Proposal for a COUNCIL DECISION on the conclusion, on behalf of the European Union, of the Food Assistance Convention
Date: 2012-07-06
Institutions: European Commission
Subjects: agricultural surplus, food aid, international convention, least-developed country

EUROPEAN COMMISSION 

Brussels, 6.7.2012  
COM(2012) 378 final 

2012/0183 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the conclusion, on behalf of the European Union, of the Food Assistance Convention

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EXPLANATORY MEMORANDUM 

1) Background 

The Food Aid Convention (FAC 1999) is a multilateral agreement which came originally into 
effect in the 1960s as an instrument for a coordinated and acceptable disposal of agricultural 
surpluses  from  developed  countries  to  developing  countries  in  need.  The  FAC  1999  was 
initially to remain in force until 30 June 2002 and has been extended five times, with the latest 
extension running until 30 June 2012. 

On 14 December 2010, the Parties to the FAC 1999 - the USA, Canada, Japan, Switzerland, 
Australia  and  the  EU  -  agreed  to  negotiate  a  new  convention  that  would  aim  at  providing 
appropriate and effective food assistance to vulnerable populations, based on identified needs.  

On the basis of the recommendation submitted by the Commission to the Council, the Council 
authorised the Commission to open negotiations for a new Food Assistance Convention. 

On 25 April 2012 the negotiations were successfully completed. 

The  Commission  presented  on  xxx  a  proposal  for  a  Council  Decision  on  the  signing,  on 
behalf of the European Union, of the Food Assistance Convention, subject to its conclusion at 
a later date. 

2) Nature of the Food Assistance Convention (FAC 2012) 

The  FAC  2012  reflects  a  modernised  approach  to  food  assistance.  It  aims  at  responding  to 
food and nutrition needs of vulnerable populations in an effective and efficient manner, going 
beyond  the  mere  provision  of  food  aid,  in  keeping  with  the  EU's  Humanitarian  Food 
Assistance Policy). Other key elements are improved access to and consumption of adequate, 
safe  and  nutritious  food  on  the  basis  of  proper  needs  analysis,  an  approach  based  on 
(humanitarian)  principles  and  full  respect  for  WTO  obligations.  The  Convention  will  be 
implemented by means of annual commitments in kind or in cash to be made by Parties.  

The  FAC  2012  will  enter  into  force  on  1  January  2013  if,  by  30  November  2012,  five 
Signatories have ratified the Convention. The Convention will be open for signature until 31 
December 2012; it will also be open for signature and ratification by individual EU Member 
States, making commitments stemming directly from their respective budgets.  

There  is  likely  to  be  a  time  gap  between  the  expiry  date  of  the  current  FAC  1999  (30  June 
2012)  and  the  likely  date  of  entry  into  force  of  the  Food  Assistance  Convention  (1  January 
2013).  The  question  of  a  possible  further  extension  of  the  FAC  1999  will  be  formally 
addressed  by  the  Food  Aid  Committee  at  its  meeting  in  June  2012.  A  proposal  from  the 
Commission to the Council authorising the Commission, on behalf of the EU, not to support a 
further extension of the FAC 1999 is pending before the Council.  

3) Procedure 

The  Commission  requests  therefore  the  Council  to  approve  the  conclusion  of  the  Food 
Assistance Convention, on behalf of the European Union. 

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2012/0183 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the conclusion, on behalf of the European Union, of the Food Assistance Convention 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 214(4) in conjunction with Article 218(6)(a), thereof, 

Having regard to the proposal from the European Commission, 

Having regard to the consent of the European Parliament1,  

Whereas: 

(1) 

(2) 

(3) 

The Union is a party to the Food Aid Convention 1999 ("FAC 1999"), which should 
no longer be in force as from 1 July 2012. 

In accordance with Council Decision XXX of [...]2, the Food Assistance Convention 
was signed on […], subject to its conclusion at a later date. 

It is in the interest of the Union to be a Party to the Convention as the latter would help 
to  achieve  humanitarian  aid  objectives  referred  to  in  Article  214(1)  of  the  Treaty  on 
the Functioning of the European Union. 

(4) 

The agreement should be approved on behalf of the European Union, 

HAS ADOPTED THIS DECISION:  

Article 1 

The Food Assistance Convention is hereby approved on behalf of the Union.  

The text of the Convention is attached to this Decision. 

Article 2 

The Commission shall decide on the annual commitment to be made on behalf of the Union in 
accordance  with  Article  5  of  the  Convention  and  communicate  this  commitment  to  the 
Secretariat of the Committee. 

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2 

OJ C , , p. . 
OJ L , , p. . 

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The Commission shall provide annual reports and participate in information sharing on behalf 
of the Union in accordance with Article 6 of the Convention. 

Article 3 

Article 4 

The President of the Council shall designate the person empowered to proceed, on behalf of 
the European Union, to the deposit of the instrument of approval provided for in Article 12 of 
the  Convention,  in  order  to  express  the  consent  of  the  European  Union  to  be  bound  by  the 
Convention. 

This Decision shall enter into force on the day of its adoption3. 

Article 5 

Done at Brussels,  

For the Council 
The President 

3 

The date of entry into force of the Agreement will be published in the Official Journal of the European 
Union by the General Secretariat of the Council. 

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ANNEX  

FOOD ASSISTANCE CONVENTION 

PREAMBLE 

The Parties to this Convention, 

Confirming  their  continued  commitment  to  the  still  valid  objectives  of  the  Food  Aid 
Convention,  1999,  to  contribute  to  world  food  security,  and  to  improve  the  ability  of  the 
international  community  to  respond  to  emergency  food  situations  and  other  food  needs  of 
developing countries; 

Seeking to improve the effectiveness, efficiency, and quality of food assistance in preserving 
the  lives  and  alleviating  the  suffering  of  the  most  vulnerable  populations,  especially  in 
emergency  situations,  by  strengthening  international  cooperation  and  coordination,  in 
particular among the Parties and stakeholders; 

Recognising that vulnerable populations have particular food and nutritional needs; 

Affirming that States have the primary responsibility for their own national food security, and 
therefore  for  the  progressive  realisation  of  the  right to  adequate  food  as  set  out  in  the  Food 
and  Agriculture  Organization  (FAO)  Voluntary  Guidelines  to  support  the  Progressive 
Realization of the Right to Adequate Food in the Context of National Food Security adopted 
by the FAO Council in November 2004; 

Encouraging  governments  of  food  insecure  countries  to  develop  and  implement  country-
owned strategies that address the root causes of food insecurity through long-term measures, 
and that ensure proper linkages between relief, recovery and development activities; 

Referring  to  international  humanitarian  law  and  the  fundamental  humanitarian  principles  of 
humanity, impartiality, neutrality and independence;  

Referring  to  the  Principles  and  Good  Practice  of  Humanitarian  Donorship,  endorsed  in 
Stockholm on 17 June 2003; 

Recognising  that  the  Parties  have  their  own  policies  related  to  providing  food  assistance  in 
emergency and non-emergency situations; 

Considering the World Food Summit Plan of Action adopted in Rome in 1996, as well as the 
Five  Rome  Principles  for  Sustainable  Global  Food  Security  identified  in  the  Declaration  of 
the  World  Summit  on  Food  Security  of  2009,  in  particular  the  commitment  to  achieve  food 
security  in  all  countries  and  the  ongoing  effort  to  reduce  poverty  and  eradicate  hunger  that 
was  reaffirmed  by  the  United  Nations  General  Assembly  in  the  United  Nations  Millennium 
Declaration; 

Considering the commitments made by donor and recipient countries to improve development 
aid  effectiveness  by  applying  the  principles  of  the  Organisation  for  Economic  Cooperation 
and Development’s (OECD) Paris Declaration on Aid Effectiveness adopted in 2005; 

Determined to act in accordance with their World Trade Organization (WTO) obligations, in 
particular any WTO disciplines on food aid;  

Have agreed as follows: 

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Article 1 

Objectives 

The objectives of this Convention are to save lives, reduce hunger, improve food security, and 
improve the nutritional status of the most vulnerable populations by: 

(a) 

(b) 

(c) 

addressing the food and nutritional needs of the most vulnerable populations through 
commitments made by the Parties to provide food assistance that improves access to, 
and consumption of, adequate, safe and nutritious food; 

ensuring  that  food  assistance  provided  to  the  most  vulnerable  populations  is 
appropriate,  timely,  effective,  efficient,  and  based  on  needs  and  shared  principles; 
and 

facilitating  information-sharing,  cooperation,  and  coordination,  and  providing  a 
forum for discussion in order to improve the effective, efficient, and coherent use of 
the Parties’ resources to respond to needs. 

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Article 2 

Principles of Food Assistance 

The  Parties,  in providing and delivering  food assistance to the most vulnerable populations, 
should always adhere to the following principles: 

(a) 

General principles of food assistance: 

(i) 

provide  food  assistance  only  when  it  is  the  most  effective  and  appropriate 
means  of  addressing  the  food  or  nutrition  needs  of  the  most  vulnerable 
populations; 

(ii)  provide  food  assistance,  taking  into  account  the  long-term  rehabilitation  and 
development objectives of the recipient countries, while supporting the broader 
goal of achieving food security, whenever appropriate; 

(iii)  provide  food  assistance  in  a  manner  that  protects  livelihoods  and  strengthens 
the  self-reliance  and  resilience  of  vulnerable  populations,  and 
local 
communities,  and  that  prevents,  prepares  for,  mitigates  and  responds  to  food 
security crises; 

(iv)  provide  food  assistance  in  such  a  way  as  to  avoid  dependency  and  minimise 

direct and indirect negative impacts on beneficiaries and others; 

(v)  provide  food  assistance  in  a  way  that  does  not  adversely  affect  local 
production,  market  conditions,  marketing  structures  and  commercial  trade  or 
the price of essential goods for vulnerable populations; 

(vi)  provide food aid in fully grant form, whenever possible; 

(b) 

Principles of food assistance effectiveness: 

(i) 

in  order  to  increase  the  amount  available  to  spend  on  food  assistance  for 
vulnerable populations and to promote efficiency, minimise associated costs as 
much as possible; 

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(ii) 

actively  seek  to  cooperate,  coordinate  and  share  information  to  improve  the 
effectiveness  and  efficiency  of  food  assistance  programs,  and  the  coherence 
between food assistance and related policy areas and instruments; 

(iii)  purchase  food  and  other  components  of  food  assistance  locally  or  regionally, 

whenever possible and appropriate; 

(iv) 

increasingly provide untied cash-based food assistance, whenever possible and 
based on needs; 

(v)  only  monetise  food  aid  where  there  is  an  identified  need  to  do  so,  and  to 
improve  the  food  security  of  vulnerable  populations;  base  monetisation  on 
transparent and objective market analysis and avoid commercial displacement;  

(vi)  ensure  food  assistance  is  not  used  to  promote  the  market  development 

objectives of the Parties; 

(vii)  avoid  re-exportation  of  food  aid  to  the  maximum  extent  possible  except  to 
prevent  or  respond  to  an  emergency  situation;  only  re-export  food  aid  in  a 
manner that avoids commercial displacement; 

(viii)  acknowledge,  where  appropriate, 

that  relevant  authorities  or  relevant 
stakeholders  have  the  primary  role  and  responsibility  for  the  organisation, 
coordination and implementation of food assistance operations; 

(c) 

Principles on the provision of food assistance: 

(i) 

(ii) 

target  food  assistance  according  to  the  food  and  nutrition  needs  of  the  most 
vulnerable populations; 

involve  beneficiaries  in  the  assessment  of  their  needs  and  in  the  design, 
implementation, monitoring and evaluation of food assistance, as well as other 
relevant stakeholders, where appropriate; 

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(iii)  provide food assistance that meets applicable safety and quality standards, and 
that  respects  cultural  and  local  dietary  habits  and  the  nutritional  needs  of  the 
beneficiaries; 

(iv)  uphold the dignity of beneficiaries of food assistance; 

(d) 

Principles of food assistance accountability: 

(i) 

take  specific  and  appropriate  measures  to  strengthen  the  accountability  and 
transparency of food assistance policies, programs, and operations; 

(ii)  monitor,  evaluate,  and  communicate,  on  a  regular  and  transparent  basis,  the 
outcomes  and  the  impact  of  food  assistance  activities  in  order  to  further 
develop best practices and maximise their effectiveness. 

Article 3 

Relationship with WTO Agreements 

Nothing  in  this  Convention  shall  derogate  from  any  existing  or  future  WTO  obligations 
applicable between Parties. In case of conflict between such obligations and this Convention, 
the former shall prevail. Nothing in this Convention will prejudice the positions that a Party 
may adopt in any negotiations in the WTO. 

Article 4 

Eligible Country, Eligible Vulnerable Populations, Eligible Products, Eligible Activities, 
and Associated Costs 

1. 

2. 

“Eligible  Country”  means  any  country  on  the  OECD’s  Development  Assistance 
Committee (DAC) list of Official Development Assistance Recipients, or any other 
country identified in the Rules of Procedure and Implementation. 

“Eligible  Vulnerable  Populations”  means  vulnerable  populations  in  any  Eligible 
Country. 

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3. 

4. 

(a) 

(b) 

(c) 

 “Eligible  Products”  means  products  for  human  consumption  that  comply  with 
relevant  national  policies  and  legislation  of  the  country  of  operation,  including,  as 
appropriate,  applicable  international  food  safety  and  quality  standards  as  well  as 
products  that  contribute  to  meeting  food  needs  and  protecting  livelihoods  in 
emergency and early recovery situations. The list of Eligible Products is provided in 
the Rules of Procedure and Implementation. 

Eligible  Activities  for  the  fulfilment  of  a  Party’s  minimum  annual  commitment  in 
accordance with Article 5 shall be consistent with Article 1, and shall include at least 
the following activities: 

the provision and distribution of Eligible Products;  

the provision of cash and vouchers; and 

nutritional interventions. 

These Eligible Activities are further elaborated in the Rules of Procedure and Implementation. 

5. 
Associated Costs eligible for the fulfilment of a Party’s minimum annual commitment 
according to Article 5 shall be consistent with Article 1, and shall be limited to costs directly 
linked to the provision of Eligible Activities, as further elaborated in the Rules of Procedure 
and Implementation. 

Article 5 

Commitment 

1. 

2. 

To  meet  the  objectives  of  this  Convention,  each  Party  agrees  to  make  an  annual 
commitment of food assistance, set in accordance with its laws and regulations. Each 
Party’s commitment is referred to as its “minimum annual commitment”.  

The minimum annual commitment shall be expressed in terms of value or quantity as 
further  elaborated  in  the  Rules  of  Procedure  and  Implementation.  A  Party  may 
choose to express either a minimum value or a minimum quantity, or a combination 
of both for its commitment.  

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3. 

4. 

5. 

6. 

7. 

8. 

9. 

10. 

Minimum  annual  commitments  in  terms  of  value  can  be  expressed  in  the  currency 
chosen  by  the  Party.  Minimum  annual  commitments  in  terms  of  quantity  can  be 
expressed in tonnes of grain equivalent or other units of measure provided under the 
Rules of Procedure and Implementation. 

Each Party shall notify the Secretariat of its initial minimum annual commitment as 
soon as possible and no later than six months following the entry into force of this 
Convention, or within three months of its accession to this Convention. 

Each  Party  shall  notify  the  Secretariat  of  any  change  to  its  minimum  annual 
commitment for subsequent years no later than the fifteenth day of December of the 
year preceding the change. 

The Secretariat shall communicate the updated minimum annual commitments to all 
of the Parties as soon as possible and no later than the first day of January of each 
year. 

Contributions made to meet minimum annual commitments should be made in fully 
grant  form  whenever  possible.  With  respect  to  food  assistance  counted  towards  a 
Party’s  commitment,  not  less  than  80  per  cent  provided  to  Eligible  Countries  and 
Eligible Vulnerable Populations, as further elaborated in the Rules of Procedure and 
Implementation, shall be in fully grant form. To the extent possible, the Parties shall 
seek progressively to exceed this percentage. Contributions that are not made in fully 
grant form should be accounted for in each Party’s annual report. 

The  Parties  shall  undertake  to  conduct  all  food  assistance  transactions  under  this 
Convention in such a way as to avoid harmful interference with normal patterns of 
production and international commercial trade.  

The  Parties  shall  ensure  that  the  provision  of  food  assistance  is  not  tied  directly  or 
indirectly, formally or informally, explicitly or implicitly, to commercial exports of 
agricultural products or other goods and services to recipient countries.  

To meet its minimum annual commitment, whether expressed in value or quantity, a 
Party  shall  make  contributions  that  are  consistent  with  this  Convention  and  that 
consist of funding for Eligible Products and Activities, and Associated Costs, as set 
forth  in  Article 4,  and  as  further  elaborated  in  the  Rules  of  Procedure  and 
Implementation. 

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11. 

12. 

13. 

Contributions  provided  to  meet  the  minimum  annual  commitment  under  this 
Convention  may  only  be  directed  at  Eligible  Countries  or  Eligible  Vulnerable 
Populations,  as  set  forth  in  Article 4  and  as  further  elaborated  in  the  Rules  of 
Procedure and Implementation. 

The Parties’ contributions may be provided bilaterally, through intergovernmental or 
other  international  organisations,  or  through  other  food  assistance  partners,  but  not 
through other Parties. 

Each  Party  shall  make  every  effort  to  meet  its  minimum  annual  commitment.  If  a 
Party is unable to meet its minimum annual commitment for a particular year, it shall 
describe the circumstances of its failure to do so in its annual report for that year. The 
unfulfilled  amount  shall  be  added  to  the  Party’s  minimum  annual  commitment  for 
the  following  year  unless  the  Committee  established  under  Article  7  decides 
otherwise, or unless extraordinary circumstances justify not doing so.  

14. 

If a Party’s contribution exceeds its minimum annual commitment, the amount of the 
excess, but not more than five per cent of its minimum annual commitment, may be 
counted as part of the Party’s contribution for the following year. 

Article 6 

Annual Reporting and Information Sharing 

1. 

2. 

3. 

Within  ninety  days  after  the  end  of  the  calendar  year,  each  Party  shall  provide  an 
annual report, in accordance with the Rules of Procedure and Implementation, to the 
Secretariat,  detailing  how  it  met  its  minimum  annual  commitment  under  this 
Convention. 

This annual report shall contain a narrative component that may include information 
on  how  the  Party’s  food  assistance  policies,  programs  and  operations  contribute  to 
the objectives and principles of this Convention. 

The  Parties  should,  on  an  ongoing  basis,  exchange  information  on  their  food 
assistance policies and programs and the results of their evaluations of these policies 
and programs. 

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1. 

2. 

3. 

4. 

5. 

6. 

Article 7 

Food Assistance Committee 

A Food Assistance Committee (the “Committee”), consisting of all of the Parties to 
this Convention, is hereby established. 

The  Committee  shall  make  the  decisions  at  its  formal  sessions  and  perform  the 
functions  that  are  required  to  carry  out  the  provisions  of  this  Convention  in 
accordance with the principles and objectives of the Convention. 

The Committee shall adopt rules governing its proceedings; it may also adopt rules 
elaborating further the provisions of this Convention to ensure that they are properly 
implemented. Document FAC(11/12)1 – 25 April 2012 of the Food Aid Committee 
of the Food Aid Convention, 1999 shall serve as the initial Rules of Procedure and 
Implementation  for  this  Convention.  The  Committee  may  subsequently  decide  to 
modify those Rules of Procedure and Implementation. 

The Committee shall make decisions by consensus, meaning that no Party formally 
opposes  the  proposed  decision  of  the  Committee  on  a  matter  under  discussion  at  a 
formal  session.  Formal  opposition  may  occur  either  at  the  formal  session  or  within 
thirty  days  after  the  circulation  of  the  minutes  of  a  formal  session  recording  the 
proposed decisions concerned. 

For each year, the Secretariat shall prepare a summary report for the Committee, to 
be  drafted,  adopted  and  published,  in  accordance  with  the  Rules  of  Procedure  and 
Implementation.  

The Committee should provide a forum for discussion among the Parties with respect 
to  food  assistance  matters,  such  as  the  need  to  mobilise  appropriate  and  timely 
resource  commitments  to  address  the  food  and  nutritional  needs,  especially  in 
specific emergency and crisis situations. It should facilitate information-sharing with 
and  dissemination  to  other  stakeholders,  and  should  consult  with  and  receive 
information from them to support its discussions. 

7. 

Each  Party  shall  designate  a  representative 
communications from the Secretariat. 

to  receive  notices  and  other 

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1. 

2. 

3. 

4. 

Article 8 

Chairperson and Vice-Chairperson of the Committee 

At  the  last  formal  session  held  in  each  year,  the  Committee  shall  decide  on  a 
Chairperson and a Vice-Chairperson for the following year. 

The Chairperson shall have the following duties: 

(a) 

to approve the draft agenda for each formal session or informal meeting; 

(b) 

to preside at formal sessions or informal meetings; 

(c) 

to open and close each formal session or informal meeting; 

(d) 

(e) 

to submit  the  draft  agenda to the  Committee for adoption at the beginning of 
each formal session or informal meeting; 

to  direct  discussions  and  ensure  that  the  procedures  specified  in  the  Rules  of 
Procedure and Implementation are observed; 

(f) 

to invite the Parties to speak; 

(g) 

to rule on points of order in accordance with the relevant Rules of Procedure 
and Implementation; and 

(h) 

to ask questions and announce decisions. 

If  the  Chairperson  is  absent  from  all  or  part  of  a  formal  session  or  an  informal 
meeting,  or  is  temporarily  unable  to  fill  the  office  of  Chairperson,  the  Vice-
Chairperson shall act as Chairperson. In the absence of the Chairperson and the Vice-
Chairperson, the Committee shall appoint a temporary Chairperson. 

If,  for  any  reason,  the  Chairperson  is  unable  to  continue  to  fill  the  office  of 
Chairperson,  the  Vice-Chairperson  shall  become  Chairperson  until  the  end  of  the 
year. 

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1. 

2. 

3. 

4. 

5. 

6. 

7. 

1. 

2. 

Article 9 

Formal Sessions and Informal Meetings 

The  Committee  shall  hold  formal  sessions  and  informal  meetings  according  to  the 
Rules of Procedure and Implementation.  

The Committee shall hold at least one formal session a year. 

The  Committee  shall  hold  additional  formal  sessions  and  informal  meetings  at  the 
request of the Chairperson or at the request of at least three of the Parties. 

The Committee may invite observers and relevant stakeholders who wish to discuss 
particular  food  assistance  related  matters  to  attend  its  formal  sessions  or  informal 
meetings in accordance with the Rules of Procedure and Implementation. 

The Committee shall meet at a location determined in accordance with the Rules of 
Procedure and Implementation. 

The  agenda  for  formal  sessions  and  informal  meetings  shall  be  developed  in 
accordance with the Rules of Procedure and Implementation. 

The minutes of a formal session, which shall include any proposed decisions of the 
Committee, shall be circulated within thirty days after the formal session. 

Article 10 

Secretariat 

The  Committee shall designate a Secretariat and request its services, in accordance 
with the Rules of Procedure and Implementation. The Committee shall request of the 
International Grains Council (IGC) that its Secretariat act as the initial Secretariat of 
the Committee.  

The  Secretariat  shall  perform  the  duties  that  are  set  out  in  this  Convention  and  the 
Rules of Procedure and Implementation, perform any administrative duties, including 
the  processing  and  distribution  of  documents  and  reports,  and  carry  out  other 
functions identified by the Committee.  

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Article 11 

Resolution of Disputes 

The  Committee  shall  seek  to  resolve  any  dispute  among  the  Parties  concerning  the 
interpretation  or  implementation  of  this  Convention  or  the  Rules  of  Procedure  and 
Implementation,  including  any  claim  of  failure  to  perform  the  obligations  set  out  in  this 
Convention.  

Article 12 

Signature and Ratification, Acceptance, or Approval 

This Convention shall be open for signature by Argentina, Australia, the Republic of Austria, 
the  Kingdom  of  Belgium,  the  Republic  of  Bulgaria,  Canada,  the  Republic  of  Croatia,  the 
Republic of Cyprus, the Czech Republic, the Kingdom of Denmark, the European Union, the 
Republic  of  Estonia,  the  Republic  of  Finland, the  French  Republic,  the  Federal  Republic  of 
Germany, the Hellenic Republic, Hungary, Ireland, the Italian Republic, Japan, the Republic 
of Latvia, the Republic of Lithuania, the Grand Duchy of Luxembourg, the Republic of Malta, 
the  Kingdom  of  the  Netherlands,  the  Kingdom  of  Norway,  the  Republic  of  Poland,  the 
Portuguese Republic, Romania, the Slovak Republic, the Republic of Slovenia, the Kingdom 
of  Spain,  the  Kingdom  of  Sweden,  the  Swiss  Confederation,  the  United  Kingdom  of  Great 
Britain  and  Northern  Ireland,  and  the  United  States  of  America,  at  United  Nations 
Headquarters  in  New  York  from  11 June 2012  until  31  December  2012.  This  Convention 
shall  be  subject  to  ratification,  acceptance  or  approval  by  each  Signatory.  Instruments  of 
ratification, acceptance or approval shall be deposited with the Depositary. 

Article 13 

Accession 

1. 

2. 

Any State listed in Article 12 that has not signed this Convention by the end of the 
signature period, or the European Union if it has not signed by that time, may accede 
to it at any time after that period. Instruments of accession shall be deposited with the 
Depositary. 

Once this Convention has entered into force in accordance with Article 15, it shall be 
open  for  accession  by  any  State  other  than  those  referred  to  in  Article  12  or  by  a 
Separate  Customs  Territory  possessing  full  autonomy  in  the  conduct  of  its  external 
commercial  relations  that  is  deemed  eligible  by  a  decision  of  the  Committee. 
Instruments of accession shall be deposited with the Depositary.  

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Article 14 

Notification of Provisional Application 

Any State referred to in Article 12, or the European Union, that intends to ratify, accept, or 
approve  this  Convention  or  accede  thereto,  or  any  State  or  Separate  Customs  Territory 
deemed eligible under Article 13(2) for accession by a decision of the Committee but has not 
yet deposited its instrument, may at any time deposit a notification of provisional application 
of  this  Convention  with  the  Depositary.  The  Convention  shall  apply  provisionally  for  that 
State,  Separate  Customs  Territory,  or  the  European  Union  from  the  date  of  deposit  of  its 
notification. 

Article 15 

Entry into Force 

1. 

2. 

3. 

1. 

This Convention shall enter into force on 1 January 2013 if by 30 November 2012 
five Signatories have deposited instruments of ratification, acceptance, or approval. 

If  this  Convention  does  not  enter  into  force  in  accordance  with  paragraph  1,  the 
Signatories  to  this  Convention  that  have  deposited  instruments  of  ratification, 
acceptance,  or  approval  and  States  or  the  European  Union  that  have  deposited 
instruments of accession pursuant to Article 13(1) may decide by unanimous consent 
that it shall enter into force among themselves. 

For  any  State  or  Separate  Customs  Territory,  or  the  European  Union,  that  ratifies, 
accepts,  approves,  or  accedes  to  the  Convention  after  the  Convention  enters  into 
force,  this  Convention  shall  enter  into  force  on  the  date  of  the  deposit  of  its 
instrument of ratification, approval, acceptance, or accession. 

Article 16 

Assessment and Amendment Procedure 

At  any  time  after  the  entry  into  force  of  this  Convention,  a  Party  may  propose  an 
assessment  of  the  relevance  of  this  Convention  or  propose  amendments  to  it.  Any 
proposed  amendments  shall  be  circulated  by  the  Secretariat  to  all  of  the  Parties  at 
least  six  months  in  advance  and  discussed  at  the  next  formal  session  of  the 
Committee following the end of the notice period. 

EN 

17 

   EN 

 
2. 

3. 

1. 

2. 

1. 

2. 

Proposals  for  amendment  to  this  Convention  shall  be  adopted  by  decision  of  the 
Committee.  The Secretariat  shall  communicate  to  all  of  the  Parties,  and  to  the 
Depositary,  any  proposals  for  amendment  adopted  by  the  Committee.  The 
Depositary shall circulate any adopted amendment to all Parties.  

Notification  of  acceptance  of  an  amendment  shall  be  sent  to  the  Depositary.  An 
adopted  amendment  shall  enter  into  force  for  those  Parties  having  sent  that 
notification,  ninety  days  after  the  date  on  which  the  Depositary  has  received  such 
notifications  from  not  less  than  four  fifths  of  the  number  of  Parties  to  this 
Convention on the date of adoption of the proposed amendment by the Committee. 
Such an amendment shall enter into force for any other Party ninety days after that 
Party deposits its notification with the Depositary. The Committee may decide that a 
different  threshold  be  used  for  the  number  of  notifications  required  to  trigger  the 
entry into force of a specific amendment. The Secretariat shall communicate such a 
decision to all Parties and the Depositary. 

Article 17 

Withdrawal and Termination 

Any  Party  may  withdraw  from  this  Convention  at  the  end  of  any  year  by  giving 
written notice of withdrawal to the Depositary and the Committee at least ninety days 
prior  to  the  end  of  that  year.  That  Party  shall  not  be  released  from  its  minimum 
annual commitment or reporting obligations incurred under this Convention, while it 
was a Party, that have not been discharged by the end of that year. 

At  any  time  after  the  entry  into  force  of  this  Convention,  a  Party  may  propose  the 
termination of this Convention. Such a proposal shall be communicated in writing to 
the Secretariat and shall be circulated by it to all of the Parties at least six months in 
advance of its consideration by the Committee.  

Article 18 

Depositary 

The Secretary-General of the United Nations is designated as the Depositary of this 
Convention. 

The  Depositary  shall  receive  notice  of  any  signature,  ratification,  acceptance, 
approval,  notification  of  provisional  application  of,  and  accession 
this 
Convention, and notify all Parties and Signatories of these notices. 

to, 

EN 

18 

   EN 

 
Article 19 

Authentic texts 

The originals of this Convention, of which the English and French texts are equally authentic, 
shall be deposited with the Secretary-General of the United Nations. 

IN  WITNESS  THEREOF  the  undersigned,  being  duly  authorised,  have  signed  this 
Convention. 

DONE at London, 25 April 2012. 

EN 

19 

   EN 

 
LEGISLATIVE FINANCIAL STATEMENT 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative  

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

1.3.  Nature of the proposal/initiative  

1.4.  Objective(s)  

1.5.  Grounds for the proposal/initiative  

1.6.  Duration and financial impact  

1.7.  Management method(s) envisaged  

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

2.2.  Management and control system  

2.3.  Measures to prevent fraud and irregularities  

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

3.2.  Estimated impact on expenditure  

3.2.1. Summary of estimated impact on expenditure  

3.2.2. Estimated impact on operational appropriations  

3.2.3. Estimated impact on appropriations of an administrative nature 

3.2.4. Compatibility with the current multiannual financial framework 

3.2.5. Third-party participation in financing  

3.3.  Estimated impact on revenue

EN 

20 

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LEGISLATIVE FINANCIAL STATEMENT 

INTRODUCTORY REMARKS 

The EU has been the driving force pushing for the negotiation of the Food Aid Convention 1999. This 
effort has been made in line with EU Humanitarian Food Assistance Policy, which promotes the 
most effective and efficient mix of tools to respond to a specific crisis. 

The new Convention reflects a modern approach to food assistance and has a humanitarian focus, 
envisaging  short  term  activities  of  one  year  maximum.  It  aims  at  improving  the  effectiveness  of 
food  assistance  practices  and  foresees  the  eligibility  of  a  wider  range  of  food  assistance  tools 
(including  cash  and  vouchers).  The  Convention  promotes  the  provision  of  food  assistance  that  is 
firmly needs-based, based on objectively identified needs and sensitive to local contexts. It further 
promotes  the  respect  for  humanitarian  principles,  encourages  local  and  regional  purchase  and 
reflects nutrition concerns in the context of food assistance. It further encourages partnership with 
stakeholders,  includes  adequate  monitoring  and  evaluation  tools;  encourages  sharing  of  best 
practices.  

The new Food Assistance Convention will be open for individual signature and ratification to the 
EU,  the  EU  Member  States  and  third  countries,  each  taking  commitments  stemming  from  their 
respective  budgets.  Upon  ratification  of  the  Convention,  one  becomes  a  party  and  has  to  notify  the 
secretariat about one's minimum annual commitment of food assistance, expressed in tonnage and/or 
value.  The  minimum  annual  commitment  is  flexible  and  can  be  modified  through  notification  to  the 
secretariat. 

Based on the EU's budget, a conservative approach is envisaged for the European Union's minimum 
annual commitment, i.e. an amount of EUR 200 million, which corresponds to some 80% of average 
Humanitarian  Food  Aid  Budget  Line  over  the  past  few  years.  Given  the  Convention's  humanitarian 
focus,  the  ex-post  reporting  concerns  food  assistance  activities  of  a  short-term  nature,  which  are 
supported by the EU and eligible to be counted under the Convention. In reality, the fulfilment of the 
annual  minimum  commitment  and  the  reporting  ex-post  primarily  concerns  humanitarian  food 
assistance  activities.  Only  very  specific  elements  of  food  security  operations  may  exceptionally  be 
deemed eligible under the Convention but this would have to be assessed on a case-by-case basis. 

Each year, a party has to report ex-post on the fulfilment of its annual commitment and the food 
assistance activities undertaken or supported. The Convention's secretariat draws up a report on the 
basis of the individual reporting by parties, and this report is subsequently made public. The EU will 
undertake  the  reporting  on  the  fulfilment  of  the  EU  minimum  annual  commitments  and  EU  Member 
States will do a similar individual reporting on the fulfilment of their commitment.  

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

Proposal of the Commission for a Council decision on the Signing and Conclusion of the Food 
Assistance Convention 

EN 

21 

   EN 

1.2. 

Policy area(s) concerned in the ABM/ABB structure4  

Humanitarian Aid - Food Assistance 

1.3. 

Nature of the proposal/initiative  

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

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action5  

(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  

(a) 

Giving the EU an effective voice in the wider world.  

The proposal fits in the overarching objective of "giving the EU an effective voice in the wider 
world" that is governing the Commission's annual programme of work 2012  

1.4.2. 

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

Specific objective No.. 

ABM/ABB activity(ies) concerned 

4 
5 

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

EN 

22 

   EN 

                                                 
1.4.3.  Expected result(s) and impact 

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

In  line  with  the  EU  policy  on  Humanitarian  Food  Assistance,  the  new  Food  Assistance 
Convention  encourages  the  use  of  innovative  food  assistance  tools  and  enhances  the 
effectiveness  of  food  assistance  practices,  based  on  objectively  identified  needs;  sensitive  to 
local contexts; includes adequate monitoring and evaluation tools; and encourages sharing of 
best practices of the Food Assistance Convention (FAC). 

"Predictability" lies in particular in the fact that donors who become parties to the Convention 
commit  themselves  to  a  determined  level  of  food  assistance  support  per  year.  They  are  also 
held accountable on the basis of annual report that will be made public. 

1.4.4. 

Indicators of results and impact  

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

Donors  becoming  parties  to  the  FAC  commit  themselves  to  a  determined  level  of  food 
assistance support per year; they are held accountable on the basis of annual report that will be 
made public (though no sanctions foreseen for non-fulfilment). 

1.5. 

Grounds for the proposal/initiative  

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

Ensure that the most effective and efficient food assistance is put in place and/or supported by 
main donors to respond to food and nutrition needs of the most vulnerable based on identified 
needs and with respect of fundamental principles and in compliance with WTO obligations.  

1.5.2.  Added value of EU involvement 

- The EU, one of the main humanitarian food assistance donors, has together with EU Member 
States advocated for  the  renegotiation  of the Food Aid Convention,  1999  and have been the 
main  driver  of  the  process  towards  a  modern  Food  Assistance  Convention  both  at  EU  and 
international level, in accordance with the procedure laid down in Article 218 of the TFEU; 

-  The  Food  Assistance  Convention  is  instrumental  in  allowing  the  EU  to  pursue  at 
international  level,  as  contemplated  by  Article  214(4)  TFEU,  the  advancement  of  its 
humanitarian aid policy objectives as laid down in Article 214(1) TFEU. 

- The EU involvement contributes to foster greater coherence between EU and Member States 
food assistance related activities; 

- Action at the international level, under the auspices of the Food Assistance Convention, lays 
down  the  conditions  for  greater  transparency  and  predictability  of  food  assistance  related 
actions; 

EN 

23 

   EN 

- In response to food and nutrition insecurity needs, the EU has encouraged the move from a 
merely product-based approach to a more varied approach, using a broader, more appropriate 
mix of response tools. 

-  The  EU's  actions  at  international  level,  in  the  context  of  the  Food  Assistance  Convention, 
together with other major international donors, will contribute to engage further other donors a 
view to fostering a modernised approach to food assistance. 

1.5.3.  Lessons learned from similar experiences in the past 

DG ECHO experience on the involvement of the EU in international conventions and fora on 
food assistance-related matters relate (in particular to the Food Aid Convention, 1999 to which 
the  EU  has  been  party)  led  to  the  following  lessons  being  drawn,  which  contributed  to  the 
EU's push towards a modernised international instrument to support food assistance policy: the 
clear  focus  on  meeting  in  the  most  efficient  and  effective  manner  beneficiaries'  needs  is 
confirmed to be at the forefront (as opposed to the need, in the past, of donating to dispose of 
excessive food supplies); the need to allow time for all parties to adjust existing instrument to 
reflect the new needs and try to meet them through a modernised policy approach. 

1.5.4.  Coherence and possible synergy with other relevant instruments 

Trade  and  Agriculture.  The  new  Convention  will  be  WTO  compatible  and  fosters  best 
practices that seek to minimize the distorting or harmful effects on local populations, markets 
and the broader society.  

For the time being, the secretariat of the Convention will be the International Grains Council, 
which  is  established  and  financed  by  the  Grains  Trade  Convention,  that  is  managed  by  the 
European Commission (DG AGRI).  

Where appropriate and feasible, synergies with the Food Security Thematic Programme under 
the DCI will be sought to foster longer-term solutions to food and nutrition security. 

EN 

24 

   EN 

1.6. 

Duration and financial impact  

(cid:133) Proposal/initiative of limited duration  

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

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

(cid:133) Proposal/initiative of unlimited duration 

–  Entry into force with a start-up period from 01 January 2013 if five parties have ratified by 

30 November 2012. 

–  followed by full-scale operation. 

1.7.  Management mode(s) envisaged6  

(cid:133) Centralised direct management by the Commission  

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

–  (cid:133)  executive agencies  

–  (cid:133)  bodies set up by the Communities7  

–  (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 
ICRC/IFRC) 

international  organisations  (UN  organisations  and 

the 

Comments  

The  Convention  foresees  setting  up  a  Food  Assistance  Committee,  composed  of  the  parties  to  the 
Convention, that administers the Convention and that functions as the main forum for discussions and 
exchange of information amongst parties to the Convention. 

6 

7 

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

EN 

25 

   EN 

                                                 
Commission (DG ECHO) operations are managed through CDM when implementation is ensured by 
NGOs or joint management when implementation is done through the UN organisations or 
IFRC/ICRC.

EN 

26 

   EN 

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

Article  6  of  the  Convention  foresees  annual  reporting.  The  specific  requirements  for  the 
reporting  are  detailed  in  Rules  of  Procedure  (rule  9  and  10)  that  will  be  adopted  in  the  first 
meeting of the Food Assistance Committee. 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

No specific risk has been identified. The FAC does not imply any activity bringing additional 
risk than the ones identified in the yearly exercise performed for DG ECHO as a whole. 

2.2.2.  Control method(s) envisaged  

There is no change of the general control structure of DG ECHO that can be attributed to the 
FAC] 

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

There is no change of the general control structure of DG ECHO that can be attributed to the 
FAC 

EN 

27 

   EN 

3. 

3.1. 

Heading of 
multiannual 
financial 
framework 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

•  Existing expenditure budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of  
expenditure

Contribution  

Number  

[Description……...……….] 

Diff./non-
diff. 
(8) 

from 
EFTA9 
countries 

from 
candidate 
countries10 

from third 
countries 

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

4 

23.02.02 

Food Aid 

•  New budget lines requested  

Not applicable 

Diff. 

NO 

NO 

NO 

NO 

Heading of 
multiannual 
financial 
framework 

Budget line 

Type of 
expenditure

Contribution  

Number  
[Heading……………………………………..] 

Diff./non-
diff. 

[XX.YY.YY.YY] 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

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

YES/N
O 

YES/N
O 

YES/N
O 

YES/NO 

8 
9 
10 

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 

28 

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3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial 
framework:  

4 

Global Europe 

EUR million (to 3 decimal places) 

DG ECHO 

(cid:121) Operational appropriations  

Year 
N11 

Year
N+1 

Year
N+2 

Year 
N+3 

Year 
N+4 

Year 
N+5 

Year
N+6 

Year 
N+7 

Subsequent 

years 

TOTAL 

Commitments 

(1) 

200 

200 

200 

200 

200 

200 

200 

200 

1600 

23 02 02 

Payments 

(2) 

Payments 

(2a) 

Appropriations of an administrative nature financed 
 from the envelope for specific programmes12  
N/A 

(3) 

TOTAL appropriations 
for DG ECHO 

Commitments 

Payments 

=1+1a 
+3 

=2+2a 

+3 

130 

160 

180 

200 

200 

200 

200 

200 

130 

1600 

200 

200 

200 

200 

200 

200 

200 

200 

130 

160 

180 

200 

200 

200 

200 

200 

130 

1600 

1600 

11 
12 

EN 

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

29 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(cid:121) TOTAL operational appropriations  

Payments 

(5) 

130

160

180

200 

200

200

200

200 

130 

1600 

Commitments 

(4) 

200 

200 

200 

200 

200 

200 

200 

200 

1600 

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

(6) 

TOTAL appropriations  
under HEADING 4 
of the multiannual financial framework 

Commitments 

=4+ 6 

200 

200 

200 

200 

200 

200 

200 

200 

1600 

Payments 

=5+ 6 

130

160

180

200 

200

200

200

200 

130 

1600 

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

(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

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

30 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial 
framework:  

5 

" Administrative expenditure " 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Year 
N+4 

Year
N+5 

Year
N+6 

Year
N+7 

TOTAL 

EUR million (to 3 decimal places) 

DG: ECHO 

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

0,031 

0,031 

0,031 

0,031 

0,031 

0,031 

0,031 

0,031 

0,002 

0,002 

0,002 

0,002 

0,002 

0,002 

0,002 

0,002 

TOTAL DG ECHO 

Appropriations  

0,033 

0,033 

0,033 

0,033 

0,033 

0,033 

0,033  0,033 

0,248 

0,016 

0,264 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

0,033 

0,033 

0,033 

0,033 

0,033 

0,033 

0,033 

0,033 

0,264 

Year
N13 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Year 
N+4 

Year 
N+5 

Year 
N+6 

Year 
N+7 

Subsequent 

years 

Commitments  200,033  200,033  200,033  200,033  200,033  200,033  200,033 

200,033 

TOTAL 

1600,264 

EUR million (to 3 decimal places) 

Payments 

130,033  160,033  180,033  200,033  200,033  200,033  200,033 

200,033 

130,033 

1600,264 

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

13 

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

EN 

31 

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3.2.2.  Estimated impact on operational appropriations  

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

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

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Year 
N+4 

Year 
N+5 

Year 
N+6 

Year 
N+7 

TOTAL 

Commitment appropriations in EUR million (to 3 decimal places) 

Indicate 
objective
s and 
outputs  

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SPECIFIC 
OBJECTIVE No 1

15

… 

- Output 

- Output 

- Output 

Sub-total for specific 
objective N°1 

SPECIFIC 
OBJECTIVE No 2… 

- Output 

14 
15 

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

EN 

32 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Sub-total 
for 
specific 
objective 
N°2 

TOTAL COST 

200 

200 

200 

200

200 

200 

200 

200 

1600 

EN 

33 

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  

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

explained below: 

EUR million (to 3 decimal places) 

Year 
N 16 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Year 
N+4 

Year 
N+5 

Year 
N+6 

Year 
N+7 

TOTAL 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

0,031 

0,031 

0,031 

0,031 

0,031 

0,031 

0,031 

0,031 

0,248 

0,002 

0,002 

0,002 

0,002 

0,002 

0,002 

0,002 

0,002 

0,016 

0,033 

0,033 

0,033 

0,033 

0,033 

0,033 

0,033 

0,033 

0,264 

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 517 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

TOTAL 

0,033 

0,033 

0,033 

0,033 

0,033 

0,033 

0,033 

0,033

0,264

16 
17 

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

EN 

34 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.   Estimated requirements of human resources  

–  The proposal/initiative does not require the use of human resources  

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

below: 

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

Year
N 

Year
N+1 

Year 
N+2 

Year 
N+3 

Year 
N+4 

Year 
N+5 

Year 
N+6 

Year 
N+7 

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

0,3 

0,3 

0,3 

0,3 

0,3 

0,3 

0,3 

0,3 

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

XX 01 01 02 (Delegations) 

XX 01 05 01 (Indirect research) 

10 01 05 01 (Direct research) 

(cid:121) External personnel (in Full Time Equivalent unit: FTE)18 

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

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

XX 01 04 yy 19 

- at 
Headquarters20 

- 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 

0,3 

0,3 

0,3 

0,3 

0,3 

0,3 

0,3 

0,3 

23 is the policy area or budget title concerned. 

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

Description of tasks to be carried out: 

18 

19 
20 

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 

35 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Officials and temporary agents 

Prepare  the  EU's  participation  in  meetings  of  the  Food  Assistance 
Committee  and  attend  the  meetings.  Prepare  and  deliver  the  annual 
reporting on the fulfilment of the annual minimum commitment and on the 
food assistance activities that have been supported 

External personnel 

EN 

36 

   EN 

 
 
3.2.4.  Compatibility with the current multiannual financial framework  

–  X  Proposal/initiative is compatible the current multiannual financial framework. 

–  (cid:133)  Proposal/initiative  will  entail  reprogramming  of  the  relevant  heading  in  the  multiannual 

financial framework. 

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

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

multiannual financial framework21. 

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 
financing body  

co-

TOTAL appropriations 
cofinanced  

21 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

37 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.3. 

Estimated impact on revenue  

–  x  Proposal/initiative has no financial impact on revenue. 

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

(cid:133) 

(cid:133) 

on own resources  

on miscellaneous revenue  

Appropriati
ons 
available 
for the 
ongoing 
budget year 

Budget revenue line: 

Article …………. 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative22 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

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

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

Specify the method for calculating the impact on revenue. 

22 

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 

38 

   EN