

off-line services; 

services  having  material  content  even  though  provided  via  electronic  devices 
such as automatic cash or ticket dispensing machines (banknotes, rail tickets), 

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access to road networks, car parks, charging for use, even if there are electronic 
devices  at  the  entrance  or  exit  controlling  access  and/or  ensuring  correct 
payment is made; 

– 

services  which  are  not  provided  via  electronic  processing/inventory  systems 
such  as  voice  telephony  services,  telefax  or  telex  services,  services  provided 
via  voice  telephony  or  fax;  telephone  or  telefax  consultation  of  a  doctor; 
telephone  or  telefax  consultation  of  a  lawyer;  telephone  or  telefax  direct 
marketing. 

(e) 

"cross-border online sale of goods or provision of services" means an online sale of 
goods or provision of services where, at the time the consumer orders such goods or 
services,  the  consumer  is  resident  in  a  Member  State  other  than  the  Member  State 
where the trader is established; 

(f) 

a trader is "established" 

– 

– 

if the trader is a natural person, where he has his place of business; 

if the trader is a company or other legal person or association of natural or legal 
persons, where it has its statutory seat, central administration or principal place 
of business or, if the trader's offer is made or if the goods or services ordered 
are  to  be  delivered  out  of  the  operations  of  a  branch,  agency  or  other 
establishment, where that branch, agency or other establishment is situated; 

(g) 

"alternative  dispute  resolution  procedure"  (hereinafter  "ADR  procedure")  means  a 
procedure  for  the  out-of-court  resolution  of  a  dispute  through  the  intervention  of  a 
dispute resolution entity which proposes or imposes a solution or brings the parties 
together with the aim of facilitating an amicable solution; 

Procedures before dispute resolution entities where the natural persons in charge of 
dispute  resolution  are  employed  exclusively  by  the  trader,  procedures  before 
consumer  complaint  handling  systems  operated  by  the  trader,  direct  negotiation 
between the consumer and the trader, whether represented or not, and attempts made 
by a judge to settle a dispute in the course of a judicial proceeding concerning that 
dispute shall not be regarded as ADR procedures; 

"alternative  dispute  resolution  entity",  (hereinafter  "ADR  entity")  means  an  entity 
covered  by  Article  4(e)  of  Directive  [Office  of  Publications  insert  number  of 
Directive  of  the  European  Parliament  and  of  the  Council  on  alternative  dispute 
resolution for consumer disputes and amending Regulation (EC) No 2006/2004 and 
Directive 2009/22/EC (Directive on consumer ADR)] which has been communicated 
to the Commission in accordance with Article 17(2) of that Directive; 

"complainant party" means the consumer or the trader that has submitted a complaint 
via the European online dispute resolution platform; 

"respondent party" means the consumer or the trader against whom a complaint has 
been submitted via the European online dispute resolution platform; 

"personal data" means any information relating to an identified or identifiable natural 
person ('data subject'); an identifiable person is one who can be identified, directly or 

(h) 

(i) 

(j) 

(k) 

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indirectly,  in  particular  by  reference  to  an  identification  number  or  to  one  or  more 
factors  specific  to  his  or  her  physical,  physiological,  mental,  economic,  cultural  or 
social identity. 

CHAPTER II 
European online dispute resolution platform 

Article 5 
Establishment of the European online dispute resolution platform 

1. 

2. 

The  Commission  shall  establish  a  European  online  dispute  resolution  platform, 
(hereinafter ‘ODR platform’). 

The  ODR  platform  shall  be  an  interactive  website  which  can  be  accessed 
electronically  and  free  of  charge  in  all  official  languages  of  the  Union.  The  ODR 
platform shall be a single point of entry to consumers and traders seeking the out-of-
court resolution of disputes covered by this Regulation.  

3. 

The ODR platform shall have the following functions: 

(a)  providing  an  electronic  complaint  form  which  can  be  filled  in  by  the 

complainant party;  

(b)  proposing,  based  on  the  information  contained  in  the  electronic  complaint 
form,    one  or  more  competent  ADR  entities  to  the  parties  and  providing 
information on their fees, if applicable, the language or languages in which the 
procedure  will  be  conducted,  the  approximate  length  of  the  procedures  or 
informing  the  complainant  party  that  based  on  the  information  submitted,  no 
competent ADR entity could be identified; 

(c) 

referring complaints to the ADR entity which the parties have agreed to use; 

(d) 

enabling  the  parties  and  the  ADR  entity  to  conduct  the  dispute  resolution 
procedure online; 

(e)  providing  an  electronic  form  by  means  of  which  ADR  entities  shall  transmit 

the information referred to in Article 9(c); 

(f) 

providing a feedback system which allows the parties to express their views on 
the functioning of the ODR platform and on the ADR entity which has handled 
their dispute. 

(g)  publishing  information  on  ADR  entities  notified  to  the  Commission  in 
accordance  with  Article  17(2)  of  Directive  …./…/EU  [Office  of  Publications 
please  insert  number  of  Directive  of  the  European  Parliament  and  of  the 
Council on alternative dispute resolution for consumer disputes and amending 
Regulation  (EC)  No  2006/2004  and  Directive  2009/22/EC  (Directive  on 
consumer ADR)] which deal with disputes covered by this Regulation; 

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4. 

5. 

6. 

1. 

(h)  providing  general  information  on  alternative  dispute  resolution  as  a  means  of 

out-of-court dispute settlement; 

(i)  making  accessible  statistics  on  the  outcome  of  the  disputes  handled  by  the 
ADR entities to which complaints have been transmitted via the ODR platform. 

Alternative dispute resolution entities which have been notified to the Commission in 
accordance with Article 17(2) of Directive …./…/EU [Office of Publications please 
insert  number  of  Directive  of  the  European  Parliament  and  of  the  Council  on 
alternative dispute resolution for consumer disputes and amending Regulation (EC) 
No 2006/2004 and Directive 2009/22/EC (Directive on consumer ADR)] and which, 
according  to  the  elements  necessary  to  establish  their  competence,  as  notified 
pursuant  to  Article  16(1)(g)  of  Directive  …./…/EU  [Office  of  Publications  please 
insert  number  of  Directive  of  the  European  Parliament  and  of  the  Council  on 
alternative dispute resolution for consumer disputes and amending Regulation (EC) 
No  2006/2004  and  Directive  2009/22/EC  (Directive  on  consumer  ADR)],  which, 
based  on  the  information  contained  in  the  electronic  complaint  form  referred  to  in 
point  (a)  of  paragraph  3,  are  competent  to  deal  with  disputes  covered  by  this 
Regulation, shall register electronically with the ODR platform.  

The  Commission  shall  be  responsible  for  the  ODR  platform  as  regards  its 
development, its operation, its maintenance and as regards data security. 

The Commission shall adopt measures concerning the modalities for the exercise of 
the  functions  provided  for  in  paragraph  3  through  implementing  acts.  Those 
implementing  acts  shall  be  adopted  in  accordance  with  the  examination  procedure 
referred to in Article 15(3). 

Article 6 
Network of online dispute resolution facilitators 

Each  Member  State  shall  designate  one  ODR  contact  point  and  communicate  its 
name  and  contact  details  to  the  Commission.  Member  States  may  confer 
responsibility for the ODR contact points on their centres of the European Consumer 
Centre Network, on consumer associations or on any other body. Each ODR contact 
point  shall  host  at  least  two  online  dispute  resolution  facilitators  (hereinafter  'ODR 
facilitators')..  

2. 

The  ODR  facilitators  shall  provide  support  to  the  resolution  of  disputes  relating  to 
complaints submitted via the platform by fulfilling the following functions: 

(a) 

(b) 

if necessary, facilitating communication between the parties and the competent 
ADR entity; 

informing  consumers  of  other  means  of  redress  when  a  dispute  cannot  be 
resolved via the platform, for example when the trader fails to agree to the use 
of ADR; 

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3. 

4. 

5. 

1. 

2. 

3. 

4. 

(c) 

submitting, based on the practical experience gained from the performance of 
their functions, an annual activity report to the Commission and to the Member 
States; 

(d) 

informing  the  parties  of  the  advantages  and  disadvantages  of  the  procedures 
applied by the proposed ADR entities. 

The  Commission  shall  establish  a  network  of  online  dispute  resolution  facilitators 
(hereinafter the 'ODR facilitators' network') which shall enable cooperation between 
ODR  facilitators  and  contribute  to  the  performance  of  the  functions  set  out  in  
paragraph 2. 

The Commission shall at least once every year convene a meeting of members of the 
ODR  facilitators'  network  in  order  to  permit  an  exchange  of  best  practice,  and  a 
discussion  of  any  recurring  problems  encountered  in  the  operation  of  the  ODR 
platform. 

The Commission shall adopt the rules concerning the modalities of the cooperation 
between  the  ODR  facilitators  through  implementing  acts.  Those  implementing  acts 
shall be adopted in accordance with the examination procedure referred to in Article 
15(3). 

Article 7 
Submission of a complaint 

In order to submit a complaint to the ODR platform the complainant party shall fill in 
the electronic complaint form which shall be available on the platform's website. The 
complainant  party  may  attach  to  the  complaint  form  any  documents  in  electronic 
form in support of his complaint. 

The  information  to  be  submitted  by  the  complainant  party  shall  be  sufficient  to 
determine the competent ADR entity. This information is described in the Annex. 

The ODR platform shall provide the parties with information about the ADR entity 
or entities identified by the ODR platform as competent; if more than one option is 
available,  the  ODR  facilitators  of  the  Member  States  concerned  shall  provide  the 
parties  with  details  of  the  various  entities  so  identified  and  advise  them  of  the 
advantages and disadvantages of the procedures applied by each of these entities in 
order to enable the parties to make an informed choice. 

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article  16  to  adapt  the  information  listed  in  the  Annex,  taking  into  account  the 
criteria  by  which  the  ADR  entities  notified  to  the  Commission  in  accordance  with 
Article 17(2) of Directive …./…/EU [Office of Publications please insert number of 
Directive  of  the  European  Parliament  and  of  the  Council  on  alternative  dispute 
resolution for consumer disputes and amending Regulation (EC) No 2006/2004 and 
Directive 2009/22/EC (Directive on consumer ADR)] that deal with disputes covered 
by this Regulation define their respective scopes of application. 

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5. 

6. 

1. 

2. 

The Commission shall lay down the modalities of the electronic complaint form by 
means  of  implementing  acts.  Those  implementing  acts  shall  be  adopted  in 
accordance with the advisory procedure referred to in Article 15(2). 

Only data which are accurate, relevant and not excessive in relation to the purposes 
for which they are collected shall be processed through the electronic complaint form 
and its attachments. 

Article 8 
Processing and transmission of a complaint  

A  complaint  submitted  to  the  platform  shall  be  processed  if  the  complaint  form  is 
fully completed. 

Upon  receipt  of  a  fully  completed  complaint  form,  the  ODR  platform  shall 
communicate to the complainant party, in the language of the complaint, and send by 
e-mail to the respondent party, in the language of the contract, the following: 

(a) 

(b) 

 the information that the parties have to agree on one competent ADR entity in 
order for the complaint to be transmitted to it;  

 the information that in the event that the parties fail to agree on one competent 
ADR entity or that no competent ADR entity is identified, the complaint shall 
not be processed further; 

(c) 

a list of all competent ADR entities, if any are identified; 

(d) 

(e) 

(f) 

(g) 

the  name  and  contact  details  of  the    ODR  contact  point  in  the  place  of 
residence for the consumer and in the place of establishment for the trader, as 
well as a brief description of the functions referred to in Article 6(2)(a), (b) and 
(d). 

an invitation to the consumer to select one or more ADR entities from the list 
provided, specifying that there is no obligation on the consumer to make such a 
selection; 

an  invitation  to  the  trader  to  select  one  or  more  ADR  entities  from  the  list 
provided,  in  the  event  that  none  of  those  entities  correspond  to  an  entity  the 
trader  committed  to  use  in  accordance  with  Article  10(1)  of  Directive 
…./…/EU[Office  of  Publications  please  insert  number  of  Directive  of  the 
European  Parliament  and  of  the  Council  on  alternative  dispute  resolution  for 
consumer  disputes  and  amending  Directive  2009/22/EC  (Directive  on 
consumer ADR)]; 

the information that in the event that the consumer chooses an ADR entity the 
trader  has  committed  to  use  in  accordance  with  Article  10(1)  of  Directive 
…./…/EU[Office  of  Publications  please  insert  number  of  Directive  of  the 
European  Parliament  and  of  the  Council  on  alternative  dispute  resolution  for 
consumer  disputes  and  amending  Directive  2009/22/EC  (Directive  on 
consumer  ADR)],  the  platform  shall  automatically  transmit  the  complaint  to 
that ADR entity. 

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3. 

The  communication  referred  to  in  paragraph  2  shall  include  a  description  of  the 
following characteristics of each entity: 

(a) 

their fees, if applicable; 

(b) 

 the language or languages in which the procedure will be conducted;  

(c) 

the approximate length of the procedure;  

(d) 

the need for the physical presence of the parties or of their representatives, if 
applicable;  

(e) 

the binding or non-binding nature of the outcome of the procedure. 

Where  the  parties  fail  to  reply  to  the  platform  or  to  agree  on  one  competent  ADR 
entity, the complaint shall not be processed further. The consumer shall be informed 
of the possibility of contacting an ODR facilitator for information on other means of 
redress. 

Where  the  choice  of  the  consumer  corresponds  to  an  ADR  entity  the  trader  has 
committed to use in accordance with Article 10(1) of Directive …./…/EU[Office of 
Publications please insert number of Directive of the European Parliament and of the 
Council  on  alternative  dispute  resolution  for  consumer  disputes  and  amending 
Directive 2009/22/EC (Directive on consumer ADR)] or where the parties choose the 
same  ADR  entity  in  their  replies,  the  platform  shall  automatically  transmit  the 
complaint to that ADR entity. 

In the event that the parties agree on more than one ADR entity, the consumer shall 
be  requested  to  select  one  of  the  ADR  entities  agreed  upon.  The  platform  shall 
automatically transmit the complaint to that ADR entity. 

4. 

5. 

6. 

Article 9 
Resolution of the dispute  

ADR entities to which a complaint has been transmitted in accordance with Article 8 shall: 

(a)  without delay notify the parties of the dispute and inform them of their rules of 
procedure and of the fees applicable to the resolution of the dispute concerned; 

(b) 

if,  following  the  notification  of  the  dispute  to  the  parties,  the  parties  agree  to 
institute  proceedings  before  the  entity,  accomplish  the  conclusion  of  the 
dispute  resolution  procedure  within  30  days  from  when  the  proceedings  have 
been  instituted.  In  the  case  of  complex  disputes,  the  ADR  entity  may  extend 
this time limit; 

(c)  without delay transmit the following information to the ODR platform: 

(i) 

date of receipt and subject-matter of the dispute; 

(ii)  date of notification of the dispute to the parties; 

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(iii)  date of conclusion and result of the procedure. 

Article 10 
Database 

The  Commission  shall  take  the  necessary  measures  to  establish  and  maintain  an  electronic 
database in which it shall store the information processed in accordance with Article 5(3) and 
Article 9(c). 

1. 

2. 

3. 

4. 

Article 11 
Processing of personal data 

Access to information, including personal data, related to a dispute and stored in the 
database  referred  to  in  Article  10  shall  be  granted,  for  the  purposes  referred  to  in 
Article 9, only to the ADR entity to which the dispute was transmitted in accordance 
with  Article  8.  Access  to  the  same  information  shall  be  granted  also  to  ODR 
facilitators for the purposes referred to in Article 6(3). 

The  Commission  shall  have  access  to  information  processed  in  accordance  with 
Article 9 for the purposes of monitoring the use and functioning of the ODR platform 
and drawing up the reports referred to in Article 17. It shall process personal data of 
the users of the platform in so far as it is necessary for the operation and maintenance 
of the platform, including for the purposes of monitoring the use of the platform by 
ADR entities and ODR facilitators.  

Personal  data  related  to  a  dispute  shall  be  kept  in  the  database  referred  to  in 
paragraph 1 only for the time necessary to achieve the purposes for which they were 
collected  and  to  ensure  that  data  subjects  are  able  to  access  their  personal  data  in 
order to exercise their rights, and shall be automatically deleted, at the latest, after 6 
months following the date of conclusion of the dispute which has been transmitted to 
the  ODR  platform  in  accordance  with  Article  9(c)(iii).  The  above-mentioned 
retention period shall also apply to personal data kept in national files by the ADR 
entity  or  the  ODR  facilitator  which  dealt  with  the  dispute  concerned,  except  if  the 
rules of procedure applied by the ADR entity or any specific provisions of national 
law provide for a longer retention period. 

Each  ODR  facilitator  and  each  ADR  entity  shall  be  regarded  as  a  controller,  in 
accordance  with  Article  2(d)  of  Directive  95/46/EC,  with  respect  to  their  own  data 
processing  activities  under  this  Regulation  and  shall  be  responsible  to  ensure  that 
these  activities  comply  with  data  protection  rules  laid  down  in  national  legislation 
adopted pursuant to Directive 95/46/EC. In relation to its responsibilities under this 
Regulation  and  the  processing  of  personal  data  involved  therein,  the  Commission 
shall be regarded as a controller in accordance with Article 2(d) of Regulation (EC) 
No 45/2001. 

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1. 

2. 

1. 

2. 

3. 

Article 12 
Data confidentiality and security 

ODR facilitators and ADR entities shall be subject to rules of professional secrecy or 
other equivalent duties of confidentiality laid down in national legislation. 

The Commission shall take the appropriate technical and organisational measures to 
ensure  the  security  of  information  processed  under  this  Regulation,  including 
appropriate data access control, a security plan and a security incident management, 
in accordance with Article 22 of Regulation (EC) No 45/2001. 

Article 13 
Consumer information 

Traders  established  within  the  Union  engaging  in  the  cross-border  online  sale  of 
goods or provision of services shall inform consumers about the ODR platform and 
about  their  e-mail  address.  This  information  shall  be  made  easily,  directly, 
prominently and permanently accessible on the traders' websites and, if the offer is 
made by e-mail or another textual message transmitted by electronic means, in that 
message. It shall include an electronic link to the ODR platform's homepage. Traders 
shall also inform consumers about the ODR platform when the consumer submits a 
complaint to the trader, a consumer complaint handling system operated by the trader 
or to a company ombudsman. 

The provisions in paragraph 1 are without prejudice to the provisions in Article 10 of 
Directive …./…/EU [Office of Publications please insert number of Directive of the 
European  Parliament  and  of  the  Council  on  alternative  dispute  resolution  for 
consumer  disputes  and  amending  Regulation  (EC)  No  2006/2004  and  Directive 
2009/22/EC  (Directive  on  consumer  ADR)]  concerning 
information  of 
consumers by traders about the ADR procedures by which those traders are covered 
and about whether or not those traders commit to use alternative dispute resolution 
procedures to resolve disputes with consumers. 

the 

The  provisions  in  paragraph  1  are  without  prejudice  to  the  provisions  in  Articles  6 
and  8  of  Directive  2011/83/EU  concerning  consumer  information  for  distance  and 
off-premises contracts. 

Article 14 
Monitoring 

The compliance by ADR entities with the obligations set in this Regulation shall be monitored 
by  the  competent  authorities  which  have  been  established  by  Member  States  in  accordance 
with  Article  15(1)  of  Directive  …./…/EU  [Office  of  Publications  please  insert  number  of 
Directive of the European Parliament and of the Council on alternative dispute resolution for 
consumer disputes and amending Regulation (EC) No 2006/2004 and Directive 2009/22/EC 
(Directive on consumer ADR)] . 

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CHAPTER III 
Final provisions 

Article 15 
Implementing acts 

1. 

2. 

3. 

1. 

2. 

3. 

4. 

5. 

The  Commission  shall  be  assisted  by  a  committee.  That  committee  shall  be  a 
committee within the meaning of Regulation (EU) No 182/2011. 

Where  reference  is  made  to  this  paragraph,  Article  4  of  Regulation  (EU)  No 
182/2011 shall apply.  

Where  reference  is  made  to  this  paragraph,  Article  5  of  Regulation  (EU)  No 
182/2011  shall  apply.  Where  the  opinion  of  the  committee  is  to  be  obtained  by 
written procedure, that procedure shall be terminated without result when, within the 
time-limit  for  delivery  of  the  opinion,  the  chair  of  the  committee  so  decides  or  a 
simple majority of committee members so request. 

Article 16 
Exercise of the delegation 

The  power  to  adopt  delegated  acts  is  conferred  on  the  Commission  subject  to  the 
conditions laid down in this Article. 

The  delegation  of  power  referred  to  in  Article  7(4)  shall  be  conferred  for  an 
indeterminate period of time from the [Office of Publications insert same date as in 
Art. 18(1) = date of entry into force of this Regulation]. 

The delegation of powers referred to in Article 7(4) may be revoked at any time by 
the European Parliament or by the Council. A decision of revocation shall put an end 
to the delegation of the power specified in that decision. It shall take effect the day 
following  the  publication  of  the  decision  in  the  Official  Journal  of  the  European 
Union  or  at  a  later  date  specified  therein.  It  shall  not  affect  the  validity  of  any 
delegated acts already in force. 

As soon as it adopts a delegated act, the Commission shall notify it simultaneously to 
the European Parliament and to the Council. 

A  delegated  act  adopted  pursuant  to  Article  7(4)  shall  enter  into  force  only  if  no 
objection  has  been  expressed  either  by  the  European  Parliament  or  the  Council 
within a period of 2 months of notification of that act to the European Parliament and 
the Council or if, before the expiry of that period, the European Parliament and the 
Council  have  both  informed  the  Commission  that  they  will  not  object.  That  period 
shall  be  extended  by  2  months  at  the  initiative  of  the  European  Parliament  or  the 
Council. 

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Article 17 
Reports 

Every three years and for the first time no later than five years after the entry into force of this 
Regulation the Commission shall submit to the European Parliament and the Council a report 
on  the  application  of  this  Regulation.  The  report  shall  be  accompanied,  if  necessary,  by 
proposals for adaptations to this Regulation.  

Article 18 
Entry into force 

1. 

2. 

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

This Regulation shall apply from [Office of Publications insert date = 6 months after 
implementation  deadline  for  Directive  of  the  European  Parliament  and  of  the 
Council  on  alternative  dispute  resolution  for  consumer  disputes  and  amending 
Regulation  (EC)  No  2006/2004  and  Directive  2009/22/EC  (Directive  on  consumer 
ADR  as  to  be  inserted  in  that  Directive  in  accordance  with  Art  22(1)  of  that 
Directive], except for Article 5(1), (4), (5) and (6), Article 6(1), (2) and (6), Article 
7(4) and (5), Article 10, Article 15 and Article 16 which shall apply from the date on 
which this Regulation enters into force. 

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

Done at Brussels, 

For the European Parliament 
The President 

For the Council 
The President 

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21 

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ANNEX  

Information to be provided when filling in the electronic complaint form 

(1)  Name,  address  and,  if  applicable,  e-mail  and  website  address  of  the 

complainant party; 

(2)  Whether the complainant party is a consumer or a trader; 

(3)  Name, address and, if applicable, e-mail and website address of the respondent 

party; 

(4)  Whether the respondent party is a consumer or a trader; 

(5)  Type  of  goods  or  services  to  the  sale  or  provision  of  which  the  complaint 

relates; 

(6)  Grounds on which the complaint is based; 

(7)  Consumer's place of residence at the time the goods or services were ordered; 

(8)  Communication  method  by  which  the  goods  or  services  were  offered  and 

communication method by which the order was made; 

(9) 

If  applicable,  where  the  trader's  offer  was  made  or  the  goods  or  services 
delivered or supposed to be delivered out of the operations of a branch, agency 
or  other  establishment,  the  place  where  that  branch,  agency  or  other 
establishment is situated; 

(10)  Language of the contract; 

(11)  ADR entities the trader committed to use in accordance with Article 10(1) of 
Directive  …./…/EU[Office  of  Publications  please  insert  number  of  Directive 
of the European Parliament and of the Council on alternative dispute resolution 
for  consumer  disputes  and  amending  Directive  2009/22/EC  (Directive  on 
consumer ADR)], if known. 

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LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

Regulation on online dispute resolution for consumer disputes. The budgetary impact will 
be  addressed  by  redeployment  for  the  years  2012  and  2013.  The  action  is  part  of  the 
Consumers 2020 program for the period 2014-2020. 

1.2. 

Policy area(s) concerned in the ABM/ABB structure19  

Consumers 

1.3. 

Nature of the proposal/initiative  

√ The proposal/initiative relates to a new action  

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action20  

(cid:133) 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  

Within  heading  1a  "Competitiveness  for  Growth  and  Employment",  the  proposal  aims  at 
creating  an  EU-wide  Online  Dispute  Resolution  system  for  cross-border  online  disputes 
between consumers and traders.  

1.4.2. 

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

Specific objective No.. 

Creation  of  an  EU-wide  Online  Dispute  Resolution  IT  system  for  cross-border  online 
disputes between consumers and traders.  

ABM/ABB activity(ies) concerned 

Consumers 

1.4.3.  Expected result(s) and impact 

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

Consumers and businesses across Europe will have a simple, quick and low cost means to 
solve disputes that arise after an online cross-border transaction. Consumers will be able to 

19 
20 

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

EN 

23 

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seek  redress  and  get  compensated,  while  businesses  will  maintain  their  businesses' 
reputation and avoid high litigation costs. 

1.4.4. 

Indicators of results and impact  

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

– 

– 

– 

All  ADR  entities  are  to  be  linked  to  the  ODR  platform  and  use  it  when  the  ODR 
platform becomes operational at the beginning of 2015.  

Increase  in  the  number  of  consumers  who  are  willing  to  buy  online  from  another 
Member State by 20% in 2020  

Increase in the number of businesses that are willing to sell online in other Member 
States by 10% in 2020. 

1.5. 

Grounds for the proposal/initiative  

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

Articles 114 and 169 of the Treaty on the Functioning of the European Union 

Consumers  and  businesses  will  have  a  simple,  quick  and  low  cost  way  to  resolve  their 
disputes  on  cross-border  online  transactions  using  out-of-court  online  dispute  resolution 
means.  

1.5.2.  Added value of EU involvement 

The  lack  of  efficient  means  of  resolving  disputes  affects  consumers'  confidence  in 
shopping across borders. Both businesses and consumers clearly state that concerns about 
potential  redress  problems  in  another  Member  State  discourage  them  from  selling  and 
buying  across  borders  and  thus  from  fully  reaping  the  potential  benefits  of  the  Internal 
Market. This situation indicates that particular attention needs to be paid to generating the 
confidence  of  consumers  in  the  Internal  Market  and  to  ensuring  a  level  playing  field  for 
businesses across Member States.  

Despite  the  low  level  of  current  cross-border  e-commerce  transactions,  there  is  a  rapidly 
increasing  trend  of  the  digital  retail  market  within  the  Member  States.  Thus,  ensuring 
simple,  low-cost  and  effective  means  of  out-of-court  redress  is  even  more  important  for 
consumers and traders in order to engage in online transactions across border. Any action 
at  Member  State  level  will  not  lead  to  the  establishment  of  an  EU-wide  online  dispute 
resolution  which,  as  indicated  in  the  Digital  Agenda,  is  an  essential  tool  to  promote  e-
commerce.  

The  objectives  pursued  can  be  better  achieved  by  measures  at  EU  level  by  reason  of  its 
effects and scale. A clear advantage in the development of ODR at EU level is the effective 
and adequate treatment of consumer disputes linked to online cross-border transactions. 

Consumers will have a quick, inexpensive and simple way at their disposal to settle their 
disputes with traders irrespective of the market sector and the amount at stake. A large part 
of consumers do not have a full trust in the digital Internal Market, despite the numerous 
benefits that it offers, such as access to a wider choice of products and services; in about 
half of the Member States more than half of the products searched for on the internet could 

EN 

24 

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only  be  found  online  in  another  country.  Finally,  more  effective  ODR  in  the  Internal 
Market will reduce consumer detriment (now accounting for 0.02% of EU GDP) and allow 
consumers  to  make  significant  savings  in  online  transactions  which  can  be  used  to 
purchase  extra  goods  and  services  in  the  Internal  Market.  Moreover,  traders  will  have 
equal possibilities in dealing with consumer disputes across the EU, thus ensuring a level 
playing field.  

Unilateral actions at Member State level cannot sufficiently provide consumer and traders 
with  the  benefits  mentioned  above.  On  the  contrary,  uncoordinated  efforts  by  Member 
States  are  likely  to  result  in  unequal  treatment  for  consumers  and  traders  in  the  Internal 
Market and create diverging levels of consumer redress in the EU. Action at EU level in 
this field is supported by the vast majority of stakeholders. 

Boosting  the  confidence  of  market  actors,  businesses  and  citizens  alike,  is  essential  to 
improve  Europe's  competitiveness.  A  well  functioning  Single  Market  encompassing  500 
million  consumers,  whose  spending  accounts  for  56%  of  EU  GDP,  and  more  than  21 
million  businesses  is  the  basis  for  delivering  smart,  sustainable  and  inclusive  growth,  in 
line with the objectives of the Europe 2020 Strategy.  

1.5.3.  Lessons learned from similar experiences in the past 

There is currently no IT system at EU level that deals with the online resolution of disputes 
between  consumers  and  traders  regarding  cross-border  online  transactions.  However,  a 
number  of  IT  tools  that  connect  various  actors  across  the  different  Member  States  are 
already in place. The new IT tool will be based largely on those tools. The more relevant 
ones are the IMI IT-tool, the ECC IT-tool and the SOLVIT IT-tool. 

1.5.4.  Coherence and possible synergy with other relevant instruments 

The  Regulation  on  ODR  is  based  on  the  proposal  for  a  Directive  on  alternative  dispute 
resolution for consumer disputes (Directive on consumer ADR). 

1.6. 

Duration and financial impact  

√ Proposal/initiative of limited duration  

–  √  Proposal/initiative in effect from 2012 to 2020. 

–  √ Financial impact from 2012 to 2020.  

Proposal/initiative of unlimited duration 

–  Implementation with a start-up period from 2012 to 2014, 

–  followed by full-scale operation. 

1.7.  Management mode(s) envisaged21  

√ Centralised direct management by the Commission  

21 

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 

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25 

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

–  (cid:133)  executive agencies  

–  (cid:133)  bodies set up by the Communities22  

–  (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  

No comments. 

22 

As referred to in Article 185 of the Financial Regulation. 

EN 

26 

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2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

Every three years and for the first time no later than five years after the entry into force of 
this Regulation the Commission will publish a report on the application of the Regulation. 
The report will be accompanied, if needed, by proposals for adaptations to the Regulation. 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

The  budget  implementation  covers  a  feasibility  study  and  the  development  of  an  IT 
platform for ODR. The main risks are the following: 

The  "Directive  on  alternative  dispute  resolution  for  consumer  disputes  (Directive  on 
consumer ADR)" is the basis for the ODR Regulation, as the ODR platform will include 
the national Alternative Dispute Resolution systems that will be notified according to the 
Directive.  Therefore,  an  incomplete  or  late  transposition  of  the  Directive  on  consumer 
ADR will affect the effective functioning of the EU Online Dispute Resolution system. 

Even though the Commission runs a number of IT tools, the ODR platform will be one of 
the tools with the biggest number of actors connected and with applications that will allow 
a  tailored  approach  to  the  needs  of  its  actors.  Technical  difficulties  that  delay  the 
development of the platform are a possible risk. 

2.2.2.  Control method(s) envisaged  

The budget will be implemented by centralised direct management. 

The  Commission  will  monitor  the  analysis,  programming  and  testing  phase  of  the 
development of the IT tool. The Unit responsible for Information Systems in DG SANCO 
has wide experience in managing IT tools (e.g. ECC tool, CPCS, RAPEX), some of which 
present  similarities  to  the  ODR  platform  (the  ECC  tool).  This  past  experience  will  allow 
the timely and effective reaction to possible problems. In addition, the feasibility study that 
will be carried out in 2012 will help identify possible risks and technical difficulties, thus 
enabling  the  smooth  development  of  the  ODR  platform.  DIGIT  and  DGT  will  be  also 
consulted for certain technical aspects (e.g. automatic translation machine).  

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

In  addition  to  the  application  of  all  regulatory  control  mechanisms,  DG  SANCO  will 
devise an anti-fraud strategy in line with the Commission's new anti-fraud strategy (CAFS) 
adopted  on  24  June  2011  in  order  to  ensure  inter  alia  that  its  internal  anti-fraud  related 
controls are fully aligned with the CASF and that its fraud risk management approach is 
geared to identify fraud risk areas and adequate responses.  

EN 

27 

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The  Commission  respects  the  provisions  of  the  financial  regulation  to  conduct  the 
procurement  of  the  IT  hard-,  software  and  related  services;  for  all  contracts  signed  the 
provisions relating to audits and checks by Court of Auditors and OLAF apply. 

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3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1. 

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………………………...……….] 

Diff./non-
diff 
(23) 

from 
EFTA24 
countries 

from 
candidate 
countries25 

from third 
countries 

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

Heading of 
multiannual 
financial 
framework 

1A 

17.020200 

Diff. 

YES 

NO 

NO 

NO 

•  New budget lines requested: Not Applicable 

In order of multiannual financial framework headings and budget lines. 

Heading of 
multiannual 
financial 
framework 

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  

[XX.YY.YY.YY] 

YES/ 
NO 

YES/ 
NO 

YES/ 
NO 

YES/ 
NO 

23 
24 
25 

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

EN 

29 

   EN 

 
 
 
 
                                                 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial 
framework:  

Number 
3 

Competitiveness for Growth and Employment 

EUR million (to 3 decimal places) 

DG: Health and Consumers 

(cid:121) Operational appropriations  

Number of budget line: 17.020200 

Number of budget line  

Commitments 

Payments 

(1) 

(2) 

Commitments 

(1a) 

Payments 

(2a) 

Appropriations of an administrative nature financed  
from the envelope for specific programmes26 

Number of budget line  

TOTAL appropriations 
for DG Health and Consumers 

Commitments 

Payments 

(3) 

=1+1a 
+3 

=2+2a 

+3 

Year 
2012 

Year 
2013 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

TOTAL 

0,150 

1,000 

1,000 

0,300 

0,300 

0,300 

0,300 

0,300 

0,300 

0,150 

1,000 

1,000 

0,300 

0,300 

0,300 

0,300 

0,300 

0,300 

3,95 

3,95 

0,150 

1,000 

1,000 

0,300 

0,300 

0,300 

0,300 

0,300 

0,300 

3,95 

0,150 

1,000 

1,000 

0,300 

0,300 

0,300 

0,300 

0,300 

0,300 

3,95 

26 

EN 

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. 

30 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

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

(4) 

(5) 

(6) 

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

Commitments 

=4+ 6 

0,150 

Payments 

=5+ 6 

0,150 

1,0 

1,0 

1,0 

1,0 

0,3 

0,3 

0,3 

0,3 

0,3 

0,3 

0,3 

0,3 

3,95 

3,95 

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 for specific programmes  

(4) 

(5) 

(6) 

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

Commitments 

=4+ 6 

Payments 

=5+ 6 

EN 

31 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial 
framework:  

5 

" Administrative expenditure " 

DG: <Health and Consumers> 

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

Year 
2012 

Year 
2013 

0,318 

0,318 

TOTAL DG <Health and Consumes.>  Appropriations  

0,318 

0,318 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

EUR million (to 3 decimal places) 

TOTAL 

0,636 

0,636 

0,636 

EUR million (to 3 decimal places) 

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

Year 
2012 

Year 
2013 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

TOTAL 

Commitments 

4,586 

4,586 

4,586 

4,586 

4,586 

4,586 

4,586 

4,586 

4,586 

4,586 

Payments 

4,586 

4,586 

4,586 

4,586 

4,586 

4,586 

4,586 

4,586 

4,586 

4,586 

EN 

32 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.2.2.  Estimated impact on operational appropriations  

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

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

Commitment appropriations in EUR million (to 3 decimal places) 

Year 
2012 

Year 
2013 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

s
t
u
p
t
u
o
f
o

s
t
u
p
t
u
o
f
o

OUTPUTS 

s
t
u
p
t
u
o
f
o

s
t
u
p
t
u
o
f
o

r
e
b
m
Cost  N
u

r
e
b
m
Cost  N
u

r
e
b
m
Cost  N
u

r
e
b
m
Cost  N
u

Cost 

s
t
u
p
t
u
o
f
o

r
e
b
m
u
N

s
t
u
p
t
u
o
f
o

s
t
u
p
t
u
o
f
o

s
t
u
p
t
u
o
f
o

r
e
b
Co
m
st   N
u

r
e
b
m
Cost  N
u

r
e
b
m
Cost  N
u

Cost 

1,0 

1,0 

TOTAL 

Total 
num
ber 
of 
outp
uts 

Total 

cost 

 1 

2,0 

0,3 

0,3 

0,3 

0.3 

0,3 

0,3 

1  

 1,8 

Indicate 
objectives 
and 
outputs 

Averag
e cost 

Type of 
output 

of the 
output 

SPECIFIC OBJECTIVE  
No 1 

 - Output 

IT platform 

- Output 

IT  
platform 
maintenance 

s
t
u
p
t
u
o
f
o

r
e
b
m
u
N

1 

1 

EN 

33 

EN 

 
  
  
  
 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
 
 
  
  
 
 
 
 
 
 
 
 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
1 

0,150 

 1 

 0,150 

- Output 

Feasibility 
study  

Sub-total for specific objective 
N°1 

SPECIFIC OBJECTIVE No 2 

- Output 

Sub-total for specific 
objective N°2 

TOTAL COST 

0,150 

1,0 

1,0 

0,3 

0,3 

0,3 

0,3 

0,3 

0,3 

3,95  

EN 

34 

EN 

 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
 
 
 
 
 
 
  
 
 
  
  
 
 
 
 
 
 
 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
  
  
  
  
  
  
  
  
 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

–  √  The  proposal/initiative  does  not 

require 

the  use  of  administrative 

appropriations  

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

explained below: 

EUR million (to 3 decimal places) 

Year 
2012 

Year 
2013 

Year  
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

TOTAL 

0,318 

0,318 

0,636 

0, 030 

0,020 

0,030 

0,010 

0,010 

0,010 

0,010 

0,010 

0,130 

0, 348 

0,020 

0,030 

0,010 

0,010 

0,010 

0,010 

0,010 

0,448 

HEADING 5 
of the 
multiannual 
financial 
framework 

Human 
resources  

Other 
administrative 
expenditure  

Subtotal 
HEADING 5 
of the multiannual 
financial 
framework  

Outside 
HEADING 527 
of the multiannual 
financial 
framework  

Human 
resources  

Other 
expenditure  
of 
administrative 
nature 

an 

Subtotal  
outside HEADING 
5 
of the multiannual 
financial 
framework  

27 

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 

35 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
TOTAL 

0,318 

0,348 

0,020 

0,030 

0,010 

0,010 

0,010 

0,010 

0,010 

4,798 

EN 

36 

   EN 

 
 
3.2.3.2.  Estimated requirements of human resources  

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

–  √  The  proposal/initiative  requires  the  use  of  human  resources,  as  explained 

below28: 

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

Year 
2012 

Year 
2013 

Year 
N 

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

17 01 01 01 (Headquarters and 
Commission’s Representation Offices)  

2 

2 

(0,254) 

(0,254) 

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)29 

17 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 30 

- at 
Headquarters31 

- 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 

1 

1 

(0,064) 

(0,064) 

3 

3 

(0,318) 

(0,318) 

XX is the policy area or budget title concerned. 

Description of tasks to be carried out: 

Officials and temporary agents 

Development, maintenance and update of the Online Dispute Resolution IT system. 

External personnel 

N/A 

28 

29 

30 
31 

The budgetary impact will be addressed by redeployment in years 2012 and 2013. 2014 onwards, the 
human resources needs are covered by the Consumers 2020 program. 
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 

37 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
The human resources required will be met by staff from the DG who are already assigned to 
the management of the action and have been redeployed within the DG, together if necessary 
with  any  additional  allocation  which  may  be  granted  to  the  managing  DG  under  the  annual 
constraints.
allocation 

budgetary 

procedure 

light 

and 

the 

of 

in 

EN 

38 

   EN 

 
3.2.4.  Compatibility with the current multiannual financial framework  

–  √  Proposal/initiative 

is  compatible  with  both  2007-2013  and  2014-2020 

multiannual financial frameworks. 

–  (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 framework32. 

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 
cofinanced  

appropriations 

32 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

39 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.3. 

Estimated impact on revenue  

–  √  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 3 decimal places) 

Impact of the proposal/initiative33 

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) 

Budget revenue line: 

Appropriations 
available for the 
ongoing budget 
year 

Article …………. 

5. 

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

………………………………………………………………………………………………………….. 

Specify the method for calculating the impact on revenue. 

………………………………………………………………………………………………………….. 

33 

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 

40 

   EN