Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Council Regulation (EC) No 577/98 on the organisation of a labour force sample survey in the Community
Date: 2013-03-27
Institutions: European Commission
Subjects: EU statistics, statistical method, working population

EUROPEAN 
COMMISSION 

Brussels, 27.3.2013  
COM(2013) 155 final 

2013/0084 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Council Regulation (EC) No 577/98 on the organisation of a labour force 
sample survey in the Community 

(Text with EEA relevance) 

EN 

   EN 

 
 
 
  
 
EXPLANATORY MEMORANDUM  

1. 

CONTEXT OF THE PROPOSAL 

The Treaty on the Functioning of the European Union (TFEU) makes a distinction between 
powers  delegated  to  the  Commission  to  adopt  non-legislative  acts  of  general  application  to 
supplement  or  amend  certain  non-essential  elements  of  a  particular  legislative  act,  as  laid 
down  in  Article  290(1)  of  the  TFEU  (delegated  acts),  and  powers  conferred  on  the 
Commission to adopt uniform conditions for implementing legally binding Union acts, as laid 
down in Article 291(2) of the TFEU (implementing acts). 

The Commission has committed itself1, under 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  powers2,  to  reviewing  legislative  acts  which  currently  contain 
references  to  regulatory  procedure  with  scrutiny  in  the  light  of  the  criteria  laid  down  in  the 
Treaty. 

The overall objective is, by the end of Parliament’s seventh term (June 2014), to remove all 
provisions referring to the regulatory procedure with scrutiny from all legislative instruments. 

In the context of the alignment of Council Regulation (EC) No 577/98 of 9 March 1998 on the 
organisation  of  a  labour  force  sample  survey  in  the  Community3  to  the  new  rules  of  the 
TFEU,  powers  currently  conferred  on  the  Commission  by  that  Regulation  have  been  re-
classified. 

The EU Labour Force Survey (LFS) is the biggest household survey in Europe. The results it 
produces  on  employment,  unemployment  and  persons  outside  the  labour  market  form  the 
backbone of the statistical information system on labour markets in the European Union. In 
particular, the LFS provides the indicators for three of the Europe 2020 headline targets. 

The  national  statistical  institutes  are  responsible  for  selecting  the  sample,  preparing  the 
questionnaires,  conducting  the  direct  interviews  among  households,  and  forwarding  the 
results to Eurostat in accordance with the common coding scheme. 
Each year, the core LFS is supplemented with a so-called ad hoc module. While the core part 
of  the  survey  is  of  equal  interest  at  national  and  European  levels,  the  annually  changing  ad 
hoc  modules  serve  predominantly  European  policy  initiatives,  amongst  them  the  European 
Employment  Strategy,  the  Youth  on  the  Move  flagship  initiative,  the  Strategy  for  Equality 
between  Women  and  Men,  the  European  agenda  for  integration  and  the  Employment 
Package. 

The sustainable production of high-quality ad hoc module data is of utmost importance to EU 
decision-makers,  and  thus  a  provision  on  financing  is  proposed  to  be  integrated  into  the 
Regulation. 

1 
2 
3 

OJ L 55, 28.2.2011, p. 19. 
OJ L 55, 28.2.2011, p. 13. 
OJ L 77, 14.3.1998, p. 3.  

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2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENTS 

The  Directors  of  Social  Statistics  and  the  European  Statistical  System  Committee  were 
consulted. 

There was no need for impact assessment. 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

The objectives of this proposal are: 

(i)  to  modify  Regulation  (EC)  No  577/98  and  align  it  to  the  new  institutional  context.  In 
particular,  the  aim  is  to  identify  what  powers  the  Commission  has  and  establish  the 
appropriate procedure for adopting measures on the basis of these powers. 

The Commission is empowered to adopt delegated acts in accordance with Article 290 of the 
TFEU in order to supplement or amend certain non-essential elements of Regulation (EC) No 
577/98. In particular, the Commission may adopt, by means of delegated acts, the content of 
the ad hoc modules, the definitions and any adjustment of the list  of survey variables  made 
necessary  by  the  evolution  of  techniques  and  concepts.  In  addition,  the  Commission  may 
adopt,  by  means  of  delegated  acts,  the  list  of  structural  variables,  including  the  minimum 
sample  size  and  the  survey  frequency.  The  Commission  should  ensure  that  these  delegated 
acts do not impose a significant additional administrative burden on the Member States and 
on the respondent units. 

Implementing  powers  are  conferred  upon  the  Commission  with  a  view  to  ensuring  uniform 
conditions concerning the transmission of statistical information, in particular by adopting the 
rules on the edits to be used, the codification of the variables and the list of principles for the 
formulation of the questions concerning the labour status, in accordance with the examination 
procedure laid down in Article 5 of Regulation (EU) No 182/2011. 

(ii) to put the Commission in a position to allow for a financial contribution. This is proposed 
in view of the  importance of the  Labour Force Survey ad hoc modules in support of Union 
policies. Such contribution by the Union to the financing of their implementation is proposed 
through  grant  procedures,  without  calls  for  proposals.  The  grants  are  to  be  awarded  to  the 
national  statistical  institutes  and  other  national  authorities  referred  to  in  Article  5(2)  of 
Regulation  (EC)  No  223/2009  of  the  European  Parliament  and  of  the  Council  of  11  March 
2009  on  European  statistics4.  In  order  to  allow  for  significantly  simplified  administrative 
procedures and for a substantially reduced risk of error relating to the management of grants, 
the  use  of  lump  sums  may  be  proposed  in  accordance  with  Article  124(1)  of  the  Financial 
Regulation. 

•  Legal basis 

Article 338(1) of the Treaty on the Functioning of the European Union. 

•  Choice of instrument 

4 

OJ L 87, 31.3.2009, p. 164. 

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Regulation of the European Parliament and of the Council. 

4. 

BUDGETARY IMPLICATIONS 

The budgetary implications are set out in the financial statement. 

•  European Economic Area 

The  proposed  act  concerns  an  EEA  matter  and  should  therefore  extend  to  the  European 
Economic Area. 

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2013/0084 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Council Regulation (EC) No 577/98 on the organisation of a labour force 
sample survey in the Community 

(Text with EEA relevance) 

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 338(1) thereof, 

Having regard to the proposal from the European Commission, 

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

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

As  a  consequence  of  the  entry  into  force  of  the  Treaty  on  the  Functioning  of  the 
European Union (TFEU), the powers conferred on the Commission need to be aligned 
to Articles 290 and 291 of the TFEU. 

The  Commission  has  committed  itself5,  under  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 powers6, to reviewing legislative acts which 
currently  contain  references  to  the  regulatory  procedure  with  scrutiny  in  the  light  of 
the criteria laid down in the Treaty. 

The Commission should have the power to adopt delegated acts under Article 290 of 
the TFEU in order to supplement or amend certain non-essential elements of particular 
legislative  acts,  notably  to  take  account  of  economic,  social  and  technical 
developments. The Commission should ensure that these delegated acts do not impose 
a  significant  additional  administrative  burden  on  the  Member  States  or  on  the 
respondent units. 

(4) 

Council Regulation (EC) No 577/98 of 9 March 1998 on the organisation of a labour 
force  sample  survey  in  the  Community7  contains  references  to  the  regulatory 

5 
6 
7 

OJ L 55, 28.2.2011, p. 19. 
OJ L 55, 28.2.2011, p. 13. 
OJ L 77, 14.3.1998, p. 3. 

EN 

5 

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(5) 

(6) 

(7) 

(8) 

(9) 

(10) 

(11) 

procedure  with  scrutiny  and  should  therefore  be  reviewed  in  the  light  of  the  criteria 
laid down in the Treaty. 

The  Commission  should  have  the  power  to  adopt  delegated  acts  in  accordance  with 
Article  290  of  the  TFEU  in  order  to  supplement  or  amend  certain  non-essential 
elements of Regulation (EC) No 577/98 as regards the content of the ad hoc modules, 
the definitions, and any adjustment of the list of survey variables made necessary by 
the  evolution  of  techniques  and  concepts.  In  addition,  the  Commission  should  be 
empowered  to  adopt  delegated  acts  in  order  to  adopt  the  list  of  structural  variables, 
including the minimum sample size and the survey frequency. 

It is of particular importance that the Commission carry out appropriate consultations 
during  its  preparatory  work,  including  at  expert  level.  The  Commission,  when 
preparing  and  drawing  up  delegated  acts,  should  ensure  simultaneous,  timely  and 
appropriate  transmission  of  relevant  documents  to  the  European  Parliament  and  the 
Council. 

In  order  to  ensure  uniform  conditions  for  the  implementation  of  this  Regulation, 
implementing powers should be conferred on the Commission. Those powers should 
be exercised in accordance with Regulation (EU) No 182/2011. 

In view of the importance of the Labour Force Survey ad hoc modules in support of 
Union policies, a contribution by the Union to the financing of their implementation is 
proposed  through  grant  procedures,  without  calls  for  proposals.  The  grants  shall  be 
awarded to the national statistical institutes and other national authorities referred to in 
Article 5(2)  of Regulation (EC)  No  223/2009 of  the  European Parliament and  of the 
Council  of  11  March  2009  on  European  statistics8.  Grants  that  are  provided  for 
purposes of carrying out labour force surveys may take the form of lump sums. In this 
context,  the  use  of  lump  sums  should  be  a  principal  means  of  simplifying  grant 
management. 

By  derogation  from  Article  126(3)(e)  of  Regulation  (EU,  Euratom)  No  966/2012  of 
the European Parliament and of the Council of 25 October 2012 on the financial rules 
applicable to the general budget of the Union9, in view of the increased administrative 
burden  related  to  the  additional  information  to  be  collected  for  the  Labour  Force 
Survey  which will contribute to providing the indicators for three of the Europe 2020 
headline  targets,  it  is  necessary  to  cofinance  the  salary  costs  of  the  personnel  of 
national  administrations  even  if  the  relevant  public  authority  would  have  carried  out 
the supported action without an EU grant. 

In accordance with the principle of proportionality, it is necessary and appropriate, for 
achieving the basic objective of alignment of the powers conferred on the Commission 
to  Articles  290  and  291  of  the  TFEU,  to  lay  down  rules  on  such  alignment  in 
Regulation (EC) No 577/98. This Regulation does not go beyond what is necessary in 
order  to  achieve  that  objective,  in  accordance  with  Article  5(4)  of  the  Treaty  on 
European Union. 

8 
9 

OJ L 87, 31.3.2009, p. 164. 
OJ L 298, 26.10.2012, p. 1. 

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(12) 

In  order  to  ensure  legal  certainty,  it  is  necessary  that  procedures  for  the  adoption  of 
measures  which  have  been  initiated  but  not  completed  before  the  entry  into  force  of 
this Regulation are not affected by this Regulation. 

(13)  Regulation (EC) No 577/98 should therefore be amended accordingly, 

HAVE ADOPTED THIS REGULATION: 

Article 1 

Regulation (EC) No 577/98 is amended as follows: 

(1) 

Article 4 is amended as follows: 

(a) paragraphs 2 and 3 are replaced by the following: 

‘2. 
The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 7c, concerning the definitions and any adjustment of the list of survey variables made 
necessary by the evolution of techniques and concepts. 

The Commission shall be empowered to adopt delegated acts in accordance with Article 7c, 
concerning a list of variables (hereinafter referred to as ‘structural variables’), including the 
minimum  sample  size  and  the  survey  frequency,  from  among  the  survey  characteristics 
specified in paragraph 1 which need to be surveyed only as annual averages with reference to 
52 weeks rather than as quarterly averages. 

3. 
The Commission shall, by means of implementing acts, adopt rules on the edits to be 
used,  the  codification  of  the  variables  and  the  list  of  principles  for  formulation  of  the 
questions concerning labour status. Those implementing acts shall be adopted in accordance 
with the examination procedure referred to in Article 8(2).’ 

(b) paragraph 4 is deleted. 

(2) 

The following Articles 7a, 7b and 7c are inserted: 

‘Article 7a 
Ad hoc modules 

1. 
The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article  7c  concerning  an  additional  set  of  variables  (hereinafter  referred  to  as  ‘ad  hoc 
module’)  in  order  to  supplement  the  information  described  in  Article  4(1),  including  the 
subject, the reference period, the sample size (equal to or less than the sample size determined 
according  to  Article  3)  and  the  deadline  for  transmission  of  the  results  (which  may  be 
different from the deadline according to Article 6). 

2. 
The detailed list of information to be collected in an ad hoc module shall be drawn up 
at least 12 months before the beginning of the reference period for that module. The volume 
of an ad hoc module shall not exceed 11 variables. 

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Article 7b 
Financing provision 

The Union may award financial support to the national statistical institutes and other national 
authorities  referred  to  as  designated  beneficiaries  in  Article  5(2)  of  Regulation  (EC)  No 
223/2009,  for  the  implementation  of  the  ad  hoc  modules  as  referred  to  in  Article  7a  in 
accordance with Article X of Regulation (EU) No XX/XX of the European Parliament and of 
the  Council  on  a  European  Union  Programme  for  Social  Change  and  Innovation10,  [COM 
(2011) 609 final]. 

Article 7c  
Exercise of delegated powers 

The  power  to  adopt  delegated  acts  is  conferred  on  the  Commission  subject  to  the 

1. 
conditions laid down in this Article. 

2. 
When exercising the powers delegated in accordance with Article 4(2) and Article 7a, 
the  Commission  shall  ensure  that  the  delegated  acts  do  not  impose  a  significant  additional 
administrative burden on the Member States and on the respondents. 

3. 
The power to adopt delegated acts referred to in Article 4(2) and Article 7a shall be 
conferred on the Commission for an indeterminate period of time from (Publications office: 
please insert the exact date of the entry into force of the amending Regulation). 

The delegation of power referred to in Article 4(2) and Article 7a may be revoked at 

4. 
any time by the European Parliament or by the Council. 

A  revocation  decision  shall  put  an  end  to  the  delegation  of  the  power  specified  in  that 
decision. It shall take effect on 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 

5. 
the European Parliament and to the Council. 

6. 
A delegated act adopted pursuant to Article 4(2) and Article 7a shall enter into force 
only if no objection has been expressed either by the European Parliament or by 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 two 
months at the initiative of the European Parliament or the Council.’ 

(3) 

Article 8 is replaced by the following: 

‘Article 8 

Committee 

10 

Not yet published in the Official Journal. 

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8 

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1. 
The  Commission  shall  be  assisted  by  the  European  Statistical  System  Committee 
established by Regulation (EC) No 223/2009. That committee shall be a committee within the 
meaning of Regulation (EU) No 182/2011. 

Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 

2. 
shall apply.’ 

Article 2 

This Regulation shall not affect the procedures for the adoption of measures provided for in 
Regulation (EC) No 577/98 which have been initiated but not completed before the entry into 
force of this Regulation. 

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

Article 3 

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

Done at Brussels, 

For the European Parliament 

For the Council 

The President 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative  

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

1.3.  Nature of the proposal/initiative  

1.4.  Objectives  

1.5.  Grounds for the proposal/initiative  

1.6.  Duration and financial impact  

1.7.  Management mode(s) envisaged  

2. 

MANAGEMENT MEASURES 

2.1.  Monitoring and reporting rules  

2.2.  Management and control system  

2.3.  Measures to prevent fraud and irregularities  

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

3.2.  Estimated impact on expenditure  

3.2.1. Summary of estimated impact on expenditure  

3.2.2. Estimated impact on operational appropriations  

3.2.3. Estimated impact on appropriations of an administrative nature 

3.2.4. Compatibility with the current multiannual financial framework 

3.2.5. Third-party contributions  

3.3.  Estimated impact on revenue

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE 

1.1. 

Title of the proposal/initiative 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending 
Council  Regulation  (EC)  No  577/98  on  the  organisation  of  a  labour  force  sample  survey  in 
the Community 

1.2. 

Policy area(s) concerned in the ABM/ABB structure11 

3403 – Production of statistical information 

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 
action12 

X The proposal/initiative relates to the extension of an existing action 

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

1.4. 

Objectives 

1.4.1.  The  Commission’s  multiannual 

strategic  objective(s) 

targeted  by 

the 

proposal/initiative 

Community Statistical Programme 2008 to 2012, Title VIII ‘Employment’. 

Regulation  (EU)  No  99/2013  of  the  European  Parliament  and  of  the  Council  of  15  January 
2013 on the European statistical programme 2013-201713, section 3.2 ‘People’s Europe’. 

1.4.2. 

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

Specific objective No. 

Specific objective 1-data production 

ABM/ABB activity(ies) concerned 

3403 – Production of statistical information 

11 
12 
13 

ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 
OJ L 39, 9.2.2013, p. 12. 

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1.4.3.  Expected result(s) and impact 

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

Collect  statistical  information  on  specific  topics  linked  to  the  labour  market  and  relevant  to 
EU  policy  initiatives  (a  different  topic  each  year,  on  proposal  from  policymakers;  for 
example, in 2010 data were collected on reconciliation between work and family life, in 2011 
on the situation of disabled people on the labour market, and in 2012 on transition from work 
to retirement). 

Given  the  possibility  to  cross  that  information  with  the  variables  collected  regularly  in  the 
core  Labour  Force  Survey  (LFS),  the  initiative  will  provide  comparable  statistical  evidence 
for the formulation and evaluation of specific EU initiatives linked to the labour market. 

1.4.4. 

Indicators of results and impact 

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

The Commission (Eurostat) defines common European Statistical System guidelines 
for the implementation of the LFS ad hoc modules. The quality of the statistical data 
will be ensured through specific checks of the minimum sample size. 

1.5. 

Grounds for the proposal/initiative 

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

Comparable indicators regarding the specific topic of the module (a different one each year) 
published. 

Special publications reporting results. 

Microdata released to research community. 

1.5.2.  Added value of EU involvement 

Comparability  of  results  at  EU  level  on  specific  EU  initiatives  —  which  is  necessary  for 
policymaking measures. 

1.5.3.  Lessons learned from similar experiences in the past 

Only a legal act accompanied by Union financing support can ensure the participation of all 
Member States, which is essential for the usefulness of the data for policymaking. 

1.5.4.  Coherence and possible synergy with other relevant instruments 

Being a module attached to the Labour Force Survey, the data provided by the module will be 
consistent with the LFS and exploitable simultaneously with it, thus enhancing the results. 

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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 

X Proposal/initiative of unlimited duration 

–  Implementation with a start-up period from YYYY to YYYY, 

–  followed by full-scale operation. 

1.7.  Management mode(s) envisaged14 

X Centralised direct management by the Commission 

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

–  (cid:133)  executive agencies 

–  (cid:133)  bodies set up by the Communities15 

–  (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 

The  data  collection  will  be  co-financed  by  the  EU  with  grants  to  the  National  Statistical 
Institutes  (all  of  them  being  public  bodies)  which  may  take  the  form  of  lump  sums  in 
accordance with the Financial Regulation. 

14 

15 

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

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2. 

MANAGEMENT MEASURES 

2.1.  Monitoring and reporting rules 

Specify frequency and conditions. 

Regular  in-depth  reporting  of  quality  implementation  is  in  place,  according  to  specific 
Eurostat rules. 

Grant recipients must deliver the data collected and the corresponding quality report. 

2.2.  Management and control system 

2.2.1.  Risk(s) identified 

Direct management mode = inherent risks limited to management of grants. 

2.2.2.  Control method(s) envisaged 

Use of simplified form of grants may reduce the risk of errors. 

2.3.  Measures to prevent fraud and irregularities 

Specify existing or envisaged prevention and protection measures. 

All the potential recipients of grants are public bodies (National Statistical Institutes). 
They are grants without calls for proposals. Controls are in place, taking into account 
these specific grant procedures, and involve ex-ante and ex-post analysis of the grant 
management. 

The use of lump sums, in accordance with Article 124(1) of the Financial Regulation, 
substantially reduces the risk of errors relating to the management of grants in order 
to allow significantly simplified administration. 

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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. 
(16) 

from 
EFTA17 
countries 

from 
candidate 
countries18 

from third 
countries 

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

[XX.YY.YY.YY] 

Diff/non
-diff. 

YES/N
O 

YES/N
O 

YES/N
O 

YES/NO 

•  New budget lines requested 

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of 
expenditure

Contribution  

HEADING 1: Smart and Inclusive 
Growth 

Diff./non-
diff. 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

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

Heading of 
multiannual 
financial 
framework 

Heading of 
multiannual 
financial 
framework 

04 03 02 01 XX 

1a 

PROGRESS — Support the 
development, implementation, 
monitoring and evaluation of Union 
employment and social policy and 
legislation on working conditions 

DA 

YES 

YES 

NO 

NO 

16 
17 
18 

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 

15 

   EN 

 
 
 
                                                 
3.2. 

Estimated impact on expenditure 

3.2.1. 

Summary of estimated impact on expenditure 

Heading of multiannual financial 
framework:  

Number  HEADING 1: Smart and Inclusive Growth 

EUR million (to 3 decimal places) 

DG EMPL 

(cid:121) Operational appropriations  

Number of budget line 

Number of budget line 

of 

administrative 
Appropriations 
 from the envelope for specific programmes20  
Number of budget line 29.010405 

an 

Year 
N19 

2014 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Year 
N+4 

Year 
N+5 

Year 
N+6 

TOTAL 

2015 

2016 

2017 

2018 

2019 

2020 

2 
0.8 

2 
0.8 

2 
2 

2 
2 

2 
2 

2 
2 

2 
2 

14 
11.6 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1a) 

(2a) 

nature 

financed 

TOTAL appropriations 
for DG EMPL 

Commitments 

Payments 

=1+1a 
+3 

=2+2a 

+3 

(3) 

0.047 

0.047 

0.047 

0.047 

0.047 

0.047 

0.047 

2.047 

2.047 

2.047 

2.047 

2.047 

2.047 

2.047 

0.329 

14,329 

0.847 

0.847 

2.047 

2.047 

2.047 

2.047 

2.047 

11.929 

Note: This calculation presumes a pre-financing of 40 % in year N and a final payment of 60 % in year N+2. 

19 
20 

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. 

16 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Heading of multiannual financial 
framework:  

5 

 Administrative expenditure  

EUR million (to 3 decimal places) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Year 
N+4 

Year 
N+5 

Year 
N+6 

TOTAL 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

0.223 

0.223 

0.223 

0.223 

0.223 

0.223 

0.223 

1.559 

DG ESTAT 

(cid:121) Human resources  

(cid:121) Other administrative expenditure  

TOTAL DG ESTAT 

Appropriations  

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Year 
N+4 

Year 
N+5 

Year 
N+6 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

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

Commitments 

2.270 

2.270 

2.270 

2.270 

2.270 

2.270 

2.270 

Payments 

1.070 

1.070 

2.270 

2.270 

2.270 

2.270 

2.270 

TOTAL 

15,890 

13,490 

EUR million (to 3 decimal places) 

EN 

17 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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: 

Indicate 
objectives and 
outputs 

Year 
N 

2014 

Year 
N+1 

2015 

Year 
N+2 

2016 

Year 
N+3 

2017 

OUTPUTS 

Commitment appropriations in EUR million (to 3 decimal places) 

Year 
N+4 

2018 

Year 
N+5 

2019 

Year 
N+6 

2020 

TOTAL 

(cid:216) 

Type 
of 
output
21 

Avera
ge 
cost  
of the 
output 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

SPECIFIC OBJECTIVE No 122 

Provide quality statistics on key areas of social policy 

Number of 
records 

Survey 
micro-
data 

3.4 
€/recor
d 

Sub-total for specific objective No 1 

TOTAL COST 

580,
905 

580,
905 

580,
905 

2  

2  

2  

580,
905 

580,
905 

580,
905 

2  

2  

2  

580,90
5 

580,90
5 

580,90
5 

2  

580,905 

2  

2  

580,905 

2  

2  

580,905 

2  

580,
905 

580,
905 

580,
905 

2  

2  

2  

58
0,9
05

58
0,9
05 

58
0,9
05 

2  

2  

2  

580,
905 

580,
905 

580,
905 

2  

2  

2  

Total 
numbe
r of 
output
s 

4,066,
336 

4,066,
336 

4,066,
336 

Total  
cost 

14  

14  

14  

21 
22 

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

EN 

18 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary 

–  (cid:133)  The  proposal/initiative  does  not 

require 

the  use  of  administrative 

appropriations 

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

explained below: 

EUR million (to 3 decimal places) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

2014 

2015 

2016 

2017 

Year 
N+4 

2018 

Year 
N+5 

2019 

Year 
N+6 

2020 

TOTAL 

0.223 

0.223 

0.223 

0.223 

0.223 

0.223 

0.223 

1.559 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 523 
of the multiannual 
financial framework  

Human resources  

0.047 

0.047 

0.047 

0.047 

0.047 

0.047 

0.047 

0.328 

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

TOTAL 

0.270 

0.270 

0.270 

0.270 

0.270 

0.270 

0.270 

1.887 

23 

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 

19 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.   Estimated requirements of human resources 

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

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

below: 

Estimate to be expressed in full time equivalent units (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 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

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

29 01 01 01 (Headquarters and Commission’s 
Representation Offices) 

1.7 

1.7 

1.7 

1.7 

1.7 

1.7 

1.7 

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)24 

29 01 02 01 (CA, INT, SNE from the ‘global 
envelope’) 

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

29 01 04 05 25 

- at Headquarters26 

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

- 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 

2.3 

2.3 

2.3 

2.3 

2.3 

2.3 

2.3 

XX is the policy area or budget title concerned. 

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

Description of tasks to be carried out: 

Officials and temporary agents 

Officials carry out the following tasks: 

- Methodological work for the sound definition of the survey 

24 

25 
26 

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 

20 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
- IT work for receiving, validating and processing the data 

- Data analysis, data release and user support 

External personnel 

SNE carry out the following tasks: 

- Methodological work for the sound definition of the survey 

EN 

21 

   EN 

 
3.2.4.  Compatibility with the current multiannual financial framework 

–  X  Proposal/initiative  is  compatible  with  the  current  multiannual  financial 

framework. 

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

multiannual financial framework. 

Not applicable 

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

of the multiannual financial framework27. 

Not applicable 

3.2.5.  Third-party contributions 

–  The proposal/initiative does not provide for co-financing by third parties 

X 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 

Year 
N+4 

Year 
N+5 

Year 
N+6 

Total 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

0.86 

0.86 

0.86 

0.86 

0.86 

0.86 

0.86 

6.02 

0.86 

0.86 

0.86 

0.86 

0.86 

0.86 

0.86 

6.02 

Specify  the  co-financing 
body  

TOTAL appropriations 
co-financed  

Note: these amounts are estimated from historical costs, when 2 million euros financed 70 % 
of the costs. This means they required 0.86 million euros from third parties. Non-profit is 
ensured through proper ex-ante calculation of lump sum amounts for each recipient (i.e. each 
Member State). 

27 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

22 

   EN 

 
 
                                                 
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 

Appropriation
s available for 
the ongoing 
budget year 

Budget revenue line: 

Article …………. 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative28 

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. 

Not applicable 

Specify the method for calculating the impact on revenue. 

Not applicable 

28 

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 

23 

   EN