Proposal for a DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Decision No 1313/2013/EU of the European Parliament and of the Council on a Union Civil Protection Mechanism
Date: 2019-03-07
Institutions: Directorate-General for European Civil Protection and Humanitarian Aid Operations (ECHO), European Commission
Subjects: EU aid, aid to disaster victims, budgetary reserve (EU), civil defence, emergency aid, environmental risk prevention, financial aid, man-made disaster, multiannual financial framework, natural disaster

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   EUROPEAN COMMISSION  Brussels, 7.3.2019  COM(2019) 125 final 2019/0070 (COD)  Proposal for a DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Decision No 1313/2013/EU of the European Parliament and of the Council on a Union Civil Protection Mechanism (Text with EEA relevance)  
 
 
EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

Reasons for and objectives of the proposal 

• 
Article  19  of  Decision  No  1313/2013/EU  on  a  Union  Civil  Protection Mechanism1  (‘Union 
Mechanism’) as well as related provisions, refer to the financial envelope available in support 
of  civil  protection  under  the  current  multiannual  financial  framework  (2014-  2020).  Given 
that the current multiannual financial framework period is drawing to an end, these provisions 
need to be amended to ensure continued financing for the Union Mechanism.  

The  scope  of  this  amendment  is  strictly  limited  to  the  budgetary  provisions  of  Decision  No 
1313/2013/EU and should not modify the substance. The proposed amendment is in line with 
the  Commission  proposal  for  the  2021-2027  multiannual  financial  framework  of  2  May 
20182.  The  amount  indicated  in  this  proposal  also  mirrors  the  level  of  ambition  set  by  the 
Commission  in  its  proposed  revision  of  Decision  No  1313/2013/EU  of  23  November  2017 
(rescEU proposal)3. 

This proposal provides for a date of entry into force as of 1 January 2021 and is adapted to a 
Union  of  27  Member  States,  in  line  with  the  UK’s  intention  to  withdraw  from  the  EU  and 
Euratom. 

• 

Consistency with existing policy provisions in the policy area 

This  proposal  provides  the  necessary  budgetary  resources  to  support  a  strengthened  Union 
Mechanism. The latter contributes to the overarching objective of working towards a ‘Europe 
that  Protects’  set  by  the  Commission  in  its  Communication  on  the  2021-2027  multiannual 
financial framework4.  

Under  the  new  proposal,  funding  related  to  civil  protection  has  been  subsumed  into  one 
heading (Heading 5 ‘Security and Defence’), alongside other protection-related programmes. 
This heading will encompass both the internal and external dimensions of civil protection.  

• 

Consistency with other Union policies 

The  proposed  amendment  will  provide  the  necessary  resources  to  foster  synergies  and  to 
enhance existing relations between the Union Mechanism and other EU policies.  

This  amendment  will  ensure  that  the  Union  Mechanism  helps  to  strengthen  the  EU’s 
capacities  in  terms  of  disaster  risk  management  (from  disaster  prevention,  to  disaster 
preparedness, response and recovery). 

1 

2 
3 
4 

Decision No 1313/2013/EU of the European Parliament and of the Council of 17 December 2013 on a 
Union Civil Protection Mechanism (OJ L 347, 20.12.2013, p. 924) 
COM(2018)321 final. 
COM(2017)772 final. 
The Communication’s title is ‘A Modern Budget for a Union that Protects, Empowers and Defends’. 

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2. 

• 

LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY 

Legal basis 

The  legal  basis  for  this  proposal  is  Article  196  of  the  Treaty  on  the  Functioning  of  the 
European Union. 

• 

Subsidiarity (for non-exclusive competence)  

The Commission has a supporting competence in the area of civil protection. Member States 
still bear the primary responsibility when it comes to preventing, preparing for and responding 
to disasters. The Union Mechanism was established because major disasters can overwhelm 
the response capacities of any Member State acting alone. The provision of well-coordinated 
and rapid mutual assistance amongst Member States is at its core. 

This  amendment  intends  to  align  the  budgetary  provisions  of  the  programme  with  the 
Commission  proposal  for  the  2021-2027  multiannual  financial  framework.  Given  the 
technical/financial nature of this amendment, there are no implications for or changes to the 
principle of subsidiarity. 

• 

Proportionality 

This  proposal  does  not  go  beyond  what  is  necessary  to  achieve  the  stated  objectives.  It  has 
been tabled to ensure that the stated objectives can be achieved.   

The  figures  proposed  in  this  amendment  correspond  to  the  figures  announced  by  the 
Commission proposal for the 2021-2027 multiannual financial framework. These are in line 
with the principle of proportionality. 

• 

Choice of the instrument 

This proposal aims to amend an existing Decision. The most relevant and simple instrument 
for this is a Proposal for a Decision.  

3. 

RESULTS 
CONSULTATIONS AND IMPACT ASSESSMENTS 

EX-POST 

EVALUATIONS, 

OF 

STAKEHOLDER 

This  proposal  is  of  a  technical  nature  as  it  seeks  to  align  the  budgetary  provisions  of  the 
Decision with the Commission proposal for the 2021-2027 multiannual financial framework 
adopted  on  2  May  2018.  Its  substance  is  based  on  the  proposed  revision  of  Decision  No 
1313/2013/EU of 23 November 2017 (rescEU proposal). No impact assessment has therefore 
been carried out. 

However,  the  Better  Regulation  principles  were  applied  to  both  the  original  Commission 
proposal  that  outlines  the  overall  2021-2027  multiannual  financial  framework  and  to  the 
proposed revision of Decision No 1313/2013/EU of 23 November 2017 (rescEU proposal). 

• 

Ex-post evaluations/fitness checks of existing legislation 

N/A (see above) 

• 

Stakeholder consultations 

N/A (see above) 

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• 

Collection and use of expertise 

N/A (see above) 

• 

Impact assessment 

N/A (see above) 

• 

Regulatory fitness and simplification 

N/A (see above) 

• 

Fundamental rights 

N/A (see above) 

4. 

BUDGETARY IMPLICATIONS 

In line with the Commission’s proposal for the 2021-2027 multiannual financial framework, 
EUR  1  400  000  0005  (in  current  prices)  has  been  allocated  for  implementing  the  Union 
Mechanism for that period. The proposed budgetary allocation mirrors the level of ambition 
set  by  the  proposed  revision  of  Decision  No  1313/2013/EU  of  23  November  2017  (rescEU 
proposal). The additional budget will allow the following actions to be carried out: 

 

 

 

 

 

reinforce  the  collective  capacity  of  the  Member  States  and  the  EU  to  respond  to 
disasters by creating a dedicated reserve of response capacities (rescEU); 

higher (or new) EU co-financing to adapt, repair, transport and/or operate capacities 
that are committed to the European Civil Protection Pool; 

greater focus on prevention and on improving coherence with other key EU policies; 

set up a civil protection knowledge network; and 

strengthen cooperation with neighbourhood countries. 

The legislative and financial statement that accompanies this proposal provides further details 
on the budgetary implications and the human and administrative resources required. 

5. 

• 

OTHER ELEMENTS 

Implementation plans and monitoring, evaluation and reporting arrangements 

Article 34(2) of Decision No 1313/2013/EU on a Union Civil Protection Mechanism applies. 
It  states  that  ‘actions  receiving  financial  assistance  shall  be  monitored  regularly  in  order  to 
follow their implementation’. It also contains more general requirements for the Commission 
to  submit  a  report  every  two  years  to  the  European  Parliament  and  to  the  Council  on  the 
‘progress  towards  the  capacity  goals  and  remaining  gaps’  regarding  the  European  Civil 
Protection  Pool,  taking  into  account  the  establishment  of  rescEU  capacities.  Moreover,  the 
Commission  should  also  evaluate  the  application  of  the  Decision  by  submitting  a 
communication every five years to the European Parliament and Council on the effectiveness, 
cost  efficiency  and  continued  implementation  of  the  Decision  Such  evaluation  should  be 
based on the indicators provided for in Article 3 of the Decision No 1313/2013/EU. 

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COM(2018)321 final, p. 29. 

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Explanatory documents (for directives) 

• 

N/A 

• 

Detailed explanation of the specific provisions of the proposal 

This proposal only amends the budgetary provisions of Decision No 1313/2012/EU. 

The  financial  envelope  mentioned  in  Article  19  of  Decision  No  1313/2013/EU  needs  to  be 
updated and replaced by the new figures provided for in the Commission’s proposal  for the 
the  Union 
2021-2027  multiannual 
Mechanism/rescEU  will  be  placed  under  a  single  heading  (Heading  5:  ‘Security  and 
Defence’),  as  opposed  to  the  current  split  between  headings  3  and  4,  the  text  should  be 
amended accordingly. 

In  addition,  given 

framework. 

financial 

that 

This proposal also envisages the deletion of Annex I, which currently establishes the relative 
percentages that each pillar of the Union Mechanism (prevention, preparedness and response) 
should receive in terms of funding from the overall financial envelope. Given the changes put 
forward  in  the  proposed  revision  of  Decision  No  1313/2013/EU  of  23  November  2017 
(rescEU  proposal),  the  percentages  outlined  in  Annex  I  do  not  appear  to  ensure  sufficient 
flexibility  so  that  the  EU  can  achieve  the  objectives  it  has  set.  During  an  emergency,  the 
percentages  in  Annex  I  lead  to  undue  administrative  burden  and  may  limit  the  flexibility 
needed to adapt to the disaster needs in any given year. The need to invest in all phases of the 
disaster  risk  management  cycle,  prevention,  preparedness  and  response  is,  in  any  case, 
embedded in the Union Mechanism. 

As  a  result  of  the  deletion  of  Annex  I,  paragraphs  4,  5  and  6  of  Article  19  should  also  be 
deleted since they refer directly to the percentages mentioned in Annex I. 

As a result, the proposal also amends Article 30 on the exercise of the delegation of powers 
conferred  on  the  Commission.  While  the  substance  of  the  Article  remains  unchanged,  the 
cross-references to Article 19 are removed. Article 30 has not been deleted in order to cater 
for the possibility to adopt delegated acts, as provided for in the proposed revision of Decision 
No 1313/2013/EU of 23 November 2017 (rescEU proposal)6. 

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COM(2017)772 final. 

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2019/0070 (COD) 

Proposal for a 

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Decision No 1313/2013/EU of the European Parliament and of the Council on 
a Union Civil Protection Mechanism 

(Text with EEA relevance) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 196 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 Committee7,  
Having regard to the opinion of the Committee of the Regions8, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

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The Commission adopted a proposal9 for a Decision of the European Parliament and 
of  the  Council  amending  Decision  No  1313/2013/EU  on  a  Union  Civil  Protection 
Mechanism on 23 November 201710. 

The  Commission  proposal  for  a  Decision  of  the  European  Parliament  and  of  the 
Council amending Decision No 1313/2013/EU seeks to enhance the collective ability 
to  prepare  and  respond  to  disasters  by  bolstering  the  possibilities  offered  by  the 
European Civil Protection Pool. This involves establishing a reserve of civil protection 
capacities  for  use  in  Union  operations  (‘rescEU’)  and  strengthening  the  measures 
applicable in the field of prevention. 

Enhanced  Union  financing  is  necessary  to  be  able  to  further  develop  the  European 
Civil Protection Pool and cover additional costs stemming from adaptation grants and 
the operation of capacities committed to the European Civil Protection Pool. 

Adequate  financial  appropriations  are  required  in  order  to  establish,  deploy  and 
operate rescEU capacities. 

OJ C , , p. . 
OJ C , , p. . 
Proposal  for  a  Decision  of  the  European  Parliament  and  of  the  Council  amending  Decision  No 
1313/2013/EU on a Union Civil Protection Mechanism on 23 November 2017 (COM(2017)772 final) 
Decision No 1313/2013/EU of the European Parliament and of the Council of 17 December 2013 on a 
Union Civil Protection Mechanism (OJ L 347, 20.12.2013, p. 924). 

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(5) 

(6) 

(7) 

(8) 

(9) 

Decision  No  1313/2013/EU  sets  out  a  financial  envelope  for  the  Union  Mechanism 
that constitutes the prime reference amount intended to cover programme expenditure 
until the end of the 2014-2020 budgetary period. 

The financial envelope set out in Article 19 of Decision No 1313/2013/EU needs to be 
updated and replaced by the new figures provided for in the Commission’s proposal 
for the 2021-2027 multiannual financial framework11. 

Pursuant to  the 2021-2027 multiannual  financial  framework,  financial  appropriations 
for the  Union Civil  Protection Mechanism are under a new  Heading 5 ‘Security  and 
Defence’. 

Annex  I to  Decision No 1313/2013/EU is  not  flexible enough to  allow the Union to 
properly  adjust  investments  in  prevention,  preparedness  and  response.  Investment 
levels  to  be  allocated  to  the  different  phases  of  the  disaster  risk  management  cycle 
need to be determined in advance. This prevents the Union from being able to react to 
the unpredictable nature of disaster management.  

A  new  financial  provision  should  replace  the  financial  provisions  of  Decision  No 
1313/2013/EU  which  refer  to  the  financial  envelope  of  the  Union  Civil  Protection 
Mechanism  in  accordance  with  the  current  multiannual  financial  framework  (2014-
2020). To align the financial envelope of the Union Civil Protection Mechanism with 
the figures proposed for the 2021-2027 multiannual financial framework ,  point (a) of 
Article 1(1) should apply from 1 January 2021. 

(10)  Decision No 1313/2013/EU should therefore be amended accordingly, 

HAVE ADOPTED THIS DECISION: 

Article 1 

Decision No 1313/2013/EU is amended as follows: 

(1) 

Article 19 is amended as follows: 

(a) paragraph 1 is replaced by the following: 

“1. The financial envelope for the implementation of the Union Mechanism for the 

period 2021 to 2027 shall be EUR 1 400 000 000 in current prices”. 

(b) paragraphs 4, 5 and 6 are deleted. 
Article 20a12 is amended as follows: 

(2) 

(a)  paragraph 1 is replaced by the following: 

“1.   The  recipients  of  Union  funding  shall  acknowledge  the  origin  and  ensure  the 
visibility  of  the  Union  funding  (in  particular  when  promoting  the  actions  and 
their  results)  by  providing  coherent,  effective  and  proportionate  targeted 
information  to  multiple  audiences,  including  the  media  and  the  public.  Any 

11 
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COM(2018)321 final. 
By the time of the likely adoption of this proposal, the proposed revision of Decision No 1313/2013/EU 
of 23 November 2017 (rescEU proposal), where a new article on visibility (Article 20a) has been added, 
should be already in force  (foreseen entry into force is 21 March 2019). Given the  need to streamline 
the  language  on  corporate  communication  for  all  new  multiannual  financial  framework  proposals 
following SG guidelines (ARES (2018)4555072), Article 20a is amended to comply  with the  internal 
rules on the matter. 

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assistance or funding provided under this Decision shall also give appropriate 
visibility  to  the  Union,  including  prominence  to  the  Union  emblem  for  those 
capacities referred to under Article 11, 12 and point (c) of Article 21(2). 

2.   The  Commission  shall  implement  information  and  communication  actions 
relating  to  this  Decision,  and  its  actions  and  results.  Financial  resources 
allocated to this Decision shall also contribute to the corporate communication 
of  the  political  priorities  of  the  Union,  as  far  as  they  are  related  to  the 
objectives referred to in Article 3(1).  

A  communication  strategy  shall  be  developed  by  the  Commission  in  order  to 
make  the  tangible  results  of  the  actions  taken  under  the  Union  Mechanism 
visible to citizens. 

3.   The  Commission  shall  award  medals  in  order  to  recognise  and  honour  long-
to  Union  Civil 

standing  commitments  and  extraordinary  contributions 
Protection.” 

(3) 

Article 3013 is amended as follows: 

(a)  paragraph 2 is deleted; 

(b)  paragraph 4 is replaced by the following: 

“4. The delegation of power referred to in Article 21(3) may be revoked at any time 
by the European Parliament or by the Council. A decision to revoke shall put an end 
to the delegation of the power specified in that decision. It shall take effect the day 
following  the  publication  of  the  Decision  in  the  Official  Journal  of  the  European 
Union  or  at  a  later  date  specified  therein.  It  shall  not  affect  the  validity  of  any 
delegated acts already in force”. 

(c)  paragraph 7 is replaced by the following: 

“A delegated  act  adopted pursuant  to  Article 21(3) shall enter into force  only if no 
objection  has  been  expressed  either  by  the  European  Parliament  or  the  Council 
within a period of two months of notification of that act to the European Parliament 
and the Council or if, before the expiry of that period, the European Parliament and 
the  Council  have  both  informed  the  Commission  that  they  will  not  object.  That 
period shall be extended by two months at the initiative of the European Parliament 
or of the Council”. 

(4) 

Annex I is deleted. 

Article 2 

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

However, point (a) of Article 1(1) of this Decision shall apply from 1 January 2021. 

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By the time of the likely adoption of this proposal, the proposed revision of Decision No 1313/2013/EU 
of  23  November  2017  (rescEU  proposal)  should  be  already  in  force  (foreseen  entry  into  force  is  21 
March 2019). The amendment presented in this document  refers then to  Article 30 as it stands in the 
revised Decision No 1313/2013/EU. 

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This Decision is addressed to the Member States. 

Done at Brussels, 

Article 3 

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 

1.3.  The proposal/initiative relates to  

1.4.  Objective(s)  

1.4.1. Requirement(s)  to  be  met  in  the  short  or  long  term  including  a  detailed 
timeline for roll-out of the implementation of the initiative 

1.4.2. Added  value  of  Union  involvement  (it  may  result  from  different  factors,  e.g. 
coordination gains, legal certainty, greater effectiveness or complementarities). For 
the purposes of this point 'added value of Union involvement' is the value resulting 
from  Union  intervention  which  is  additional  to  the  value  that  would  have  been 
otherwise created by Member States alone. 

1.4.3. Lessons learned from similar experiences in the past 

1.4.4. Compatibility and possible synergy with other appropriate instruments 

1.5.  Duration and financial impact  

1.6.  Management mode(s) planned 

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2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

2.2.  Management and control system(s) 

2.2.1. Justification of the management mode(s), the funding implementation mechanism(s), the 
payment modalities and the control strategy proposed 

2.2.2. Information concerning the risks identified and the internal control system(s) set up to 
mitigate them 

2.2.3. Estimation  and  justification  of  the  cost-effectiveness  of  the  controls  (ratio  of  "control 
costs ÷ value of the related funds managed"), and assessment of the expected levels of risk of 
error (at payment & at closure) 

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 financial impact of the proposal on appropriations 

3.2.1. Summary of estimated impact on operational appropriations  

3.2.2. Summary of estimated impact on appropriations of an administrative nature 

3.2.3. 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  Decision  of  the  European  Parliament  and  the  Council  amending 
Decision No 1313/2013/EU on a Union Civil Protection Mechanism. 

1.2. 

Policy area(s) concerned (Programme cluster) 

This  proposal  provides  the  necessary  budgetary  resources  to  support  EU  actions  in 
the field of civil protection, notably via a strengthened Union Mechanism. The latter 
contributes to the overarching objective of a ‘Europe that Protects’ as referred to in 
the Communication from the Commission to the European Parliament, the European 
Council and the Council on ‘a new, modern multiannual  financial framework for a 
European Union that delivers efficiently on its priorities post-2020’14. 

Under  the  new  multiannual  financial  framework  proposal,  funding  related  to  civil 
protection  has  been  subsumed  into  one  single  heading:  Heading  5  ‘Security  and 
Defence’. The specific cluster is ‘Crisis Response’, Title 14, Chapter 02. This cluster 
will encompass both the internal and external dimensions of civil protection.  

1.3. 

The proposal/initiative relates to:  

 a new action  
 a new action following a pilot project/preparatory action15  

X the extension of an existing action  

 a merger or redirection of one or more actions towards another/a new action  

1.4. 

Grounds for the proposal/initiative  

1.4.1.  Requirement(s) to be met in the short or long term including a detailed timeline for 

roll-out of the implementation of the initiative 

This  Decision  amends  the  financial  envelope  of  an  existing  action  to  allow  the 
continuation of this action in the next multiannual financial framework period. The 
overall  objective  of  existing  legislation  is  to  continue  strengthening  cooperation 
between  the  EU  and  the  Member  States  and  facilitate  coordination  in  the  field  of 
civil protection when preventing, preparing for and responding to natural and man-
made disasters. 

Financial assistance on prevention and preparedness under the Union Mechanism is 
spent in accordance with an annual work programme adopted by the Civil Protection 
Committee.  This  committee  sets  out  the  requirements  and  criteria  for  spending  the 
funds earmarked. 

This initiative refers to the financial envelope available to the Union Mechanism in 
the  2021-2027  multiannual  financial  framework.  As  such,  it  will  be  implemented 
annually as from 2021. 

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COM(2018)98 final. 
As referred to in Article 58(2)(a) or (b) of the Financial Regulation. 

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A  separate  financial  decision  on  response  to  disasters  is  also  adopted.  Given  the 
unpredictable nature of disasters, there is no specific timeline for implementation. All 
aspects of the Decision will be implemented swiftly and/or whenever needs arise. 

1.4.2.  Added  value  of  Union  involvement  (it  may  result  from  different  factors,  e.g. 
coordination gains, legal certainty, greater effectiveness or complementarities). For 
the purposes of this point 'added value of Union involvement' is the value resulting 
from  Union  intervention  which  is  additional  to  the  value  that  would  have  been 
otherwise created by Member States alone. 

Reasons for action at EU level (ex-ante): 

Recent emergencies and experiences have highlighted the existence of certain gaps in 
civil  protection  across  Europe.  Such  gaps  are  becoming  ever  more  apparent  as  a 
result of climate change and the increase in frequency and intensity of disasters. This 
was particularly evident during the 2017 forest fire season. The proposed revision of 
Decision No 1313/2013/EU of 23 November 2017 (rescEU proposal)16 was therefore 
deemed necessary in order to strengthen the Union Mechanism.   

The  proposed  budgetary  allocation  mirrors  the  level  of  ambition  set  by  the 
Commission’s  proposal  to  amend  the  Union  Civil  Protection  Mechanism.  The 
additional budget will allow the following actions to be carried out: 

 

 

 

 

 

reinforce  the  collective  capacity  of  the  Member  States  and  the  Union  to 
respond  to  disasters  by  creating    a  dedicated  reserve  of  response  capacities 
(rescEU); 

higher  (or  new)  EU  co-financing  to  adapt,  repair,  transport  and/or  operate 
capacities that are committed to the European Civil Protection Pool; 

focus  more  on  prevention  and  on  improving  coherence  with  other  key  EU 
policies, 

set up a civil protection knowledge network, and; 

strengthen cooperation with neighbourhood countries.  

Expected generated EU added value (ex-post)  

The financing provided for in this proposal should result in: 

1) 
less of a gap between the needs of disaster-stricken populations and available 
assistance thanks to the (probable) inclusion of more capacities in the European Civil 
Protection Pool and a reserve of capacities at EU level; 

economies  of  scale  stemming  from  a  ‘minimum’  reserve  of  capacities  at  EU 

2) 
level rather than investing in extreme preparedness levels in all Member States; 

greater  coherence  and  stronger  links  between  different  policy  areas,  making 

3) 
best use of existing EU instruments; 

4) 
increased  efficiency,  particularly  on  the  swiftness  of    the  Union  Mechanism 
support  in  response  to  disasters,  also  due  to  the  simplification  of  administrative 
procedures. 

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COM(2017)772 final. 

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1.4.3.  Lessons learned from similar experiences in the past 

The  Union  Mechanism  has  showed  encouraging  results  in  terms  of  performance  in 
each  of  the  three  pillars  (prevention/preparedness/response)  so  far.  It  is  viewed 
positively in  general  by  the Participating States and by the main stakeholders. This 
was  the  overall  conclusion  from  the  interim  evaluation  of  the  Union  Mechanism 
(2014-2016),  which  was  conducted  by  an  external  consultant  and  published  in 
August 2017. 

Another  lesson  from  the  interim  evaluation,  as  well  as  from  the  report  of  the 
European  Court  of  Auditors17,  was  the  need  to  improve  the  Union  Mechanism’s 
results  monitoring  framework.  This  includes  better  measurability  in  the  form  of 
possible quantitative indicators and baselines to help focus more on the impact over 
time.  The  Commission  has  introduced  measurable  output  indicators  for  all  actions. 
This is the first step in a longer-term process of ensuring financial assistance under 
the Mechanism is framed by a more results-focused approach. 

Another relevant source on which the Commission has based its proposal to improve 
the  current  functioning  of  the  Union  Mechanism  is  the  EU  overview  of  risks18. 
National  risk  assessments  submitted  by  Member  States  were  used  to  produce  this 
overview based on the existing legislation. 

The Commission also builds upon the experience gained: 

  in emergencies handled by the Union Mechanism since its creation in 2001; 

  as  a  result  of  the  projects  financed  within  the  framework  of  the  calls  launched 

since 2013 on preparedness and prevention; and 

  as a result of the pilot project financed within the framework of the call launched 
in 2008 to step up cooperation between Member States on combating forest fires. 

1.4.4.  Compatibility and possible synergy with other appropriate instruments 

Consistency with: 

–  Council  Regulation  (EC)  No  1257/96  of  20  June  1996  concerning  humanitarian 

aid; 

–  Regulation (EC) No 1406/2002 of the European Parliament and of the Council of 

27 June 2002 establishing a European Maritime Safety Agency; 

–  Council  Regulation  (EC)  No  2012/2002  of  11  November  2002  establishing  the 

European Union Solidarity Fund; 

–  Regulation (EC) No 1717/2006 of the European Parliament and of the Council of 

15 November 2006 establishing an Instrument for Stability; 

–  Decision  No  1313/2013/EU  of  the  European  Parliament  and  of  the  Council  of 

17 December 2013 on a Union Civil Protection Mechanism; 

17 

18 

European  Court  of  Auditors,  ‘Union  Civil  Protection  Mechanism:  the  coordination  of  responses  to 
disasters outside the EU has been broadly effective’, Special Report no. 33, 2016. 
Staff  Working  Document,  ‘Overview  of  Natural  and  Man-made  Disaster  Risks  the  European  Union 
may face’, SWD (2017)176 final, 23.5.2017. 

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13 

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–  Regulation (EU) No 375/2014 of the European Parliament and of the Council of 
3 April 2014 establishing the European Voluntary Humanitarian Aid Corps (‘EU 
Aid Volunteers initiative’); 

–  Council  Regulation  (EU)  2016/369  of  15  March  2016  on  the  provision  of 

emergency support within the Union 

–  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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14 

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1.5. 

Duration and financial impact  

X limited duration  

–  X  in effect from 01/01/2021 to 31/12/2027  

–  X  Financial impact from 2021 to 2027 for commitment appropriations and from 

2020 to 2032 for payment appropriations.  

 unlimited duration 

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

–  followed by full-scale operation. 
1.6.  Management mode(s) planned19  

X Direct management by the Commission 

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

–    by the executive agencies  

 Shared management with the Member States  

X Indirect management by entrusting budget implementation tasks to: 

–   third countries or the bodies they have designated; 

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

–  the EIB and the European Investment Fund; 

–   bodies referred to in Articles 70 and 71 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. 

19 

The BudgWeb site contains details on management modes and references to the Financial Regulation:: 
https://myintracomm.ec.europa.eu/budgweb/EN/man/budgmanag/Pages/budgmanag.aspx  

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2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Actions  and  measures  receiving  financial  assistance  under  these  Decisions  shall  be 
monitored regularly.  

The  Commission  is  required  to  evaluate  the  Union  Mechanism  in  accordance  with 
Article 34 of Decision No 1313/2013/EU.  

2.2.  Management and control system(s)  

2.2.1. 

Justification of the management mode(s), the funding implementation mechanism(s), 
the payment modalities and the control strategy proposed 

Financial assistance on prevention and preparedness under the Union Mechanism is 
spent in accordance with an annual work programme adopted by the Civil Protection 
Committee.  The  Commission 
the 
implementation of the work programme. A separate financial decision on response is 
also adopted. 

the  Committee  on 

regularly 

informs 

Based  on  the  lessons  learned  from  the  implementation  of  the  Union  Mechanism  in 
the past, the Commission does not envisage substantive changes to the management 
measures currently in place.  

2.2.2. 

Information concerning the risks identified and the internal control system(s) set up 
to mitigate them 

The  European  Commission's  existing  internal  control  system  applies  to  ensure  that 
funds  available  under  the  Union  Mechanism  are  used  properly  and  in  line  with 
appropriate legislation. 

The current system is setup as follows: 

1.  The  internal  control  team  within  the  lead  service  (Directorate-General  for 
European Civil Protection and Humanitarian Aid Operations /DG ECHO) focuses on 
compliance with administrative procedures and legislation in force in the area of civil 
protection.  The  Internal  Control  Framework  of  the  Commission  is  used  for  this 
purpose. 

2.  Regular  audit  of  grants  and  contracts  by  external  auditors,  which  are  awarded 
under  the  civil  protection  budget  are  fully  incorporated  in  DG  ECHO  annual  audit 
plan. 

3. Evaluation of overall activities by external evaluators. 

Actions performed may be audited by the European fraud office OLAF and the Court 
of Auditors.  

On supervision and monitoring, the extensive experience acquired by implementing 
the  humanitarian  aid  instrument  will  be  applied,  with  the  necessary  changes,  to 
implementing the Union Mechanism under indirect management. 

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16 

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2.2.3.  Estimation and justification of the cost-effectiveness of the controls (ratio of "control 
costs ÷ value of the related funds managed"), and assessment of the expected levels 
of risk of error (at payment & at closure)  

The  estimated  cost  of  DG  ECHO’s  control  strategy  represents  1.1%  of  indirect 
management of the 2017 budget and 0.6 % of direct management of the 2017 budget. 
The main components of this indicator are:  

–  the total staff costs of DG ECHO experts in the field, plus those of the financial 
and operational units multiplied by the estimated portion of time (50%) dedicated 
to quality assurance, control and monitoring activities;  

–  the  total  resources  in  DG  ECHO's  external  audit  sector  devoted  to  audits  and 

verifications. 

Taking  into  account  the  low  cost  of  such  controls  together  with  the  quantifiable 
(corrections  and  recoveries)  and  unquantifiable  (deterrent  effect  and  quality 
insurance  effect  of  controls)  benefits  linked  to  these,  the  Commission  is  able  to 
conclude  that  the  quantifiable  and  unquantifiable  benefits  from  controls  largely 
outweigh the limited cost of these.  

With  regard  to  the  entrusted  entities  implementing  EU  funding  under  indirect 
management  mode,  the  Commission  contributes  up  to  7%  of  their  direct  eligible 
costs to ensure supervision and management of the EU funding.  

This  is  confirmed  by  the  1.08%  multi-annual  residual  error  rate  reported  by  the 
Commission in 2017 for its humanitarian aid and civil protection department. 

2.3.  Measures to prevent fraud and irregularities  

DG ECHO’s anti-fraud strategy, in line with the Commission's anti-fraud strategy, is 
used in order to ensure that:  

–  DG  ECHO’s  internal  anti-fraud  related  controls  are  fully  aligned  with  the 

Commission’s anti-fraud strategy;AFS;  

–  DG  ECHO’s  fraud  risk  management  approach  is  geared  to  identify  fraud  risk 

areas and adequate responses.  

The systems used for spending EU funds in third countries enable relevant data to be 
retrieved  so  that  this  data  can  be  fed  into  fraud  risk  management  (e.g.  to  detect 
double funding).  

Where  necessary,  networking  groups  and  adequate  IT  tools  dedicated  to  analysing 
fraud cases related to the sector may be set up. 

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3. 

3.1. 

Heading of 
multiannual 
financial 
framework 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

Budget line 

Type of  
expenditure 

Contribution  

Number and Heading 

Diff./Non-diff.20 

from EFTA 
countries21 

from 
candidate 
countries22 

from third 
countries23 

within the 
meaning of 
Article [21(2) 
(e)] of the 
Financial 
Regulation  

5 

5 

14 02 01 – Union civil 
protection mechanism: 
Prevention and 
Preparedness 

14 02 02 – Union civil 
protection mechanism 
Response 

Diff 

YES 

YES 

YES 

NO 

   Diff. 

YES 

YES 

YES 

NO 

20 
21 

22 

23 

Diff. = differentiated appropriations / Non-diff. = non-differentiated appropriations. 
EFTA: European Free Trade Association. EFTA countries that are part of the EEA can join the Union 
Civil Protection Mechanism as ‘Participating States’ as provided for in Article 28(1)a of Decision No 
1313/2013/EU. 
Candidate  countries  and,  where  applicable,  potential  candidates  from  the  Western  Balkans.  These 
countries  can  join  the  Union  Civil  Protection  Mechanism  as  ‘Participating  States’  as  provided  for  in 
Article 28(1)b of Decision No 1313/2013/EU. 
For the purpose of this table, the reference to third countries should be understood as ‘other European 
countries’  that  are  not  yet  part  of  the  Union  Civil  Protection  Mechanism,  but  that  might  join  in  the 
future as provided for in Article 28(1)a of Decision No 1313/2013/EU. No contributions are expected 
from third countries other than the ones specified above. 

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3.2. 

3.2.1. 

Estimated impact on expenditure  
Summary of estimated impact on expenditure24  

Heading of multiannual 
financial  
framework  

5 

Security & Defence 

EUR million (to three decimal places) 

2021 

2022 

2023 

2024 

2025 

2026 

2027 

Post 
2027 

TOTAL 

14 02 01 Union Civil Protection 
Mechanism Prevention and 
Preparedness 

14 02 02 Union Civil Protection 
Mechanism Response 

TOTAL appropriations for the 
envelope of the programme 

Commitments 

Payments 

Commitments 

Payments 

1 

2 

3 

4 

165.464 

169.794 

173.189 

176.653 

180.186 

183.790 

187.368 

1 236.446 

50.000 

92.272 

138.419 

164.867 

169.103 

172.994 

176.793 

271.998 

1 236.446 

22.000 

22.440 

22.889 

23.347 

23.814 

24.290 

24.776 

163.554 

8.965 

17.000 

19.455 

19.845 

21.432 

21.861 

22.298 

32.698 

163.554 

Commitments 

=1+3 

187.464 

192.234 

196.078 

200.000 

204.000 

208.080 

212.144 

1 400.000 

Payments 

=2+4 

58.965 

109.272 

157.874 

184.712 

190.535 

194.855 

199.091 

304.696 

1 400.000 

24 

“Totals may not tally due to rounding.” 

EN 

19 

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Heading of multiannual financial  
framework  

7 

‘Administrative expenditure’ 

2021 

2022 

2023 

2024 

2025 

2026 

2027 

Human resources  

21.448 

21.665 

21.882 

22.099 

22.099 

22.099 

22.099 

Other administrative expenditure  

1.098 

1.107 

1.115 

1.124 

1.124 

1.124 

1.124 

TOTAL appropriations under HEADING 7 of 
the multiannual financial framework 

22.546 

22.772 

22.997 

23.223 

23.223 

23.223 

23.223 

Post 
2027 

TOTAL 

153.391 

7.817 

161.208 

EUR million (to three decimal places) 

2021 

2022 

2023 

2024 

2025 

2026 

2027 

Post 
2027 

TOTAL 

EUR million (to three decimal places) 

TOTAL appropriations  
across HEADINGS  
of the multiannual financial framework  

Commitments 

210.010  215.006  219.075  223.223  227.223  231.303  235.367 

1 561.208 

Payments 

81.511  132.044  180.871  207.935  213.758  218.078  222.314  304.696 

1 561.208 

EN 

20 

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3.2.2. 

Summary of estimated impact on appropriations of an administrative nature 

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

administrative nature  

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

nature, as explained below: 

EUR million (to three decimal places) 

Years 

2021 

2022 

2023 

2024 

2025 

2026 

2027 

TOTAL 

HEADING 7 
of the multiannual 
financial framework 

Human resources  

21.448 

21.665 

21.882 

22.099 

22.099 

22.099 

22.099 

153.391 

1.098 

1.107 

1.115 

1.124 

1.124 

1.124 

1.124 

7.817 

22.546 

22.772 

22.997 

23.223 

23.223 

23.223 

23.223 

161.208 

Other administrative 
expenditure  

Subtotal HEADING 
7 
of the multiannual 
financial framework  

Outside HEADING 
725 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 
7 
of the multiannual 
financial framework  

TOTAL 

22.546 

22.772 

22.997 

23.223 

23.223 

23.223 

23.223 

161.208 

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 managing the action  and/or have been redeployed within the DG, 
together  if  necessary  with  any  additional  allocation  that  may  be  granted  to  the  managing  DG  under  the  annual  allocation 
procedure and in the light of budgetary constraints. 

3.2.2.1.  Estimated requirements of human resources 

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

25 

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 

21 

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

below: 

Estimate to be expressed in full time equivalent units (FTEs) 

Years 

2021 

2022 

2023 

2024 

2025 

2026 

2027 

 Establishment plan posts (officials and temporary staff) 

Headquarters and Commission’s 
Representation Offices 

Delegations 

Research 

 102 

103 

104 

105 

105 

 105  

105  

 External staff (in Full Time Equivalent unit: FTE) - AC, AL, END, INT and JED 26 
Heading 7 

Financed from 
HEADING 7 of 
the multiannual 
financial 
framework  

- at Headquarters 

91 

92 

93 

94 

94 

94 

94 

- in Delegations  

Financed from the 
envelope of the 
programme 27 

- at Headquarters 

- in Delegations  

Research 

Other (specify) 

TOTAL 

193 

195 

197 

199 

199 

199 

199 

The human resources required will be met by staff from the DG who are already assigned to managing the action and/or have 
been redeployed within the DG, together if necessary with any additional allocation that 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 

This table shows indicative figures of the total staffing needs for the overall period 2021-
2027.  The  baseline  figure  upon  which  the  additional  staff  has  been  requested  is  189 
FTEs (i.e. staff working in civil protection as of 31 December 2020). This figure already 
includes the staff requested in 2017 to support the Commission proposal to strengthen 
the Union Civil Protection Mechanism (rescEU proposal). 

The total number of additional staff requested for 2021-27 is of 10 FTEs. This request is 
justified  by  the  fact  that  the  emerging  compromise  on  the  revision  of  the  Union  Civil 
Protection  Mechanism  will  lead  to  a  system  that  will  be  much  more  complex  to  set  up 
and to manage than the proposal tabled by the Commission in November 2017. This is 
due  to  the  increasing  administrative  complexities  the  Council  agreed  to  introduce, 
notably  the  joint  development  of  assets  co-financed  by  the  Commission.  In  addition, 
elements  that  the  Commission  originally  put  forward  as  part  of  the  legislative  proposal 
will now need to be determined by means of implementing acts, such as the capacities 
that the rescEU reserve will comprise (e.g. aerial firefighting, emergency medical team), 
along  with  how  it  will  be  managed  operationally  (such  as  defining  the  decision-making 
procedure for ther deployment). 

In general, legal profiles, including experts on procurement, and interinstitutional profiles 
will be sought to cover these tasks. The request for additional staff is staggered over the 
next multiannual financial framework period to allow this iterative process to be repeated 
for various new capacities, while also maintaining staff to manage existing capacities. 

26 

27 

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

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Accordingly,  additional  staff  will  first  be  needed  to  prepare  the  implementing  acts  and 
follow up the legislative process to define the type of capacities rescEU will include (e.g. 
aerial  firefighting  capacities,  emergency  medical  teams,  capacities  to  face  chemical, 
biological, radiological and nuclear risks), and then draw up the conditions of use. 

There  is  general  political  agreement  that  the  first  implementing  act  to  define  rescEU 
capacities will be focused on aerial firefighting capacities. Once the implementing acts for 
aerial  firefighting  capacities  are  in  place,  the  development  phase  of  the  rescEU 
firefighting capacities will start.  As noted above, this is likely to be a complex process, 
given  that  several  Member  States  may  participate  in  the  development  of  one  capacity 
through joint procurement agreement, as opposed to the Commission's original proposal 
to simplify co-financing and empower the Commission to acquire or lease assets on its 
own.  The  preparation  and  management  of  joint  procurement  agreements  will  create 
additional complexities that were not initially envisaged. 

This  process  (defining  capacities  and  conditions  of  use,  developing  capacities,  using 
capacities,  etc.)  will  have  to  be  repeated  with  other  types  of  capacities,  such  as 
emergency  medical  capacities  or  capacities  to  face  chemical,  biological  radiological  or 
nuclear  risks.  This  is  due  to  the fact  that  the  emerging  compromise  opens  the  door  to 
include a much wider range of capacities as part of the rescEU reserve, as opposed to 
the  original  Commission  proposal,  where  only  four  capacities  were  listed.  As  such, 
additional staff will be needed over the multiannual financial framework period to be able 
to  respond  to  these  emerging  needs,  while  continuing  to  manage  established  rescEU 
capacities. As such, profiles with relevant expertise in key areas of civil protection will be 
needed to support the development of other type of capacities. 

External staff 

External staff will also be sought to cover the abovementioned roles.  

In addition, external staff can also provide expertise on certain technical issues related to 
the development of capacities. 

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3.2.3.  Third-party contributions  

The proposal/initiative: 

–    does not provide for co-financing by third parties 

–  X  provides for the co-financing by third parties 

Financial contributions from third parties28 cannot be calculated at this stage as amounts have 
not yet been decided. 

3.3. 

Estimated impact on revenue  

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

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

– 

– 

 

 

on own resources  

 on other revenue 

please indicate, if the revenue is assigned to expenditure lines  

EUR million (to three decimal places) 

Impact of the proposal/initiative29 

2021 

2022 

2023 

2024 

2025 

2026 

2027 

Budget revenue line: 

Article …………. 

28 

29 

Third-party  contributions  refer  to  the  contributions  of  the  ‘Participating  States’  to  the  Union  Civil 
Protection Mechanism as specified in Table 3.1 (above) and in line  with the explanations provided in 
footnotes 21, 22 and 23. 
As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 20 % for collection costs. 

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