Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Council Regulation (EC) No 1225/2009 on protection against dumped imports from countries not members of the European Community and Council Regulation (EC) No 597/2009 on protection against subsidised imports from countries not members of the European Community
Date: 2013-04-10
Institutions: European Commission
Subjects: anti-dumping duty, anti-dumping measure, anti-subsidy proceeding, import (EU), originating product, third country

EUROPEAN 
COMMISSION 

Brussels, 10.4.2013  
COM(2013) 192 final 

2013/0103 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Council Regulation (EC) No 1225/2009 on protection against dumped imports 
from countries not members of the European Community and Council Regulation (EC) 
No 597/2009 on protection against subsidised imports from countries not members of the 
European Community 

{SWD(2013) 105 final} 
{SWD(2013) 106 final} 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

Grounds for and objectives of the proposal  

This  proposal  concerns  amendments  to  Regulation  (EC)  No  1225/2009  (“the  basic  anti-
dumping regulation”) and Regulation (EC) No 597/2009 (“the basic anti-subsidy regulation”). 
Taking account of the fact that these Regulations have not been substantially revised since the 
completion  of  the  Uruguay  Round  in  1995  and  taking  account  of  the  conclusions  of  the 
evaluation study carried out into the functioning of these instruments, it is proposed to update 
and modernise the instruments. 

General context 

Article 207 of the Treaty on the Functioning of the European Union provides, inter alia, for 
measures to be established to protect trade such as those to be taken in the event of dumping 
or subsidies. 

Existing provisions in the area of the proposal 

The above-mentioned Council Regulations. 

Consistency with the other policies and objectives of the Union 

There is no conflict with any policy or objective of the Union. 

2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENTS 

Consultation of interested parties 

Interested  parties  concerned  by  this  proposal  have  had  the  opportunity  to  participate  in  the 
Public  consultation  carried  out  from  April  to  July  2012.  A  summary  of  the  results  of  the 
public consultation has been available on DG Trade’s website since October 2012. 

Collection and use of expertise 

An  evaluation  study  into  the  functioning  of  the  EU’s  anti-dumping  and  anti-subsidy 
instruiments was finalised in early-2012 and has been available on DG Trade’s website since 
then. 

Impact Assessment 

Taking  into  account  the  results  of  the  public  consultation,  the  evalutation  study  and  the 
Commission's  extensive  practice  in  the  use  of  the  instruments  an  impact  assessment  was 
carried  out  in  autumn  2012.  The  impact  assessment  report  identified  problems  in  the 
functioning  of  the  trade  defence  instruments  and  proposed  various  solutions.  The  Impact 
Assessment  Board  considered  the  report  in  December  2012  and  gave  a  favourable  opinion 
subject to some revisions to the report. The report has since been revised and finalised. The 
preferred solutions form the basis for this proposal. 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

Summary of the proposed action 

It is proposed to amend the basic anti-dumping and basic anti-subsidy Regulations in order to 
improve them in a number of areas. Regarding transparency and predictability, these will be 
enhanced  by  providing  that  interested  parties  are  informed  two  weeks  in  advance  of  the 

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imposition of provisional measures that such measures are going to be imposed. Parties will 
also be given a guarantee that the measures will not be imposed within this two week period. 
A  summary  of  the  basis  on  which  it  is  intended  to  impose  the  measures  will  be  sent  to 
interested  parties  and  they  will  have  the  opportunity  to  comment  on  the  calculation  of  the 
dumping  and  injury  margins.  Furthermore,  when  it  is  decided  not  to  impose  provisional 
measures but to continue the investigation, interested parties will be informed of the intention 
not to impose such measures two weeks in advance of the ultimate date for imposition. 

Concerning  threats  of  retaliation  against  Union  producers  who  are  considering  lodging  an 
anti-dumping  and/or  anti-subsidy  complaint,  such  threats  can  be  considered  to  constitute 
special  circumstances  that  warrant  the  ex-officio  opening  of  an  investigation.  Furthermore, 
when  investigations  are  opened  on  an  ex-officio  basis,  it  is  proposed  to  oblige  Union 
producers to cooperate in the proceeding.  

In regard to the effectiveness of the instruments, it is proposed to remove the lesser duty rule 
in  cases  of  circumvention,  or  where  structural  raw  material  distortions  have  been  found  to 
exist,  and  subsidisation.  Concerning  reviews,  it  is  proposed  to  reimburse  duties  collected 
during an expiry review investigation that is concluded by the repeal of the measures.  

Finally,  there  are  a  number  of  areas  where  it  is  proposed  to  codify  certain  practices  which 
stem from ECJ or WTO rulings that have been handed down in recent years. These concern 
the  definition  of  Union  industry,  the  consequences  for  exporting  producers  found  not  to  be 
dumping  or  to  be  dumping  at  de-minimis  levels  in  an  original  investigation,  dealing  with 
changed circumstances in a review investigation, the treatment of related companies in anti-
circumvention  investigations, the conditions  for the registration of imports and the basis for 
choosing a sample of Union producers.  

Legal basis 

Article 207 of the Treaty on the Functioning of the European Union. 

Subsidiarity principle 

The  proposal  falls  under  the  exclusive  competence  of  the  Union.  The  subsidiarity  principle 
therefore does not apply. 

Proportionality principle 

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

The form of action is described in the aforementioned basic Regulations and leaves no scope 
for national decisions.  

It  will  not  entail  any  increased  financial  or  administrative  burden  on  the  Union,  national 
governments,  regional  and  local  authorities,  economic  operators  and  citizens.  However,  the 
reimbursement of duties collected during an ongoing expiry review, if such an expiry review 
does not lead to a prolongation of measures, is handled by national customs authorities. The 
additional workload on customs authorities is considered to be small and proportionate to the 
objective of the proposal, i.e. increasing fairness of the instruments.  

The non-application of the lesser duty rule in cases of circumvention, or where structural raw 
material  distortions  have  been  found  to  exist,  and  subsidisation  is  proportionate  to  the 
additional need to protect trade in these situations. 

Choice of instruments 

Proposed instruments: Regulation. 

Other means would not be adequate for the following reason(s): 

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The aforementioned basic Regulations do not provide for alternative options. 

4. 

BUDGETARY IMPLICATION  

The  proposal  has  implications  for  the  Union  budget.  The  non-application  of  the  lesser  duty 
rule  under  certain  circumstances  will  in  some  cases  lead  to  higher  duty  levels  and  is  thus 
revenue enhancing. The reimbursement of duties in cases where measures are terminated after 
an expiry review represents an expense for the Union budget. Quantification is very difficult 
since any revenue or expense depends on the circumstances of each individual case.  

The proposed legislative changes will also entail some changes to the practice. These will not 
have  any  budgetary  implications  but  changes  to  the  working  routines  (e.g.:  pre-disclosure, 
advance notice, summary document). The upgrading of the SME helpdesk (explained in the 
communication)  has  resource  implications  set  out  in  the  attached  legislative  financial 
statement.  

5. 

OPTIONAL ELEMENTS  

Not applicable. 

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2013/0103 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Council Regulation (EC) No 1225/2009 on protection against dumped 
imports from countries not members of the European Community and Council 
Regulation (EC) No 597/2009 on protection against subsidised imports from 
countries not members of the European Community 

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 207(2) 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) 

The  common  rules  for  protection  against  dumped  and  subsidised  imports  from 
countries which are not members of the European Union are contained in Council 
Regulation  (EC)  No  1225/2009  of  30 November  2009  on  protection  against 
dumped  imports  from  countries  not  members  of  the  European  Community1  and 
Council  Regulation  (EC)  No  597/2009  of  11 June  2009  on  protection  against 
subsidised  imports  from  countries  not  members  of  the  European  Community2 
respectively (hereinafter jointly referred to as the 'Regulations'). The Regulations 
were  initially  adopted  in  1995  following  the  conclusion  of  the  Uruguay  Round. 
Given that a number of amendments were made to the Regulations since then, the 
Council  decided  in  2009  to  codify  the  regulations  in  the  interest  of  clarity  and 
rationality. 

(2)  While  the  Regulations  have  been  amended,  there  has  not  been  a  fundamental 
review  of  the  functioning  of  these  instruments  since  1995.  As  a  result,  the 
Commission launched a review of the Regulations in 2011 in order to, inter alia, 
better reflect the needs of business at the beginning of the 21st century.  

(3) 

Following the review, certain provisions of the Regulations should be amended in 
order  to  improve  transparency  and  predictability,  provide  for  effective  measures 

1 
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OJ L 343, 22.12.2009, p. 51. 
OJ L 188, 18.7.2009, p. 93. 

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(4) 

(5) 

(6) 

to  fight  against  retaliation,  improve  effectiveness  and  enforcement  and  optimise 
review  practice.  In  addition,  certain  practices  that  in  recent  years  have  been 
applied in the context of anti-dumping and anti-subsidy investigations should be 
included in the Regulations. 

In  order  to  improve  transparency  and  predictability  of  anti-dumping  and  anti-
subsidy investigations, the parties affected by the imposition of provisional anti-
dumping  and  countervailing  measures,  in  particular  importers,  should  be  made 
aware  of  the  impending  imposition  of  such  measures.  The  time  given  should 
correspond to the period between the submission of the draft implementing act to 
the anti-dumping committee established pursuant to Article 15 of Regulation (EC) 
No 1225/2009 and the anti-subsidy committee established pursuant to Article 25 
of Regulation (EC) No 597/2009 and the adoption of that act by the Commission. 
This  period  is  fixed  in  Article  3(3)  of  Regulation  (EU)  No  182/2011.  Also,  in 
investigations  where  it  is  not  appropriate  to  impose  provisional  measures,  it  is 
desirable that parties are aware sufficiently in advance of such non-imposition. 

A  short  period  of  time  in  advance  of  the  imposition  of  provisional  measures 
should  be  allowed  for  exporters  or  producers  to  check  the  calculation  of  their 
individual dumping or subsidy margin. Calculation errors could then be corrected 
in advance of the imposition of measures. 

In order to ensure effective measures to fight against retaliation, Union producers 
should  be  able  to  rely  on  the  Regulations  without  fear  of  retaliation  by  third 
parties. Existing provisions, under special circumstances, provide for the initiation 
of  an  investigation  without  having  received  a  complaint,  where  sufficient 
evidence of the existence of dumping, countervailable subsidies, injury and causal 
link exists. Such special circumstances should include threat of retaliation.  

(7)  When  an  investigation  is  not  initiated  by  a  complaint,  an  obligation  should  be 
imposed on Union producers to provide the necessary information in order for the 
investigation to proceed, in order to ensure that sufficient information is available 
for carrying out the investigation in case of such threats of retaliation. 

(8) 

Third  countries  increasingly  interfere  in  trade  of  raw  materials  with  a  view  to 
keeping raw materials in those countries for the benefit of domestic downstream 
users, for instance by imposing export taxes or operating dual pricing schemes. As 
a  result,  the  costs  of  raw  materials  do  not  result  from  the  operation  of  normal 
market  forces  reflecting  supply  and  demand  for  a  given  raw  material.  Such 
interference  creates  additional  distortions  of  trade.  As  a  consequence,  Union 
producers are not only harmed by dumping, but suffer, compared to downstream 
producers from third countries engaged in such practices, additional distortions of 
trade. In order to protect trade adequately, the lesser duty rule shall not apply in 
such cases of structural raw material distortions. 

(9)  Within the Union, countervailable subsidies are in principle prohibited pursuant to 
Article  107  (1)  TFEU.  Therefore,  countervailable  subsidies  granted  by  third 
countries are particularly distortive of trade. The amount of State aid authorized 
by  the  Commission  has  steadily  been  reduced  over  time.  For  the  anti-subsidy 

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instrument, the lesser duty rule should hence no longer be applied to imports from 
a country/countries engaged in subsidisation.  

(10) 

In order to optimise the review practice, duties collected during the investigation 
should  be  reimbursed  to  importers,  where  measures  are  not  prolonged  after  the 
conclusion  of  an  expiry  review  investigation.  This  is  appropriate  given  that  the 
conditions required for  the  continuation of the measures have not been found  to 
exist during the investigation period. 

(11)  Certain practices which in recent years have been applied in the context of anti-
dumping and anti-subsidy investigations should be included into the Regulations.  

(12)  The  Union  industry  should  no  longer  be  defined  by  reference  to  the  initiation 

thresholds set out in the Regulations. 

(13) 

(14) 

In initial investigations where dumping or subsidy margins have been found to be 
less  than  the  de  minimis  thresholds,  the  investigation  should  be  immediately 
terminated  in  relation  to  exporters  that  will  not  be  subject  to  subsequent  review 
investigations.  

In the framework of anti-dumping and anti-subsidy review investigations, it seems 
appropriate  to  be  able  to  change  methodology  as  compared  to  the  investigation 
that  led  to  the  imposition  of  the  measure  in  order  to  ensure  that,  inter  alia, 
coherent methodologies are used across different investigations at a given point in 
time.  This  will  allow,  in  particular,  scope  to  change  methodologies  which  are 
revised over time as situations change. 

(15)  When  the  conditions  are  met  for  initiating  an  anti-circumvention  investigation, 

imports should in all cases be made subject to registration. 

(16) 

In  anti-circumvention  investigations,  it  seems  advisable  to  remove  the  condition 
that,  in  order  to  be  granted  an  exemption  from  registration  or  extended  duties, 
producers of the product concerned should not be related to any producer subject 
to  the  original  measures.  This  is  because  experience  shows  that  sometimes 
producers of the product concerned are found not to be engaged in circumvention 
practices but are found to be related to a producer subject to the original measures. 
In  such  cases  the  producer  should  not  be  denied  an  exemption  merely  on  the 
grounds that the company is related to a producer subject to the original measures. 
Also,  when  the  circumvention  practice  takes  place  in  the  Union,  the  fact  that 
importers are related to producers subject to the measures should not be decisive 
in determining whether the importer may be granted an exemption. 

(17)  Where the number of producers in the Union is so large that resort must be made 
to sampling, a sample of producers should be chosen from among all producers in 
the Union and not just from among producers lodging the complaint. 

(18) 

In  making  the  Union  interest  assessment,  the  opportunity  to  provide  comments 
should be given to all producers in the Union and not just those producers lodging 
the complaint. 

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(19)  Regulation  (EC)  No  1225/2009  and  Regulation  (EC)  No  597/2009  should 

therefore be amended accordingly, 

HAVE ADOPTED THIS REGULATION: 

Regulation (EC) No 1225/2009 is amended as follows:  

Article 1 

1. 

In Article 4(1), the introductory wording is replaced by the following:  

'1. For the purposes of this Regulation, the term ‘Union industry’ shall be interpreted as 
referring  to  the  Union  producers  as  a  whole  of  the  like  products  or  to  those  of  them 
whose collective output of the products constitutes a major proportion of the total Union 
production of those products, except that:'  

2. 

In Article 6, the following paragraph 10 is added: 

'10.  Union producers of the like product are obliged to cooperate in proceedings that 
have been initiated pursuant to Article 5(6).' 

3. 

Article 7 is amended as follows:  

(a) in paragraph 1, the following sentence is added: 

'Provisional duties shall not be applied within a period of two weeks after the information 
is sent to interested parties under Article 19a. The provision of such information shall not 
prejudice any subsequent decision that may be taken by the Commission.'  

(b) paragraph 2 is replaced by the following: 

'The  amount  of  the  provisional  anti-dumping  duty  shall  not  exceed  the  margin  of 
dumping  as  provisionally  established.  Unless  structural  raw  material  distortions  were 
found to exist with regard to the product concerned in the exporting country, it should be 
less  than  the  margin  of  dumping  if  such  lesser  duty  would  be  adequate  to  remove  the 
injury to the Union industry.’ 

4. 

Article 9 is amended as follows: 

(a) paragraph 3 is replaced by the following: 

'3. For a proceeding initiated pursuant to Article 5(9), injury shall normally be regarded 
as  negligible  where  the  imports  concerned  represent  less  than  the  volumes  set  out  in 
Article  5(7).  For  the  same  proceeding,  there  shall  be  immediate  termination  where  it  is 

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determined that the margin of dumping is less than 2 %, expressed as a percentage of the 
export price.' 

(b) in paragraph 4, the last sentence is replaced by the following: 

'The  amount  of  the  anti-dumping  duty  shall  not  exceed  the  margin  of  dumping 
established. Unless structural raw material distortions were found to exist with regard to 
the  product  concerned  in  the  exporting  country,  it  shall  be  less  than  the  margin  of 
dumping  if  such  lesser  duty  would  be  adequate  to  remove  the  injury  to  the  Union 
industry.'  

5. 

Article 11 is amended as follows: 

(a) in paragraph 5, the following subparagraph is added:  

'If  following  an  investigation  pursuant  to  paragraph  2,  the  measure  expires,  any  duties 
collected from the date of the initiation of such investigation shall be repaid provided that 
this  is  requested  from  national  customs  authorities  and  granted  by  those  authorities  in 
accordance  with  the  applicable  Union  customs  legislation  concerning  repayment  and 
remission  of  duty.  Such  repayment  does  not  give  rise  to  the  payment  of  interest  by  the 
national customs authorities concerned.' 

(b) paragraph 9 is deleted. 

6. 

Article 13 is amended as follows: 

(a) in paragraph 3, the second sentence is replaced by the following: 

‘Initiations shall be made, after consultation of the Advisory Committee, by Commission 
Regulation  which  shall  also  instruct  the  customs  authorities  to  make  imports  subject  to 
registration in accordance with Article 14(5) or to request guarantees.’  

(b) in paragraph 4, the first subparagraph is replaced by the following: 

'Imports shall not be subject to registration pursuant to Article 14(5) or measures where 
they are  traded by companies which  benefit  from exemptions.  Requests  for exemptions 
duly  supported  by  evidence  shall  be  submitted  within  the  time-limits  established  in  the 
Commission  regulation  initiating  the  investigation.  Where  the  circumventing  practice, 
process or work takes place outside the Union, exemptions may be granted to producers 
of the product concerned that are found not to be engaged in circumvention practices as 
defined in paragraphs 1 and 2 of this Article. Where the circumventing practice, process 
or work takes place inside the Union, exemptions may be granted to importers that can 

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show that they are not engaged in circumvention practices as defined in paragraphs 1 and 
2 of this Article.'  

7. 

Article 17(1) is replaced by the following: 

‘1.  In  cases  where  the  number  of  Union  producers,  exporters  or  importers,  types  of 
product or transactions is large, the investigation may be limited to a reasonable number 
of parties, products or transactions by using samples which are statistically valid on the 
basis of information available at the time of the selection, or to the largest representative 
volume of production, sales or exports which can reasonably be investigated within the 
time available.’  

8. 

After Article 19, the following Article is inserted: 

'Article 19a 

Information about provisional measures 

1.  The  Union  producers,  importers  and  exporters  and  their  representative  associations, 
and  representatives  of  the  exporting  country,  may  request  information  on  the  planned 
imposition of provisional duties. Requests for such information shall be made in writing 
within  the  time  limit  prescribed  in  the  notice  of  initiation.  Such  information  shall  be 
provided to those parties, at least two weeks before the expiry of the deadline mentioned 
in Article 7(1) for the imposition of provisional duties. Such information shall include: 

(a) a summary of the proposed duties for information purposes only, and  

(b) details of the calculation of the dumping margin and the margin adequate to remove 
the  injury  to  the  Union  industry,  due  account  being  taken  of  the  need  to  respect  the 
confidentiality  obligations  contained  in  Article  19.  Parties  shall  have  a  period  of  three 
working days to provide comments on the accuracy of the calculations. 

In cases where it is intended not to impose provisional duties but to continue the 
2. 
investigation,  interested  parties  shall  be  informed  of  the  non-imposition  of  duties  two 
weeks before the expiry of the deadline mentioned in Article 7(1) for the imposition of 
provisional duties.'  

9. 

Article 21(2) is replaced by the following: 

'2.  In  order  to  provide  a  sound  basis  on  which  the  authorities  can  take  account  of  all 
views and information in the decision as to whether or not the imposition of measures is 
in  the  Union  interest,  the  Union  producers,  importers  and  their  representative 
associations, representative users and representative consumer organisations may, within 
the  time-limits  specified  in  the  notice  of  initiation  of  the  anti-dumping  investigation, 
make themselves known and provide information to the Commission. Such information, 

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or appropriate summaries thereof, shall be made available to the other parties specified in 
this Article, and they shall be entitled to respond to such information.'  

Regulation (EC) No 597/2009 is amended as follows: 

Article 2 

1. 

In Article 9(1), the introductory wording is replaced by the following: 

'1. For the purposes of this Regulation, the term ‘Union industry’ shall be interpreted as 
referring  to  the  Union  producers  as  a  whole  of  the  like  products  or  to  those  of  them 
whose collective output of the products constitutes a major proportion of the total Union 
production of those products, except that:'  

2. 

In Article 11, a new paragraph is added: 

'11.  Union producers of the like product are obliged to cooperate in proceedings that 
have been initiated pursuant to Article 10(8).'  

3. 

Article 12(1) is amended as follows:  

(a) subparagraph 3 is replaced by the following: 

'The amount of the provisional countervailing duty shall not exceed the total amount of 
countervailable subsidies as provisionally established.' 

(b) the following subparagraph is added at the end: 

'Provisional duties shall not be applied within a period of two weeks after the information 
is sent to interested parties under Article 29b. The provision of such information shall not 
prejudice any subsequent decision that may be taken by the Commission.'  

4. 

In Article 14, paragraph 5 is replaced by the following: 

'5.  The  amount  of  the  countervailable  subsidies  shall  be  considered  to  be  de  minimis  if 
such  amount  is  less  than  1%  ad  valorem,  except  where,  as  regards  investigations 
concerning imports from developing countries, the de minimis threshold shall be 2% ad 
valorem.' 

5. 

In Article 15(1), the last subparagraph is replaced by the following:  

'The  amount  of  the  countervailing  duty  shall  not  exceed  the  amount  of  countervailable 
subsidies established.'  

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6. 

Article 22 is amended as follows: 

(a) in paragraph 1 the following subparagraph is added:  

'If  following  an  investigation  pursuant  to  Article  18,  the  measure  expires,  any  duties 
collected  after  the  date  of  the  initiation  of  such  investigation  shall  be  reimbursed.  The 
reimbursement should be requested from national customs authorities in accordance with 
the applicable Union customs legislation.'  

(b) paragraph 6 is deleted. 

7. 

Article 23 is amended as follows: 

(a) in paragraph 4 second sentence, the word “may” is replaced by “shall”.  

 (b) in paragraph 6, the second subparagraph is replaced by the following:  

‘Where  the  circumventing  practice,  process  or  work  takes  place  outside  the  Union, 
exemptions may be granted to producers of the product concerned that are found not to 
be engaged in circumvention practices as defined in paragraph 3.'  

(c) in paragraph 6, the third subparagraph is replaced by the following: 

‘Where  the  circumventing  practice,  process  or  work  takes  place  inside  the  Union, 
exemptions  may  be  granted  to  importers  that  can  show  that  they  are  not  engaged  in 
circumvention practices as defined in paragraph 3.’  

8. 

In Article 27(1), the first subparagraph is replaced by the following:  

‘1.  In  cases  where  the  number  of  Union  producers,  exporters  or  importers,  types  of 
product or transactions is large, the investigation may be limited to:’  

9. 

After Article 29, the following Article is inserted: 

'Article 29b 

Information about provisional measures 

1.  The  Union  producers,  importers  and  exporters  and  their  representative  associations, 
and  the  country  of  origin  and/or  export,  may  request  information  on  the  planned 
imposition of provisional duties. Requests for such information shall be made in writing 
within  the  time  limit  prescribed  in  the  notice  of  initiation.  Such  information  shall  be 

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provided to those parties, at least two weeks before the expiry of the deadline mentioned 
in Article 12(1) for the imposition of provisional duties.  

Such information shall include: 

(a) a summary of the proposed duties for information purposes only, and  

(b) details of the calculation of the subsidy margin and the margin adequate to remove the 
injury  to  the  Union  industry,  due  account  being  taken  of  the  need  to  respect  the 
confidentiality  obligations  contained  in  Article  29.  Parties  shall  have  a  period  of  three 
working days to provide comments on the accuracy of the calculations. 

2.  In  cases  where  it  is  intended  not  to  impose  provisional  duties  but  to  continue  the 
investigation,  interested  parties  shall  be  informed  of  the  non-imposition  of  duties  two 
weeks before the expiry of the deadline mentioned in Article 12(1) for the imposition of 
provisional duties.' 

10. 

Article 31(2) is replaced by the following: 

'2.  In  order  to  provide  a  sound  basis  on  which  the  authorities  can  take  account  of  all 
views and information in the decision as to whether or not the imposition of measures is 
in  the  Union  interest,  the  Union  producers,  importers  and  their  representative 
associations, representative users and representative consumer organisations may, within 
the  time-limits  specified  in  the  notice  of  initiation  of  the  countervailing  investigation, 
make themselves known and provide information to the Commission. Such information, 
or appropriate summaries thereof, shall be made available to the other parties specified in 
this paragraph, and they shall be entitled to respond to such information.'  

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

Article 3 

Article 4 

This  Regulation  shall  apply  to  all  investigations  for  which  the  notice  of  initiation 
pursuant  to  Article  10  (11)  of  Regulation  (EC)  No  597/2009  or  Article  5  (9)  of 
Regulation (EC) No 1225/2009 has been published in the Official Journal after the date 
of entry into force of this regulation.  

EN 

13 

   EN 

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

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

EN 

14 

   EN 

SIMPLIFIED FINANCIAL STATEMENT 

(to  be  used  for  any  internal  Commission  Regulation  of  general  significance  with  a 
budgetary  impact  on  appropriations  of  an  administrative  nature  or  on  human  resources, 
when use of any other type of financial statement is not appropriate – Article 23 of the 
Internal Rules) 

1 

Title of draft Regulation: 

Modernisation of trade defence instruments 

2 

Policy area(s) and ABB activity(ies) concerned: 

20: Trade policy  

3 

Legal basis: 

(cid:133) Administrative autonomy  (cid:59) Other ( specify ): 

Council  Regulation  (EC)  No  1225/2009  on  protection  against  dumped  imports  from 
countries not members of the European Community and  

Council  Regulation  (EC)  No  597/2009  on  protection  against  subsidised  imports  from 
countries not members of the European Community  

4 

Description and grounds: 

The  current  EU  Trade  defence  instruments  are  being  modernised  in  order  to  improve 
their  efficiency  and  effectiveness.  The  initiative  consists  of  a  communication,  a 
legislative proposal and guidelines. 

5 

Duration and estimated financial impact: 

5.1 

Period of application: 

(cid:133) 

(cid:59) 

Regulation with a limited duration: Regulation in force from [date] to [date] 

Regulation with an indefinite duration: in force from [date] 

5.2 

Estimated budgetary impact: 

The draft Regulation entails: 

(cid:133) 

savings 

additional  costs  (if  so,  specify  the  heading(s)  of  the  multiannual  financial 

(cid:59) 
framework concerned):  

Heading 5: administrative costs 

Complete  the  estimated  financial  impact  table  in  the  annex  for  appropriations  of  an 
administrative  nature  or  for  human  resources.  If  the  draft  Regulation  is  of  indefinite 
duration, the costs must be indicated for each year of development and then for each year 
of operation at full capacity (in the column "Total/annual cost"). 

5.3 

Third-party contributions to the financing of the draft Regulation: 

EN 

15 

   EN 

 
If  the  proposal  provides  for  co-financing  by  Member  States  or  other  bodies  (please 
specify which), you should give an estimate of the level of co-financing, if known. 

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 

Specify cofinancing source/body 

TOTAL 
cofinanced 

appropriations 

5.4 

Explanation of figures: 

Average 
staff 
020_preparation_en.html 

costs 

are 

shown 

at 

the 

foot  of  page  http://www.cc.cec/budg/pre/legalbasis/pre-040-

6 

(cid:59) 

Compatibility with the current multiannual financial framework: 

The proposal is compatible with existing financial programming. 

The proposal will entail reprogramming of the relevant heading in the multiannual 

(cid:133) 
financial framework. 

The  proposal  requires  use  of  the  flexibility  instrument  or  revision  of  the 

(cid:133) 
multiannual financial framework3. 

7 

(cid:59) 

(cid:133) 

(cid:133) 

Impact of savings or additional costs on the allocation of resources: 

Resources to be obtained by means of internal redeployment within departments 

Resources already allocated to the department(s) concerned 

Resources to be requested during the next allocation procedure 

The human and administrative resources required will be covered by the allocation 
which may be granted to the managing DG under the annual allocation procedure 
in the light of existing budgetary constraints. 

3 

See points 19 and 24 of the Interinstitutional Agreement.  

EN 

16 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
ANNEX: 

ESTIMATED  FINANCIAL  IMPACT  (savings  or  additional  costs)  FOR  APPROPRIATIONS  OF  AN  ADMINISTRATIVE  NATURE  OR  FOR 
HUMAN RESOURCES 

FTE=Full-time equivalent XX is the policy area or title concerned 

EUR million (to three decimal places)  

FTE in persons/year 

Year 

n 

Year 

n+1 

Year 

n+2 

Year 

n+3 

Year 

n+4 

Year 

n+5 

Year 

n+6 

TOTAL 
/Annual cost 

Heading 5 

FTE 

approp. 

FTE 

approp. 

FTE 

approp. 

FTE 

approp. 

FTE 

approp. 

FTE 

approp. 

FTE 

approp. 

FTE 

approp. 

Establishment plan posts (officials and/or temporary staff) 

1 

0,13 

1 

0,13 

1 

0,13 

1 

0,13 

1 

0,13 

1 

0,13 

1 

0,13 

1 

0,13 

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

XX 01 01 02 (Delegations) 

External staff 

XX 01 02 01 (‘global envelope’) 

XX 01 02 02 (Delegations) 

Other budget lines (specify) 

Subtotal – Heading 5 

Outside Heading 5 

Establishment plan posts (officials and/or temporary staff) 

XX 01 05 01 (Indirect research) 

10 01 05 01 (Direct research) 

External staff 

EN 

17 

EN 

 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
XX 01 04 yy 

- Headquarters 

- Delegations 

XX 01 05 02 (Indirect research) 

10 01 05 02 (Direct research) 

Other budget lines (specify) 

Subtotal – Outside Heading 5 

TOTAL 

The human and administrative resources required will be covered by the allocation which may be granted to the managing DG under the annual allocation procedure in the light of existing budgetary constraints. 

EN 

18 

EN 

 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
Other administrative appropriations 

XX is the policy area or title concerned 

EUR million (to three decimal places)  

Year 

n 

Year 

n+1 

Year 

Year 

Year 

Year 

n+2 

n+3 

n+4 

n+5 

Year 

n+6 

TOTAL 

Heading 5 

Headquarters: 

XX 01 02 11 01 - Mission and representation expenses 

XX 01 02 11 02 – Conference and meeting costs 

XX 01 02 11 03 – Committees  

XX 01 02 11 04 - Studies and consultations 

XX 01 03 01 03 - Equipment and furniture 

XX 01 03 01 04 - Services and other operating expenditure  

Other budget lines (specify where appropriate) 

Delegations: 

XX 01 02 12 01 – Missions, conferences and representation expenses 

XX 01 02 12 02 - Further training of staff 

XX 01 03 02 01 – Acquisition, renting and related expenditure 

XX 01 03 02 02 Equipment, furniture, supplies and services 

Subtotal – Heading 5 

Outside Heading 5 

EN 

19 

EN 

 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
 
 
 
 
 
 
 
XX  01  04  yy  -  Expenditure  on  technical  and  administrative  assistance  (not 
including external staff) from operational appropriations (former "BA" lines) 

- Headquarters 

- Delegations 

XX 01 05 03 - Other management expenditure for indirect research 

10 01 05 03 - Other management expenditure for direct research 

Other budget lines (specify where appropriate) 

Subtotal – Outside Heading 5 

GRAND TOTAL 

The human and administrative resources required will be covered by the allocation which may be granted to the managing DG under the annual allocation procedure in the light of existing budgetary constraints.  

EN 

20 

EN