Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EU) No 1303/2013 as regards the adjustment of annual pre-financing for the years 2021 to 2023
Date: 2018-09-07
Institutions: Directorate-General for Regional and Urban Policy, European Commission
Subjects: European Structural and Investment Funds, budget policy, distribution of EU funding, financial year, general budget (EU), operational programme

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   EUROPEAN COMMISSION  Brussels, 7.9.2018 COM(2018) 614 final 2018/0322 (COD)  Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EU) No 1303/2013 as regards the adjustment of annual pre-financing for the years 2021 to 2023  
 
 
EXPLANATORY MEMORANDUM 

1. 

• 

CONTEXT OF THE PROPOSAL 

Reasons for and objectives of the proposal 

Evidence shows that annual pre-financing paid to Member States for a given accounting year 
and cleared with the acceptance of accounts results in annual recovery orders of a significant 
magnitude  (for  instance,  EUR  6.6  billion  in  2017).  This  means  in  practice  that  payment 
credits are requested from Member States from payment appropriations in the Union's budget 
to  pay  to  them  annual  pre-financing  that  a  year  later  has  to  be  recovered  to  a  significant 
extent. 

Therefore, to increase transparency and contribute to the predictability of budgetary planning 
and  to  a  more  stable  and  predictable  payment  profile,  it  is  proposed  that  for  the  last  three 
years  of  the  current  implementation  period  2021-2023,  which  are  overlapping  with  the  next 
implementation period starting in 2021, the annual pre-financing is reduced to the necessary 
minimum. This approach also takes account of payment needs stemming from pre-financing 
arrangements proposed for the 2021-2027 programmes where only initial pre-financing would 
be paid in six annual tranches1. This intention was already signalled by the Commission2. 

• 

Consistency with existing policy provisions in the policy area 

The proposal is consistent with the provisions concerning budgetary management of the European 
Structural  and  Investment  (ESI)  Funds  as  set  out  in  Regulation  (EU)  No 1303/20133.  The 
amendment does not introduce a structural change of those provisions. 

• 

Consistency with other Union policies 

The  proposal  is  consistent  with  other  proposals  and  initiatives  adopted  by  the  European 
Commission. It is also consistent with the requirements of sound budgetary management. 

1 

2 

3 

Proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council  laying  down  common 
provisions on the European Regional Development Fund, the European Social Fund Plus, the Cohesion 
Fund, and the European Maritime and Fisheries Fund and financial rules for those and for the Asylum 
and  Migration  Fund,  the  Internal  Security  Fund  and  the  Border  Management  and  Visa  Instrument, 
COM(2018) 375 final, 29.5.2018. Article 84 sets out the pre-financing arrangements. Given that for the 
period 2021-2027 only one type of pre-financing is proposed the terminology used does not distinguish 
between  "initial"  and  "annual"  pre-financing.  The  proposed  pre-financing  arrangements  are  however 
similar to those of the "initial pre-financing" of Regulation (EU) No 1303/2013. 
Annex to the Communication from the Commission to the European Parliament, the European Council, 
the  Council,  the  European  Economic  and  Social  Committee  and  the  Committee  of  the  Regions  on  A 
Modern Budget for a Union that Protects, Empowers and Defends, COM(2018) 321 final, 2.5.2018 as 
well as in Section 5 of the Explanatory Memorandum accompanying the Proposal for a Regulation of 
the European Parliament and of the Council laying down common provisions on the European Regional 
Development Fund, the European Social Fund Plus, the Cohesion Fund, and the European Maritime and 
Fisheries  Fund  and  financial  rules  for  those  and  for  the  Asylum  and  Migration  Fund,  the  Internal 
Security Fund and the Border Management and Visa Instrument, COM(2018) 375 final, 29.5.2018. 
Regulation (EU) No 1303/2013 of the European Parliament and  of the Council of 17 December 2013 
laying  down  common  provisions  on  the  European  Regional  Development  Fund,  the  European  Social 
Fund,  the  Cohesion  Fund,  the  European  Agricultural  Fund  for  Rural  Development  and  the  European 
Maritime  and  Fisheries  Fund  and  laying  down  general  provisions  on  the  European  Regional 
Development  Fund,  the  European  Social  Fund,  the  Cohesion  Fund  and  the  European  Maritime  and 
Fisheries Fund and repealing Council Regulation (EC) No 1083/2006 (OJ L 347 20.12.2013, p. 320), as 
last  amended  by  Regulation  (EU)  2017/2305  of  the  European  Parliament  and  of  the  Council  of 
12 December 2017  amending  Regulation  (EU)  No 1303/2013  as regards  the  changes to  the resources 
for economic, social and territorial cohesion and to the resources for the Investment for growth and jobs 
goal and for the European territorial cooperation goal (OJ L 335, 15.12.2017, p. 1). 

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2. 

• 

LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY 

Legal basis 

Regulation (EU) No 1303/2013 defines the common rules applicable to the ESI Funds. Based on 
the  principle  of  shared  management  between  the  Commission  and  the  Member  States,  this 
Regulation  includes  provisions  for  the  programming  process  as  well  as  arrangements  for 
programme  (including  financial)  management,  monitoring,  financial  control  and  evaluation  of 
projects. 

• 

Subsidiarity (for non-exclusive competence)  

The proposal concerns the decrease of annual pre-financing provided by the Commission from the 
budget of the Union to Member States. The rates of annual pre-financing are established at Union 
level in Regulation (EU) No 1303/2013. Therefore an amendment of the provisions set out in this 
regulation  requires  the  amendment  of  this  Regulation.  National  or  regional  means  are  not 
appropriate to address the problem at hand. Therefore, the proposal complies with the subsidiarity 
principle.  

• 

Proportionality 

The  proposal  is  in  conformity  with  the  proportionality  principle  as  it  does  not  go  beyond  the 
minimum  required  to  achieve  the  stated  objective  at  Union  level  and  what  is  necessary  for  that 
purpose.  The  rate  of  annual  pre-financing  is  decreased  to  be  commensurate  with  cash-flow 
requirements taking into account the increased pace of cash-flow on the basis of interim payment 
applications stemming from the accelerated implementation of the ESI Funds. When establishing 
the proposed rate, the Commission took into consideration that for the years concerned the basis 
to which the percentages relate already include the performance reserve, hence a lower share can 
guarantee the same amount of pre-financing. 

• 

Choice of the instrument 

Proposed instrument: amendment of the current Regulation. The Commission has explored the 
scope for manoeuvre provided by the legal framework and considers it necessary to propose 
amendments to Regulation (EU) No 1303/2013. 

3. 

• 

RESULTS 
CONSULTATIONS AND IMPACT ASSESSMENTS 

EX-POST 

EVALUATIONS, 

OF 

STAKEHOLDER 

Ex-post evaluations/fitness checks of existing legislation 

There was no ex-post evaluation/or fitness checks of the existing legislation. 

• 

Stakeholder consultations 

There was no consultation of external stakeholders. 

• 

Collection and use of expertise 

Use of external expertise has not been necessary. 

• 

Impact assessment 

The proposal is not expected to have significant economic, social or environmental impacts. The 
proposal will result in decreasing the annual pre-financing from 3% of the amount of the support 
from  the  Funds  and  the  European  Maritime  and  Fisheries  Fund  (‘EMFF’)  for  the  whole 
programming period to the operational programme to 1% for the years 2021-2023, more suitable 
to  the  cash-flow  requirements  stemming  from  programme  implementation.  This  lower  pre-

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financing takes into account the anticipated accelerated submission of interim payment claims, the 
fact that for these years the basis for calculating the amount of annual pre-financing is increased 
by the size of the performance reserve which will be definitely allocated by then as well as pre-
financing available for Member States from the 2021-2027 programming period. 

Given that annual pre-financing is made available for an accounting year which spans over two 
annual budgetary years, the excess amount paid in year N as annual pre-financing will be cleared 
in year N+1, which results in unnecessary payment flows without added value. Reducing the rate 
of annual pre-financing for the proposed years will contribute to increasing the predictability of 
budgetary planning, to a more stable and predictable payment profile, to the reduction of the 
risk of payment backlogs, to increased transparency in payment needs and, therefore, to better 
budgetary management. 

• 

Regulatory fitness and simplification 

This is not an initiative within the Regulatory Fitness Programme (REFIT). 

• 

Fundamental rights 

The proposal has no consequences for the protection of fundamental rights. 

4. 

BUDGETARY IMPLICATIONS 

There  is  no  impact  on  commitment  appropriations  since  no  modification  is  proposed  to  the 
maximum amounts of the ESI Funds financing provided for in the operational programmes for the 
programming period 2014-2020.  

The overall impact on payment appropriations is neutralised. As detailed in the financial statement 
attached  to  the  proposal,  the  suggested  change  will  contribute  to  a  reduction  in  payment 
appropriations related to the year 2021 entirely due to the reduction of the annual pre-financing 
amounts  which  will  be  compensated  by  higher  payment  needs  for  the  year  2024.  For  the  years 
2022 and 2023, lower annual pre-financing will be offset in the framework of the examination and 
acceptance of accounts, therefore the effect is neutral.  

5. 

• 

OTHER ELEMENTS 

Implementation plans and monitoring, evaluation and reporting arrangements 

Not  applicable.  The  existing  delivery  systems  of  the  ESI  Funds  can  be  used  to  monitor  the 
implementation of this proposal. 

• 

Explanatory documents (for directives) 

Not applicable. 

• 

Detailed explanation of the specific provisions of the proposal 

Article 134(2) will be modified to set the annual pre-financing for the years 2021 to 2023 at 1%, 
from the currently applicable 3%, of the amount of the support from the Funds and the EMFF for 
the  whole  programming  period  to  the  operational  programme.  The  annual  pre-financing  for  the 
year 2020 is maintained at 3% of the amount of the support from the Funds and the EMFF for the 
whole programming period to the operational programme. 

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2018/0322 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Regulation (EU) No 1303/2013 as regards the adjustment of annual pre-
financing for the years 2021 to 2023 

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 177 thereof, 

Having regard to the proposal from the European Commission, 

After transmission of the draft legislative act to the national parliaments, 
Having regard to the opinion of the European Economic and Social Committee4, 
Having regard to the opinion of the Committee of the Regions5, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

Regulation (EU) No 1303/2013 of the European Parliament and of the Council6 lays 
down  the  common  and  general  provisions  applicable  to  the  European  Structural  and 
Investment Funds.  

Evidence  suggests  that  the  annual  pre-financing  is  set  at  a  particularly  high  level  in 
comparison  with 
the 
implementation  of  operational  programmes;  this  is  in  particular  the  case  for  the 
budgetary years 2021 to 2023. 

financial  management 

requirements 

stemming 

from 

In  order  to  ease  the  pressure  on  payment  appropriations  in  the  Union  budget  for  the 
budgetary  years  2021  to  2023  and  to  enhance  the  predictability  of  payment 
requirements and thus contribute to more transparent budgetary planning and a more 
orderly  payment  profile,  the  rate  of  annual  pre-financing  for  those  years  should  be 
decreased.  

(4) 

Regulation (EU) No 1303/2013 should therefore be amended accordingly, 

4 
5 
6 

OJ C , , p. . 
OJ C , , p. . 
Regulation (EU) No 1303/2013 of the European Parliament and of the Council of 17 December 2013 
laying  down  common  provisions  on  the  European  Regional  Development  Fund,  the  European  Social 
Fund,  the  Cohesion  Fund,  the  European  Agricultural  Fund  for  Rural  Development  and  the  European 
Maritime  and  Fisheries  Fund  and  laying  down  general  provisions  on  the  European  Regional 
Development  Fund,  the  European  Social  Fund,  the  Cohesion  Fund  and  the  European  Maritime  and 
Fisheries Fund and repealing Council Regulation (EC) No 1083/2006 (OJ L 347, 20.12.2013, p. 320). 

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HAVE ADOPTED THIS REGULATION: 

Article 134(2) of Regulation (EU) No 1303/2013 is amended as follows: 

(a) 

The fifth indent is replaced by the following: 

Article 1 

"— 2020: 3 %"; 

(b) 

The following indent is added: 

"— 2021 to 2023: 1 %." 

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

Article 2 

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 

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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.  Objective(s)  

1.5.  Grounds for the proposal/initiative  

1.6.  Duration and financial impact  

1.7.  Management mode(s) planned  

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  

Proposal for a Regulation of the European Parliament and of the Council amending 
Regulation (EU) No 1303/2013 as regards adjusting the level of annual pre-financing 
for the years 2021 to 2023 
Policy area(s) concerned in the ABM/ABB structure7  

1.2. 

EMPLOYMENT,  SOCIAL  AFFAIRS  AND  INCLUSION  REGIONAL  AND 
URBAN POLICY 

MARITIME AFFAIRS AND FISHERIES 

1.3. 

Nature of the proposal/initiative  

 The proposal/initiative relates to a new action  

  The  proposal/initiative 
project/preparatory action8  

relates 

to  a  new  action 

following  a  pilot 

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

 The proposal/initiative relates to an action redirected towards a new action  

1.4. 

Objective(s) 

1.4.1.  The  Commission's  multiannual 

strategic  objective(s) 

targeted  by 

the 

proposal/initiative  

N/A 

1.4.2. 

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

Specific objective No 

N/A 

ABM/ABB activity(ies) concerned 

N/A 

7 
8 

ABM: activity-based management; ABB: activity-based budgeting. 
As referred to in Article 54(2)(a) or (b) of the Financial Regulation. 

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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. 

N/A 

1.4.4. 

Indicators of results and impact  

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

N/A 

1.5. 

Grounds for the proposal/initiative  

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

N/A 

1.5.2.  Added value of EU involvement 

N/A 

1.5.3.  Lessons learned from similar experiences in the past 

N/A 

1.5.4.  Compatibility and possible synergy with other appropriate instruments 

N/A 

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1.6. 

Duration and financial impact  

Proposal/initiative of limited duration  

–   Proposal/initiative in effect from 2021 to 2024 

–   Financial impact from 2021 to 2024  

 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) planned9  

 Direct management by the Commission 

–   by its departments, including by its staff in the Union delegations;  

–    by the executive agencies  

 Shared management with the Member States  

 Indirect management by entrusting budget implementation tasks to: 

–   third countries or the bodies they have designated; 

–   international organisations and their agencies (to be specified); 

–  the EIB and the European Investment Fund; 

–   bodies referred to in Articles 208 and 209 of the Financial Regulation; 

–   public law bodies; 

–   bodies governed by private law with a public service mission to the extent that 

they provide adequate financial guarantees; 

–   bodies governed by the private law of a Member State that are entrusted with 
the  implementation  of  a  public-private  partnership  and  that  provide  adequate 
financial guarantees; 

–    persons  entrusted  with  the  implementation  of  specific  actions  in  the  CFSP 

pursuant to Title V of the TEU, and identified in the relevant basic act. 

– 

If more than one management mode is indicated, please provide details in the ‘Comments’ section. 

Comments  

N/A 

9 

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 

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2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

N/A 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

N/A 

2.2.2. 

Information concerning the internal control system set up 

N/A 

2.2.3.  Estimate of the costs and benefits of the controls and assessment of the expected level 

of risk of error  

N/A 

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

N/A 

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3. 

3.1. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

  Existing budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Heading of 
multiannual 
financial 
framework 

Number 

Type of  
expenditure 

Diff./Non-
diff.10 

Contribution  

from 
EFTA 
countries
11 

from 
candidate 
countries12 

from third 
countries 

within the 
meaning of 
Article 21(2)(b) of 
the Financial 
Regulation  

04  02  60  -  European  Social  Fund 
— Less developed regions 

04  02  61  -  European  Social  Fund 
— Transition regions 

04  02  62  -  European  Social  Fund 
— More developed regions 

04 02 64 - Youth Employment 

Initiative 

13 03 60 - European Regional 

Development Fund — Less 

developed regions 

13 03 61 - European Regional 

Diff 

NO 

NO 

NO 

NO 

Diff 

NO 

NO 

NO 

NO 

Diff 

NO 

NO 

NO 

NO 

Diff 

NO 

NO 

NO 

NO 

Diff 

NO 

NO 

NO 

NO 

Development Fund — Transition 

Diff 

NO 

NO 

NO 

NO 

regions 

13 03 62 - European Regional 

Development Fund — More 

Diff 

NO 

NO 

NO 

NO 

1B -  
Economic, 
Social and 
Territorial 
Cohesion 

developed regions 

13 03 63 - European Regional 

Development Fund — Additional 

allocation for outermost 

and sparsely populated regions 

Diff 

NO 

NO 

NO 

NO 

13 03 64 01  - European Regional 

Diff 

NO 

NO 

NO 

NO 

10 
11 
12 

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 

11 

  EN 

 
 
 
                                                 
Development  Fund  —  European 
territorial cooperation 

13 04 60 - Cohesion Fund 

Diff 

NO 

NO 

NO 

NO 

11  06  60  -  Promoting  sustainable 
and competitive fisheries and 

aquaculture, balanced and 

inclusive territorial development 

Diff 

NO 

NO 

NO 

NO 

of fisheries areas and fostering the 
implementation of the common 

fisheries policy 

2 - 
Sustainable 
Growth: 
Natural 
Resources 

  New budget lines requested : N/A 

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3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial  
framework  

1B 

Economic, Social and Territorial Cohesion 

EUR million (to three decimal places) 

Year 
2021 

Year 
2022 

Year 
2023 

Year 
2024 

TOTAL 

DG EMPL 

 Operational appropriations  

04 02 60 

04 02 61 

04 02 62 

04 02 64 

Payments 

Payments 

Payments 

Payments 

(1) 

(2) 

(3) 

(4) 

-1 013,958 

0,000 

-249,832 

-504,477 

-88,224 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

1 013,958 

249,832 

504,477 

88,224 

0,000 

0,000 

0,000 

0,000 

N/A 

Appropriations  of  an  administrative  nature  financed  from  the 
envelope of specific programmes13  

N/A 

N/A 

N/A 

N/A 

TOTAL appropriations 
for DG EMPL 

Payments 

-1 856,491 

0,000 

0,000 

1 856,491 

0,000 

13 

EN 

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. 

13 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Year 
2021 

Year 
2022 

Year 
2023 

Year 
2024 

TOTAL 

DG REGIO 

 Operational appropriations  

13 03 60 

13 03 61 

13 03 62 

13 03 63 

13 03 64 01 

13 04 60 

Payments 

Payments 

Payments 

Payments 

Payments 

Payments 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

-2 608,675 

0,000 

-509,195 

-647,801 

-31,108 

-186,707 

0,000 

0,000 

0,000 

0,000 

-1 265,652 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

2 608,675 

509,195 

647,801 

31,108 

186,707 

1 265,652 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

N/A 

Appropriations  of  an  administrative  nature  financed  from  the 
envelope of specific programmes14  

N/A 

N/A 

N/A 

N/A 

TOTAL appropriations 
for DG REGIO 

Payments 

-5 249,139 

0,000 

0,000 

5 249,139 

0,000 

14 

EN 

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. 

14 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
 TOTAL operational appropriations  

Payments 

-7 105,630 

0,000 

0,000 

7 105,630 

0,000 

 TOTAL appropriations of an administrative nature financed from 
the envelope for specific programmes  

N/A 

N/A 

N/A 

N/A 

N/A 

TOTAL appropriations  
under HEADING 1B 
of the multiannual financial framework 

Payments 

-7 105,630 

0,000 

0,000 

7 105,630 

0,000 

Heading of multiannual financial  
framework  

2 

Sustainable Growth: Natural Resources 

DG MARE 

 Operational appropriations  

Year 
2021 

Year 
2022 

Year 
2023 

Year 
2024 

TOTAL 

11 06 60 

Payments 

(1) 

-114,987 

0,000 

0,000 

114,987 

0,000 

Appropriations  of  an  administrative  nature  financed  from  the 
envelope of specific programmes15  

N/A 

N/A 

N/A 

N/A 

N/A 

TOTAL appropriations 
for DG MARE 

Payments 

-114,987 

0,000 

0,000 

114,987 

0,000 

15 

EN 

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. 

15 

EN 

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

 TOTAL operational appropriations  

Payments 

-7 220,617 

0,000 

0,000 

7 220,617 

0,000 

  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelope for specific programmes  

TOTAL appropriations  
under HEADINGS 1 to 4 
of the multiannual financial framework 
(Reference amount) 

Payments 

N/A 

N/A 

N/A 

N/A 

N/A 

-7 220,617 

0,000 

0,000 

7 220,617 

0,000 

Heading of multiannual financial  
framework  

5 

‘Administrative expenditure’ 

EN 

16 

EN 

 
 
 
 
 
 
 
 
 
Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Enter as many years as 
necessary to show the duration 
of the impact (see point 1.6)  

TOTAL 

EUR million (to three decimal places) 

Year 
N16 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Enter as many years as 
necessary to show the duration 
of the impact (see point 1.6) 

TOTAL 

EUR million (to three decimal places) 

DG: <…….> 

 Human resources  

 Other administrative expenditure  

TOTAL DG <…….> 

Appropriations  

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total  commitments  = 
Total payments) 

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

Commitments 

Payments 

16 

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

EN 

17 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.2.  Estimated impact on operational appropriations  

–    The proposal/initiative does not require the use of operational appropriations  

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

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

OUTPUTS 

Commitment appropriations in EUR million (to three decimal places) 

Enter as many years as necessary to show the 
duration of the impact (see point 1.6) 

TOTAL 

o
N

Cost  N

o

Cost 

o
N

Cost 

o
N

Cost  N

o

Cost  N

o

Cost  N

o

Cost 

Total 
No 

Total 
cost 

Indicate 
objectives and 
outputs  

 

Type17 

Avera
ge 
cost 

SPECIFIC OBJECTIVE No 118… 

- Output 

- Output 

- Output 

Subtotal for specific objective No 1 

SPECIFIC OBJECTIVE No 2 ... 

- Output 

Subtotal for specific objective No 2 

TOTAL COST 

17 
18 

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 point 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  

–    The  proposal/initiative  does  not  require  the  use  of  appropriations  of  an 

administrative nature  

–    The proposal/initiative requires the use of appropriations of an administrative 

nature, as explained below: 

EUR million (to three decimal places) 

Year 
N 19 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Enter as many years as necessary to show the 
duration of the impact (see point 1.6) 

TOTAL 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 520 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

TOTAL 

The  appropriations  required  for  human  resources  and  other  expenditure  of  an  administrative  nature  will  be  met  by 
appropriations from the DG that 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. 

19 
20 

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

EN 

19 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.  Estimated requirements of human resources 

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

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

below: 

Estimate to be expressed in full time equivalent units 

Year 
N 

Year 
N+1 

Year N+2 

Ye
ar 
N+
3 

Enter 
as 
many 
years 
as 
necessa
ry to 
show 
the 
duratio
n of the 
impact 
(see 
point 
1.6) 

 Establishment plan posts (officials and temporary staff) 

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

XX 01 01 02 (Delegations) 

XX 01 05 01 (Indirect research) 

10 01 05 01 (Direct research) 

 External staff (in Full Time Equivalent unit: FTE)21 

XX 01 02 01 (AC, END, INT from the ‘global 
envelope’) 

XX 01 02 02 (AC, AL, END, INT and JED in the 
delegations) 

XX 01 04 yy 22 

- at Headquarters 

- in Delegations  

XX 01 05 02 (AC, END, INT - Indirect research) 

10 01 05 02 (AC, END, INT - Direct research) 

Other budget lines (specify) 

TOTAL 

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 staff 

External staff 

21 

22 

AC=  Contract  Staff;  AL  =  Local  Staff;  END=  Seconded  National  Expert;  INT  =  agency  staff; 
JED= Junior Experts in Delegations.  
Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines). 

EN 

20 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.4.  Compatibility with the current multiannual financial framework  

–    The  proposal/initiative  is  compatible  the  current  multiannual  financial 

framework. 

–    The proposal/initiative will entail reprogramming of the relevant heading in the 

multiannual financial framework. 

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

–    The  proposal/initiative  requires  application  of  the  flexibility  instrument  or 

revision of the multiannual financial framework. 

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

3.2.5.  Third-party contributions  

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

–  The proposal/initiative provides for the co-financing estimated below: 

Appropriations in EUR million (to three decimal places) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Enter as many years as necessary 
to show the duration of the 
impact (see point 1.6) 

Total 

Specify  the  co-financing 
body  

TOTAL appropriations 
co-financed  

EN 

21 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.3. 

 Estimated impact on revenue  

–    The proposal/initiative has no financial impact on revenue. 

–    The proposal/initiative has the following financial impact: 

– 

– 

 

 

on own resources  

on miscellaneous revenue  

Appropriation
s available for 
the current 
financial year 

Budget revenue line: 

Article …………. 

EUR million (to three decimal places) 

Impact of the proposal/initiative23 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Enter as many years as necessary to show 
the duration of the impact (see point 1.6) 

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

Specify the method for calculating the impact on revenue. 

23 

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 

22 

  EN