DRAFT AMENDING BUDGET N° 1 TO THE GENERAL BUDGET 2013 GENERAL STATEMENT OF REVENUE STATEMENT OF EXPENDITURE BY SECTION Section III – Commission
Date: 2013-03-18
Institutions: European Commission
Subjects: European Commission, amending budget, budgetary expenditure, budgetary resources, draft budget (EU)

EUROPEAN 
COMMISSION 

Brussels, 18.3.2013 
COM(2013) 156 final 

DRAFT AMENDING BUDGET N° 1 
TO THE GENERAL BUDGET 2013 

GENERAL STATEMENT OF REVENUE 

STATEMENT OF EXPENDITURE BY SECTION 
Section III – Commission 

EN 

   EN 

 
 
 
 
  
 
 
DRAFT AMENDING BUDGET N° 1 
TO THE GENERAL BUDGET 2013 

GENERAL STATEMENT OF REVENUE 

STATEMENT OF EXPENDITURE BY SECTION 
Section III – Commission 

2 

 
 
  
 
 
Having regard to: 

– 

– 

– 

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

the  Regulation  (EU,  Euratom)  No  966/2012  of  the  European  Parliament  and  of  the 
Council  of  25  October  2012  on  the  Financial  Regulation  applicable  to  the  general 
budget of the Union1, and in particular Article 41 thereof, 

the  general  budget  of  the  European  Union  for  the  financial  year  2013  adopted  on 
12 December 20122, 

The  European  Commission  hereby  presents  to  the  budgetary  authority  the  Draft  Amending 
Budget No 1 to the 2013 budget. 

CHANGES  TO  THE  STATEMENT  OF  REVENUE  AND  EXPENDITURE  BY 
SECTION 

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

1 
2 

OJ L 298, 26.10.2012, p. 1. 
OJ L 66, 8.3.2013, p. 1. 

3 

 
 
  
 
 
 
 
                                                 
TABLE OF CONTENTS 

1. 

INTRODUCTION ....................................................................................................................................................... 5 

2.  ADJUSTMENTS BY HEADING............................................................................................................................... 6 

2.1. 
2.2. 
2.3. 
2.4. 
2.5. 
2.6. 
2.7. 

HEADING 1A COMPETIVENESS FOR GROWTH AND EMPLOYMENT......................................................................... 6 
HEADING 1B COHESION FOR GROWTH AND EMPLOYMENT................................................................................... 7 
HEADING 2 PRESERVATION AND MANAGEMENT OF NATURAL RESOURCES ......................................................... 7 
HEADING 3A FREEDOM, SECURITY AND JUSTICE.................................................................................................. 8 
HEADING 3B CITIZENSHIP..................................................................................................................................... 8 
HEADING 4 EU AS A GLOBAL PLAYER.................................................................................................................. 9 
HEADING 6 COMPENSATION ................................................................................................................................. 9 

5. 

SUMMARY TABLE BY HEADING OF THE FINANCIAL FRAMEWORK................................................... 10 

4 

 
 
  
 
1. 

INTRODUCTION  

Draft  Amending  Budget  (DAB)  No 1  for  the  year  2013  concerns  the  incorporation  into  the  2013 
Budget of both the commitment and payment appropriations necessary to cover expenditure related to 
the accession of the Republic of Croatia (hereafter Croatia) to the European Union on 1 July 2013, in 
full  respect  of  the  Treaty  concerning  the  accession  of  the  Republic  of  Croatia3  (hereafter  Treaty  of 
Accession). In parallel with this exercise, the Commission is presenting a proposal for the revision of 
the multi-annual financial framework 2007-20134, in order to accommodate these changes, as foreseen 
under  point  29  of  the  Interinstitutional  Agreement  on  budgetary  discipline  and  sound  financial 
management. 

The  increases  proposed  in  DAB  No 1  are  EUR 655,1 million  in  commitment  appropriations  and 
EUR 374,0 million  in  payment  appropriations.  This  reflects  the  financial  package  agreed  at  the 
Accession  Conference  of  30  June  2011,  but  excludes  heading  5,  in  line  with  the  Commission's 
restricted approach on administrative expenditure, and since the needs related to accession are already 
included in the 2013 budget. 

1. Sustainable growth 

DAB 1/2013 

1a Competitiveness for growth and employment (1)
1b Cohesion for growth and employment

of which Structural Funds

of which Cohesion Fund

2. Preservation and management of natural resources  

3. Citizenship, freedom, security and justice  

4. EU as a global player 

6. Compensations (Cash-flow facility) 

European Fisheries Fund
Other CFP support, Life + (1)

3a Freedom, security and justice (1)
Schengen facility
3b Citizenship (1)
Transition Facility

Total

 (in million EUR, at current prices) 

2013 

Commitments 

Payments 

496,6 

47,2 

449,4 

299,6 

149,8 

10,2 

8,7 

1,5 

73,3 

2.1 

40,0 

2,2 

29,0   

75,0 

655,1 

167,4

17,6

149,8

89,9

59,9

2,6

2,2

0,4

42,2

1,1

40,0

1,1

86,8

75,0

374,0

1) Non pre-allocated expenditure given for illustrative purposes only.  

The  Treaty  of  Accession  defines  pre-allocated  amounts  for  the  Transition  Facility,  the  Schengen 
Facility, the Cash-Flow Facility, the Structural Funds, the Cohesion Fund and the European Fisheries 
Fund.  The  indicative  amounts  for  non  pre-allocated  expenditure  were  presented  in  the  EU  common 
position on Chapter 33 (Financial and Budgetary provisions)5. 

The allocation of both the commitment and payment appropriations on the budget lines has been made 
according to the repartition proposed by the Treaty of Accession, while taking also into account the 
possibility to properly implement the additional funding before the end of the year.  

3  
4  
5  

OJ L 112, 24.4.2012, p. 1; 
COM(2013) 157. 
Conference on Accession to the European Union – Croatia, Accession Document No 30/11 (CONF-HR 17/11) of 
29.6.2011. 

5 

 
 
  
 
 
 
                                                 
2. 

ADJUSTMENTS BY HEADING OF THE FINANCIAL FRAMEWORK 

2.1. 

Heading 1a - Competiveness for Growth and Employment 

Budget Line 

Heading 

02 04 01 03 

Research related to transport (Galileo) 

08 02 01 

Cooperation — Health 

08 03 01 

08 04 01 

Cooperation  —  Food,  agriculture  and 
biotechnology 

fisheries,  and 

Cooperation  —  Nanosciences,  nanotechnologies,  materials  and 
new production technologies 

08 05 01 

Cooperation — Energy 

08 06 01 

Cooperation — Environment (including climate change) 

08 07 01 

Cooperation — Transport (including aeronautics) 

08 08 01 

Cooperation — Socioeconomic sciences and the humanities 

08 10 01 

Ideas 

08 12 01 

Capacities — Research infrastructures 

08 13 01 

Capacities  —  Research  for  the  benefit  of  small  and  medium-
sized enterprises (SMEs) 

08 14 01 

Capacities — Regions of knowledge 

08 15 01 

Capacities — Research potential 

08 16 01 

Capacities — Science in society 

08 17 01 

Capacities — International cooperation activities 

08 18 01 

Capacities — Risk-sharing finance facility (RSFF) 

08 19 01 

Capacities  —  Support  for  coherent  development  of  research 
policies 

08 20 01 

Euratom — Fusion energy 

08 21 01 

Euratom — Nuclear fission and radiation protection 

Commitments 
(EUR) 

Payments 
(EUR) 

3 327 535 

3 527 530 

1 601 419 

998 000 

1 058 000 

480 000 

2 702 062 

810 000 

893 047 

1 484 726 

1 381 746 

496 988 

267 000 

445 000 

414 000 

149 000 

7 563 109 

2 268 000 

330 775 

1 210 455 

99 000 

363 000 

120 639 

327 567 

280 771 

175 805 

221 512 

59 414 

318 290 

247 380 

36 000 

98 000 

84 000 

52 000 

66 000 

17 000 

95 000 

74 000 

09 04 01 01 

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

5 931 335 

1 779 000 

10 02 01 

Non-nuclear activities of the Joint Research Centre (JRC) 

15 02 22 

Lifelong learning programme   

15 07 77 

People 

32 06 01 

Research related to energy 

191 156 

9 750 000 

4 250 000 

757 030 

57 000 

6 389 000 

1 275 000 

227 000 

Total 

47 150 291 

17 600 000 

With respect to the Seventh Framework Programme for Research (FP7), in which Croatia has already 
participated  as  a  Candidate  Country,  the  additional  commitment  appropriations  (EUR 37,4 million) 
will  be  allocated  proportionally  to  the  activities  and  actions  foreseen  in  the  annual  2013  FP7  Work 
programmes.  This  will  result  in  the  FP7  Cooperation  specific  programme  benefiting  by  around 
EUR 22 million  which  will  be  distributed  across  all  the  research  themes  of  this  programme.  Some 
EUR 2,7 million will be allocated to the FP7 Capacities specific programme, EUR 7,6 million goes to 
the Ideas specific programme and around EUR 4,3 million is for the People specific programme. The 
FP7  EURATOM  indirect  actions  activities  also  will  benefit  by  EUR 0,6 million.  The  rest 
(EUR 0,2 million) will be allocated to the FP7 EC direct actions. 

6 

 
 
  
 
The additional payment appropriations (EUR 11,2 million) will be used for paying the pre-financing 
of the respective commitments.  

The  additional  appropriations  for  Lifelong  Learning  (EUR 9,8 million  in  commitments  and 
EUR 6,4 million  in  payments)  will  be  used  to  finance  the  participation  of  Croatia  in  actions  in 
decentralised  management,  notably  those  promoting  mobility  –  Comenius,  Erasmus,  Leonardo  da 
Vinci and Grundtvig, as well as those in centralised  management, such as  multi-lateral projects and 
networks, as well as studies and conferences. 

The total level of commitment appropriations requested (EUR 47,2 million) is very slightly lower than 
the  EUR 47,4 million  indicative  amount  in  the  financial  package,  but  reflects  what  can  be 
implemented. 

2.2. 

Heading 1b - Cohesion for Growth and Employment 

Budget Line 

Heading 

Commitments 
(EUR) 

Payments 
(EUR) 

04 02 17 

European Social Fund (ESF) — Convergence 

60 000 000 

18 000 000 

13 03 16 

13 03 19 

European  Regional  Development  Fund 
Convergence 

(ERDF)  — 

228 400 000 

68 520 000 

European  Regional  Development  Fund  (ERDF)  —  European 
territorial cooperation 

11 200 000 

3 360 000 

13 04 02 

Cohesion Fund 

149 800 000 

59 920 000 

Total 

449 400 000  

149 800 000 

Article 33(1) in the Treaty of Accession foresees that an amount of EUR 449,4 million in commitment 
appropriations shall be allocated to Croatia under the Structural and Cohesion Funds in 2013 with one 
third  of  this  amount  (i.e.  EUR 149,8 million)  reserved  for  the  Cohesion  Fund  according  to  Article 
33(2).  The  provisional  split  between  the  European  Regional  Development  Fund  (ERDF)  and  the 
European  Social  Fund  (ESF)  will  be  adjusted  at  a  later  stage,  if  necessary,  in  line  with  the  actual 
requests by the Croatian authorities. 

As regards payment appropriations, Annex III to the Treaty of Accession provides in point 7.1(v) that 
pre-financing shall be paid in a single instalment and will represent 30 % of the contribution from the 
Structural  Funds  and  40 %  of  the  contribution  from  the  Cohesion  Fund,  corresponding  to  a  total 
amount of EUR 149,8 million. 

2.3. 

Heading 2 - Preservation and Management of Natural Resources 

Budget Line 

Heading 

Commitments 
(EUR) 

Payments 
(EUR) 

11 06 12 

European Fisheries Fund (EFF) — Convergence objective 

8 700 000 

2 175 000 

11 07 01 

11 08 01 

Support for the management of fishery resources (collection of 
basic data) 

Financial contribution to the Member States for expenses in the 
field of control 

750 000 

375 000 

750 000 

37 500 

Total 

10 200 000 

2 587 500 

For heading 2 of the multiannual financial framework (MFF) 2007-2013, the Commission proposes to 
increase  commitment  appropriations  by  EUR 10,2 million  and  payment  appropriations  by 
EUR 2,6 million. This level of commitments and payments is lower than the indicative amount in the 
financial  package  agreed  at  the  Accession  Conference  of  30  June  2011,  but  reflects  the  realistic 
amount that can be implemented in the second half of 2013. 

7 

 
 
  
 
Regarding the Common Agricultural Policy (CAP), it is expected that the Accession on 1 July 2013 
has no overall impact on the needs for market related expenditure as already foreseen in the Budget 
2013. The reimbursement of direct payments granted to farmers for the year 2013 in Croatia has no 
impact on the EU Budget 2013 and will be financed from the EU Budget for the year 2014. This is 
fully  in  line  with  the  normal  calendar  for  the  reimbursement  of  direct  payments.  Furthermore, 
according to Article 35 of the Treaty of Accession, support for rural development in 2013 will not be 
made  under  the  European  Agricultural  Fund  for  Rural  Development  (EAFRD),  but  under  the  Rural 
Development  Component  referred  to  in  Article  12  of  the  IPA  Regulation  (Council  Regulation  (EC) 
No 1085/2006). 

For the European Fisheries Fund (EFF), the additional appropriations requested are intended to cover 
the  operational  programmes  of  the  convergence  objective  for  the  year  2013,  according  to  the 
provisions  of  Council  Regulation 
for  commitment 
(EUR 8,7 million) and payment appropriations (25 % pre-financing of EUR 8,7 million) for 2013 are 
set out in Article 34 of the Treaty of Accession. 

(EC)  No  1198/20066.  The  amounts 

For other actions in the field of Maritime Affairs and Fisheries, a total amount of EUR 1,5 million in 
commitment appropriations and EUR 0,4 million in payment appropriations is requested to cover the 
inclusion of Croatia into the programmes for data collection, control and enforcement of the Common 
Fisheries  Policy  (CFP)  financed  from  budget  articles  11 07 01  and  11 08 01.  The  level  of  payment 
appropriations  requested  reflects  the  reduced  pre-financing  usually  made  in  the  first  year  of  control 
measures and the 50 % advance made on data collection measures. 

2.4. 

Heading 3a - Freedom, Security and Justice 

Budget Line 

Heading 

18 02 12 

Schengen Facility for Croatia 

Commitments 
(EUR) 

Payments 
(EUR) 

40 000 000 

40 000 000 

18 03 04 

Emergency measures in the event of mass influxes of refugees 

2 100 000 

1 100 000 

Total 

42 100 000 

41 100 000 

The Schengen Facility is a temporary instrument to help Croatia between the date of accession and the 
end of 2014 to finance actions at the new external borders of the Union for the implementation of the 
Schengen  acquis  and  external  border  control.  The  amount  of  EUR 40 million  in  commitment  and 
payment appropriations foreseen derives directly from article 31(2) of the Treaty of Accession. 

A  further  EUR 2,1 million  in  commitment  appropriations  and  EUR 1,1 million  in  payment 
appropriations  is  proposed  on  budget  article  18 03 04  'Emergency  measures  in  the  event  of  mass 
influxes of refugees'. These appropriations will increase the capacity of the Union to support Members 
States  concerned  by  a  sudden  mass  influx  of  refugees  or  displaced  persons.  These  emergency 
measures  are  based  on  the  solidarity  between  the  Member  States.  Due  to  its  geographical  position, 
Croatia could be amongst the beneficiaries of these emergency measures. 

2.5. 

Heading 3b - Citizenship 

Budget Line 

Heading 

15 05 55 

Youth in Action 

Commitments 
(EUR) 

Payments 
(EUR) 

2 200 000 

1 100 000 

22 02 11 

Transition facility for institution-building after accession 

29 000 000 

0 

Total 

31 200 000 

1 100 000 

6  

OJ L 223, 15.8.2006, p. 1. 

8 

 
 
  
 
                                                 
The Youth in Action programme finances actions, such as mobility, exchanges and participation in the 
European  Voluntary  Service,  and  is  managed  primarily  in  a  decentralised  way  through  national 
agencies. In accordance with the decision establishing the programme, the allocations to each Member 
State agency are made on the basis of objective criteria, such as population. This additional allocation 
will  allow  Croatia  to  fully  participate  in  the  programme,  based  on  these  objective  criteria  without 
reducing the allocations to the other Member States. 

In accordance with article 30 of the Treaty of Accession a ‘Transition Facility’ will be provided for 
the first year after accession to assist Croatia in developing and strengthening its administrative and 
judicial  capacity  to  implement  and  enforce  Union  law  and  to  foster  the  exchange  of  best  practice 
among  peers.  This  assistance  shall  fund  institution-building  projects  and  limited  small-scale 
investments connected to this. It is proposed to budget EUR 29 million in commitment appropriations 
as foreseen in article 30(4). 

2.6. 

Heading 4 - EU as a Global Player 

Budget Line 

Heading 

05 05 02 

Instrument for Pre-accession Assistance for Rural Development (IPARD) 

22 02 01 

Transition and institution-building assistance to candidate countries 

Payments 
(EUR) 

27 700 000 

59 112 500 

Total 

86 812 500 

The  total  commitments  outstanding  for  Croatia  under  the  Instrument  for  Pre-Accession  Assistance 
(IPA) amounted to EUR 220 million under the IPA-components 'Transition Assistance and Institution 
Building'  and  'Rural  development'.  The  payment  claims  to  be  received  in  2013  will  exceed  the 
availabilities  in  the  2013  budget  (as  these  2  lines  have  been  reduced  by  EUR 63,6 million  and 
EUR 60,6 million  respectively  in  the  budgetary  procedure),  and  so  it  is  proposed  to  reinforce  these 
two IPA-components by EUR 86,8 million in payment appropriations. This is especially important as 
the Treaty of Accession, in its art 35 1), specify that the amounts of the rural development for Croatia 
stay in Heading 4 even after the accession.  

This  is  slightly  higher  than  the  indicative  figure  of  EUR 77,6 million  in  payment  appropriations 
originally  envisaged  in  the  financial  package  agreed  at  the  Accession  Conference  of  30  June  2011. 
The  additional  EUR 9,2 million  is  offset  by  the  lower  request  under  heading  2,  as  mentioned  under 
section 2.3 above. 

2.7. 

Heading 6 - Compensation 

Budget Line 

Heading 

Commitments 
(EUR) 

Payments 
(EUR) 

27 02 02  

Temporary and lump-sum compensation for new Member States 

75 000 000 

75 000 000 

Total 

75 000 000 

75 000 000 

The Cash-flow Facility is a temporary instrument to help Croatia between the date of accession and 
the end of 2014 to improve cash-flow in the national budget. The amount of EUR 75 million in both 
commitment and payment appropriations should be included in the 2013 Budget, in accordance with 
article 32(2) of the Treaty of Accession. 

9 

 
 
  
 
 
5. 

SUMMARY TABLE BY HEADING OF THE FINANCIAL FRAMEWORK 

Financial framework 
Heading/subheading 

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

1b. Cohesion for growth and employment 

Margin 

Margin 
Total 
Margin7 

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

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

Total 
Margin 

3b. Citizenship 

4. EU AS A GLOBAL PLAYER 

5. ADMINISTRATION 

6.COMPENSATION 

Margin 

Margin 
Total 
Margin8   

Margin9 

Margin10 

Margin 
TOTAL 
Margin 1112   

Revised 2013 Financial framework 

Budget 2013 

DAB 1/2013 

Budget 2013 
(incl. DAB 1/2013) 

CA 

PA 

CA 

PA 

CA 

PA 

CA 

PA 

15 670 000 000

54 974 000 000

70 644 000 000

48 583 000 000

61 310 000 000

1 703 000 000

746 000 000

2 449 000 000

9 595 000 000

9 095 000 000

75 000 000

153 168 000 000

144 285 000 000

16 121 000 000
49 000 000
54 508 649 037
465 350 963
70 629 649 037

514 350 963   

11 886 427 361

47 150 291

17 600 000

47 198 594 736

449 400 000

149 800 000

59 085 022 097

496 550 291

167 400 000

16 168 150 291
1 849 709
54 958 049 037
15 950 963
71 126 199 328

17 800 672   

11 904 027 361 

47 348 394 736 

59 252 422 097 

43 956 548 610

43 934 188 711

43 956 548 610

43 934 188 711 

60 149 041 416
1 160 958 584   

1 398 727 200
304 272 800
707 164 000
38 836 000
2 105 891 200

343 108 800   

9 583 118 711
275 996 289
8 430 690 740
750 309 260
p.m.
75 000 000
150 898 391 104
3 119 723 896

57 484 414 991

10 200 000

2 587 500

60 159 241 416
1 150 758 584   

57 487 002 491 

876 583 652

42 100 000

41 100 000

637 999 615

31 200 000

1 100 000

1 514 583 267

73 300 000

42 200 000

6 322 601 760

8 430 365 740

86 812 500

p.m.

75 000 000

75 000 000

1 440 827 200
262 172 800
738 364 000
7 636 000
2 179 191 200

269 808 800   

9 583 118 711
275 996 289
8 430 690 740
750 309 260
75 000 000

917 683 652 

639 099 615 

1 556 783 267 

6 409 414 260 

8 430 365 740 

75 000 000 

132 836 987 855
11 614 012 145

655 050 291

374 000 000

151 553 441 395
2 464 673 605

133 210 987 855 
11 240 012 145 

7 
8 
9 
10 

11  

12  

The European Globalisation adjustment Fund (EGF) is not included in the calculation of the margin under Heading 1a (EUR 500 million). 
The European Union Solidarity Fund (EUSF) amount is entered over and above the relevant headings as foreseen by the IIA of 17 May 2006 (OJ C 139 of 14.6.2006) 
The 2013 margin for heading 4 does not take into account the appropriations related to the Emergency Aid Reserve (EUR 264,1 million). 
For calculating the margin under the ceiling for heading 5, account is taken of the footnote (1) of the financial framework 2007-2013 for an amount of EUR 86 million for the staff 
contributions to the pension scheme. 
The global margin for commitments does not take into account the appropriations related to the EGF (EUR 500 million), the EAR (EUR 264,1 million), and the staff contributions to 
the pensions scheme (EUR 86 million). 
The  global  margin  for  payments  does  not  take  into  account  the  appropriations  related  to  the  EAR  (EUR  80  million),  and  to  the  staff  contributions  to  the  pensions  scheme 
(EUR 86 million).  

10 

 
 
  
 
 
 
 
 
 
 
 
 
 
 
  
 
 
  
  
 
 
  
  
  
  
  
  
 
 
  
  
 
 
  
 
 
  
 
 
 
  
 
 
 
  
  
  
 
 
 
 
  
 
 
 
 
 
  
 
 
 
 
  
 
 
  
                                                 
Annex : Financial package agreed at the Accession Conference of 30 June 2011 

Croatia financial package (EUCP), accession on 1 July 2013 

1. Sustainable growth 

1a Competitiveness for growth and employment (1)
1b Cohesion for growth and employment

2. Preservation and management of natural resources  

of which Structural Funds

of which Cohesion Fund

market related expenditure (1)

direct payments  

demining reserve   

rural development  

European Fisheries Fund
Other CFP support, Life + (1)

3. Citizenship, freedom, security and justice  

3a Freedom, security and justice (1)
Schengen facility
3b Citizenship (1)
Transition Facility

4. EU as a global player 

5. Administration  

6. Compensations (Cash-flow facility) 

(1) Non pre-allocated expenditure given for illustrative purposes only.  

Total

(in million EUR, at current prices) 

2013 

Commitments 

Payments 

496,8 

47,4 

449,4 

299,6 

149,8 

20,4 

9,0 

8,7 

2,7 

73,3 

2,1 

40,0 

2,2 

29,0   

22,0 

75,0 

687,5 

167,4

17,6

149,8

89,9

59,9

12,1

9,0

2,2

0,9

42,2

1,1

40,0

1,1

77,6

22,0

75,0

396,3

11