DRAFT AMENDING BUDGET N° 5 TO THE GENERAL BUDGET 2013 STATEMENT OF REVENUE BY SECTION STATEMENT OF EXPENDITURE BY SECTION Section III – Commission
Date: 2013-05-02
Institutions: European Commission
Subjects: European Commission, amending budget, budgetary expenditure, budgetary resources, draft budget (EU)

EUROPEAN 
COMMISSION 

Brussels, 2.5.2013 
COM(2013) 258 final 

DRAFT AMENDING BUDGET N° 5 
TO THE GENERAL BUDGET 2013 

STATEMENT OF REVENUE BY SECTION 

STATEMENT OF EXPENDITURE BY SECTION 
Section III – Commission 

EN 

   EN 

 
 
 
 
  
 
 
DRAFT AMENDING BUDGET N° 5 
TO THE GENERAL BUDGET 2013 

STATEMENT OF REVENUE BY SECTION 

STATEMENT OF EXPENDITURE BY SECTION 
Section III – Commission 

2 

 
 
  
 
 
Having regard to: 

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– 

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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 draft amending budget No 1/20133, adopted on 18 March 2013, 

the draft amending budget No 2/20134, adopted on 27 March 2013, 

the draft amending budget No 3/20135, adopted on 15 April 2013, 

the draft amending budget No 4/20136, adopted on 29 April 2013, 

The  European  Commission  hereby  presents  to  the  budgetary  authority  the  Draft  Amending 
Budget No 5 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 
3  
4  
5  
6  

OJ L 298, 26.10.2012, p. 1. 
OJ L 66, 8.3.2013, p. 1. 
COM(2013) 156. 
COM(2013) 183. 
COM(2013) XXX. 
COM(2013) XXX. 

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TABLE OF CONTENTS 

1. 

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

2.  MOBILISATION OF THE EU SOLIDARITY FUND............................................................................................ 5 

2.1  SLOVENIA.................................................................................................................................................................. 5 
2.2  CROATIA ................................................................................................................................................................... 6 
2.3  AUSTRIA.................................................................................................................................................................... 7 

FINANCING................................................................................................................................................................ 7 

SUMMARY TABLE BY HEADING OF THE FINANCIAL FRAMEWORK..................................................... 9 

3. 

5. 

4 

 
 
  
 
1. 

INTRODUCTION  

Draft Amending Budget (DAB) No 5 for the year 2013 covers the mobilisation of the EU Solidarity 
Fund  for  an  amount  of  EUR 14 607 942  in  commitment  and  payment  appropriations  relating  to  a 
flooding disaster in Slovenia, Croatia and Austria in autumn 2012. 

2. 

MOBILISATION OF THE EU SOLIDARITY FUND 

Intense  rainfall  between  the  end  of  October  and  early  November  2012  caused  rivers  to  burst  their 
banks flooding in wider areas of the rivers Sava, Kupa, Mura and Drava in Slovenia and in the basins 
of  the  rivers  Mura,  Drava  and  Lavant  in  Austria,  as  well  as  on  the  territory  of  Croatia.  The  floods 
caused damage to private and public buildings, water and waste water infrastructure, businesses and to 
agricultural land and forests.  

Subsequently,  Slovenia  submitted  an  application  for  financial  assistance  from  the  European  Union 
Solidarity Fund under the major disaster criterion, whereby Croatia's and Austria's applications were 
submitted under the so-called 'neighbouring country criterion'. 

The  Commission's  analysis  revealed  that  the  flooding  damage  as  presented  in  all  three  applications 
was caused by a single underlying meteorological condition and can therefore be accepted as a single 
event. 

The Commission services  have  carried  out a thorough  examination  of  the  application  in  accordance 
with Council Regulation (EC) No 2012/20027 and in particular with Articles 2, 3 and 4 thereof. The 
most important elements of the assessment are summarised here below. 

2.1 

(1) 

(2) 

(3) 

(4) 

Slovenia 

Slovenia was affected by a first wave of intense rainfall on 27 October 2012 causing damage 
on 28 October; followed by a second wave of heavy rains and stormy weather from 4 and 5 
November resulting in extensive floods. 

The application from Slovenia was received at the Commission on 2 January 2013, within the 
deadline of 10 weeks after the first damage was recorded on 28 October 2012. 

The flooding is of natural origin and therefore falls within the main field of application of the 
Solidarity Fund. The analysis by the Commission services showed that from a meteorological 
and hydrological point of view the two floodwaves had a common underlying cause and can 
therefore be considered as one single event. 

The Slovenian authorities estimated the total direct damage at over EUR 359,535 million. This 
amount represents 1,008 % of Slovenia's GNI and exceeds by far the threshold for mobilising 
the Solidarity Fund of EUR 214,021 million applicable to Slovenia in 2013 (i.e. 0,6 % of GNI 
based on 2011  data). As the estimated total direct damage exceeds the threshold the disaster 
qualifies as a “major natural disaster”. Total direct damage is the basis for the calculation of 
the  amount  of  financial  assistance.  The  financial  assistance  may  only  be  used  for  essential 
emergency operations as defined in Article 3 of the Regulation. 

7 

Council Regulation (EC) No 2012/2002 of 11 November 2002 establishing the European Union Solidarity Fund, 
OJ L 311 of 14.11.2002, p.3. 

5 

 
 
  
 
                                                 
(5) 

(6) 

(7) 

(8) 

2.2 

(1) 

(2) 

(3) 

(4) 

(5) 

As  regards  the  impact  and  consequences  of  the  flooding,  the  Slovenian  authorities  reported 
over  6 130  records  of  damage  in  agriculture  and  forestry.  Over  2 500  homes,  administrative 
and  economic  facilities  as  well  as  10  schools  suffered  damage.  The  local  road  infrastructure 
suffered  significant  damage  and  more  than  one  thousands  of  records  of  damage  to 
watercourses were reported. The application leaves no doubt that the floods which affected the 
greater  part  of  Slovenia  caused  significant  damage  which  under  the  current  financial  and 
economic circumstances represents a serious burden for Slovenia. 

The  cost  of  operations  eligible  under  Article  3(2)  of  Regulation  (EC)  No  2012/2002  is 
estimated  at  EUR 249,608 million  and  presented  broken  down  by  type  of  operation.  The 
largest  share  of  the  cost  of  emergency  operations  (over  EUR 194 million)  concerns  recovery 
operations in the field of water and waste water management. 

The affected region is eligible as a "Convergence Region" under the Structural Funds (2007-
2013).  The  Slovenian  authorities  have  not  signalled  to  the  Commission  any  intention  to  use 
other sources of Community funding to deal with the consequences of the floods. 

The Slovenian authorities indicated that there is no insurance coverage of eligible cost. 

Croatia 

Between 26 October 2012 and early November 2012, Croatia suffered from flooding affecting 
the  northern,  western  and  central  parts  of  Croatia,  in  particular  wider  areas  of  nine  Croatian 
counties. Most damage concerned infrastructure in the field of water, waste water and energy. 

As a country  in  the  process  of negotiating its accession  to  the  EU  Croatia  is  eligible  for  EU 
Solidarity Fund assistance. 

The  application  for  financial  assistance  from  the  European  Union  Solidarity  Fund  was 
presented to the Commission on 3 January 2013 within the deadline of 10 weeks after the first 
damage was recorded on 26 October 2012. 

The  disaster  is  of  natural  origin.  The  Croatian  authorities  estimate  the  total  direct  damage 
caused by the disaster at over EUR 11,463 million. As this amount is below the threshold of 
EUR 259,805 million (i.e. 0,6 % of GNI based on 2011 data) the disaster does not qualify as a 
"major  natural  disaster"  according  to  Council  Regulation  (EC)  No  2012/2002.  However,  the 
disaster  in  Croatia  had  the  same  origins  as  the  flooding  which  led  to  the  major  disaster  in 
Slovenia and 6 of the 9 affected Croatian counties share the border with Slovenia. Therefore, 
the  condition  set  out  in  Article  2(2)  second  subparagraph  of  Council  Regulation  (EC) 
No 2012/2002,  whereby  a  country  affected  by  the  same  major  disaster  as  a  neighbouring 
country may exceptionally benefit from Solidarity Fund aid, was found to be met.  

As  regards  the  impact  and  consequences  of  the  flooding,  the  Croatian  authorities  report  that 
important  infrastructure  and  private  and  public  property  was  damaged  in  9  counties,  in  4  of 
which  counties  the  disaster  also  had  effects  on  the  local  economy  and  living  conditions  of 
some  795 000  inhabitants.  In  the  remaining  5  counties,  due  to  regular  and  emergency  flood 
protection  measures  taken  by  Hrvatske  vode  (Croation  waters)  damage  to  private  property 
could be prevented. Only damage to the flood protection facilities (e.g. breached dykes) were 
reported. Apart from damage to essential infrastructure, Croatia reports damages to agricultural 
and forest areas, to industrial, commercial and agricultural facilities, private homes, to dykes, 
bridges  and  walkways  and  piers  on  the  Croatian  coastline  (e.g.  in  Mali  Lošinj).  Several 
hundred private homes were flooded and people had to be evacuated. Moreover, the disaster 
caused blockages of road traffic which made it difficult to take immediate action.  

6 

 
 
  
 
(6) 

(7) 

2.3 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

The cost of essential emergency operations eligible under Article 3(2) of Council Regulation 
(EC)  No  2012/2002  has  been  estimated  by  the  Croatian  authorities  at  EUR 4,49 million  and 
has been presented broken down by type of operation. 

The  Croatian  authorities  indicated  that  no  other  Community  funding  will  be  used  for 
mitigating this disaster. 

Austria 

As  a  result  of  heavy  rains  and  rapid  melting  of  snow,  flooding  and  landslides  occurred  in 
several parts of southern Austria. Especially the market town of Lavamünd in the province of 
Carinthia near the Slovenian border was seriously affected where, from 5 November 2012 on,  
populated  areas  were  flooded,  damaging  public  and  private  property,  businesses  and  local 
infrastructure. 

The  application  for  financial  assistance  from  the  European  Union  Solidarity  Fund  was 
presented  to  the  Commission  on  11  January  2013  within  the  deadline  of  10  weeks  after  the 
first damage was recorded on 5 November 2012. 

The disaster is of natural origin. On 28 February 2013 the Austrian authorities completed their 
initial  application  with  further  details  and  updated  figures.  Accordingly,  the  estimated  total 
direct damage caused by the disaster amounts to EUR 9,6 million. This amount represents only 
a small fraction of the threshold of EUR 1 798,112 million (i.e.  0,6 % of Austria's GNI), the 
disaster therefore does not by far qualify as a "major disaster" according to Council Regulation 
(EC) No 2012/2002. However, Austria was affected by the same flooding disaster which led to 
the major disaster in Slovenia. Therefore,  the Austrian authorities presented  their application 
under the so called "neighbouring country criterion", whereby a country affected by the same 
major disaster as a neighbouring country may exceptionally benefit from Solidarity Fund aid. 
Despite the low damage which represents only 0,53 % of the threshold, the criterion is found 
to be met. 

The Austrian authorities describe the impact of the disaster on the town of Lavamünd, located 
at  the  immediate  confluence  of  the  rivers  Drava  (Drau)  and  Lavant  on  Austria's  border  with 
Slovenia. Due to heavy rains both rivers burst their banks and Lavamünd was inundated with 
water  rising  up  to  two  meters  high  damaging  4  public  buildings,  37  private  homes  and  16 
businesses and local infrastructure. 181 inhabitants were directly affected. 

The cost of essential emergency operations eligible under Article 3(2) of Council Regulation 
(EC) No 2012/2002 has been estimated by the Austrian authorities at EUR 1,6 million and has 
been presented broken down by type of operation. 

The Austrian authorities indicated that they do not plan to submit other requests for assistance 
from other Community instruments. 

3. 

FINANCING 

The total annual budget available for the Solidarity Fund is EUR 1 000 million. As solidarity was the 
central  justification  for  the  creation  of  the  Fund,  the  Commission  takes  the  view  that  aid  from  the 
Fund  should  be  progressive.  That  means  that,  according  to  previous  practice,  the  portion  of  the 
damage exceeding the threshold (0,6% of the GNI or EUR 3 billion in 2002 prices, whichever is the 
lower  amount)  should  give  rise  to  higher  aid  intensity  than  damage  up  to  the  threshold.  The  rate 
applied in the past for defining the allocations for major disasters is 2,5 % of total direct damage under 
the  threshold  for  mobilising  the  Fund  and  6 %  above.  The  methodology  for  calculating  Solidarity 

7 

 
 
  
 
Fund  aid  was  set  out  in  the  2002-2003  Annual  Report  on  the  Solidarity  Fund  and  accepted  by  the 
Council and the European Parliament. 

It is proposed to apply the same percentages in this case and to grant the following aid amounts: 

(EUR) 

Disaster 

Direct damage 
accepted 

Threshold 
 (in million) 

Amount based 
on 2,5% 

Amount based  
on 6% 

Total amount of
aid proposed 

Slovenia flooding  

359 534 838 

Croatia flooding  

11 463 479 

214,021 

259,805 

Austria flooding 

9 600 000 

1 798,112 

TOTAL 

5 350 525 

8 730 830 

14 081 355 

286 587 

240 000 

~ 

~ 

286 587 

240 000 

14 607 942 

In  conclusion,  it  is  proposed  to  accept  the  applications  submitted  by  Slovenia,  Croatia  and  Austria 
relating  to  the  flooding  disasters  of  October/November  2012  and  to  propose  the  mobilisation  of  the 
Solidarity Fund for each of these cases. 

In accordance with the logic of DAB No 1 of 2013 on the financing needs related to the accession of 
Croatia to the European Union, which is planned for 1 July 2013, it is proposed to enter the amounts 
related to the Croatian application under heading 3b of the financial framework. 

With respect to the payment appropriations, the Commission in the proposal for DAB No 2 of 2013 
left  an  unallocated  margin  of  EUR 14,8 million  under  the  2013  ceiling  for  payments  of  the  multi-
annual financial framework,  precisely to cover these known requests  for the mobilisation of the EU 
Solidarity Fund. 

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5. 

SUMMARY TABLE BY HEADING OF THE FINANCIAL FRAMEWORK 

Revised 2013 Financial framework 

Budget 2013 (incl. DAB 1-4/2013) 

DAB 5/2013 

CA 

PA 

CA 

PA 

CA 

PA 

Financial framework 
Heading/subheading 

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

1b. Cohesion for growth and employment 

Margin 

Margin 
Total 
Margin8 

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 
Margin9   

Margin10 

Margin11 

Margin 
TOTAL 
Margin 1213   

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

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

17 800 672   

12 886 628 095

56 349 544 736

69 236 172 831

Budget 2013 
(incl. DAB 1-5/2013) 
CA 

PA 

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

17 800 672   

12 886 628 095 

56 349 544 736 

69 236 172 831 

43 956 548 610

43 934 188 711

43 956 548 610

43 934 188 711 

60 159 241 416
1 150 758 584   

58 095 492 961

60 159 241 416
1 150 758 584   

58 095 492 961 

1 440 827 200
262 172 800
738 680 000
7 320 000
2 179 507 200

269 492 800   

9 583 118 711
275 996 289
8 430 374 740
750 625 260
75 000 000

1 046 033 652

654 565 615

14 607 942 

14 607 942 

1 700 599 267

14 607 942 

14 607 942 

6 898 914 260

8 430 049 740

75 000 000

1 440 827 200
262 172 800
753 287 942
7 320 000
2 194 115 142

269 492 800   

9 583 118 711
275 996 289
8 430 374 740
750 625 260
75 000 000

1 046 033 652 

669 173 557 

1 715 207 209 

6 898 914 260 

8 430 049 740 

75 000 000 

153 168 000 000

144 285 000 000

151 553 441 395
2 464 673 605

144 436 229 059
14 770 941

14 607 942 

14 607 942 

151 568 049 337
2 464 673 605

144 450 837 001 
162 999 

8 
9 
10 
11 

12  

13  

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).  

9