Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Council Regulation (EC) No 2012/2002 in order to provide financial assistance to Member States to cover serious financial burden inflicted on them following a withdrawal of the United Kingdom from the Union without an agreement
Date: 2019-09-04
Institutions: Directorate-General for Regional and Urban Policy, European Commission
Subjects: United Kingdom, aid to disaster victims, emergency aid, financial aid, fund (EU), natural disaster, withdrawal from the EU

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   EUROPEAN COMMISSION  Brussels, 4.9.2019  COM(2019) 399 final 2019/0183 (COD)  Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Council Regulation (EC) No 2012/2002 in order to provide financial assistance to Member States to cover serious financial burden inflicted on them following a withdrawal of the United Kingdom from the Union without an agreement  
 
EXPLANATORY MEMORANDUM 

1. 

• 

CONTEXT OF THE PROPOSAL 

Reasons for and objectives of the proposal 

The  United  Kingdom  has  decided  to  leave  the  European  Union,  invoking  the  procedure  set 
out in Article 50 of the Treaty on European Union (TEU). Following a request by the United 
Kingdom, the European Council (Article 50) agreed on 11 April 20191 to extend further2 the 
period provided for in Article 50(3) TEU until 31 October 2019. Unless the United Kingdom 
ratifies the Withdrawal Agreement by 31 October 2019 or requests a third extension, to which 
the European Council (Article 50) agrees by unanimity, the period under Article 50(3) TEU 
will  end  then.  The  United  Kingdom  will  then  be  a  third  country  as  of  1  November  2019 
without an agreement to ensure an orderly withdrawal. The Commission continues to consider 
that  an  orderly  withdrawal  of  the  United  Kingdom  from  the  Union  on  the  basis  of  the 
Withdrawal Agreement is the best outcome.  

All EU primary and secondary law will cease to apply to the UK from that moment onwards. 
There  will  be  no  transition  period,  as  provided  for  in  the  Withdrawal  Agreement.  This  will 
obviously  cause  significant  disruption  for  citizens,  businesses  and  public  institutions  and 
would have a serious negative economic and financial impact.  

Thus far, the European Union and the EU-27 Member States have put in place a significant 
set  of  measures.  In  particular,  since  November  2018,  the  European  Commission  has  been 
preparing for a withdrawal without an agreement. To date, the Commission has tabled and the 
co-legislators  adopted  19  legislative  proposals.  The  Commission  has  also  adopted  63  non-
legislative acts and published 100 preparedness notices. 

The  principles  governing  the  contingency  measures  at  all  levels  were  set  out  in  the  second 
Brexit Preparedness Communication of 13 November 20183. These include in particular that 
measures should not remedy damage that could have been avoided by preparedness measures 
and timely action by the relevant stakeholders. 

As stated in the fourth Brexit Preparedness Communications of 10 April 20194, in the context 
of  the  preparations  of  contingency  measures,  the  Commission  is  ready  to  propose  financial 
support  measures  to  mitigate  the  impact  in  the  most  affected  areas  and  sectors,  taking  into 
account the funds that are available and any adjustments on the expenditure and revenue side 
of  the  EU  budget  that  might  result  from  a  withdrawal  without  an  agreement.  For  more 
immediate  support  to  affected  stakeholders,  EU  State  aid  rules  offer  flexible  solutions  for 
national measures. 

Businesses, especially small and medium-sized companies with a significant exposure to the 
United Kingdom may also run into difficulties as a consequence of the loss of easy access to 
its market or be otherwise affected by more complex trade relations. Loss of jobs could be a 
consequence. Member States may want to act against a negative impact on the labour market 
by  introducing  aid  schemes  to  assist  affected  businesses  in  managing  change  or  by 
introducing measures to help preserve employment levels. 

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4 

European Council Decision (EU) 2019/584 (OJ L 101, 11.4.2019, p. 1). 
Following  a  request  by  the  United  Kingdom,  the  European  Council  decided  a  first  extension  on 
22 March 2019 - European Council Decision (EU) 2019/476 (OJ L 80I, 22.3.2019, p. 1). 
COM(2018) 880 final. 
COM(2019) 195 final. 

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Member  States’  public  administrations  will  also  be  affected  as  they  will  need  to  set  up 
additional  infrastructure  facilities  and  recruit  additional  personnel  in  some  affected  sectors, 
within a very short time span.  

For instance, in the field of customs and indirect taxation, national administrations will need 
to  put  significant  investments  in  infrastructure  and  human  resources,  primarily  in  Member 
States that are the main entry and exit points for the European Union’s trade with the United 
Kingdom. In the field of sanitary and phytosanitary controls, the 27 Member States are setting 
up new Border Inspection Posts or extending existing ones at entry points of imports from the 
United Kingdom into the EU. 

The  above  types  of  actions  are  likely  to  have  a  significant  impact  on  public  spending, 
especially in the short term and in those Member States particularly affected. For the public 
finances  of  those  Member  States,  it  could  constitute  a  major  disaster  resulting  in  an  urgent 
need  for  additional  public  funding.  Therefore,  the  mobilisation  of  the  European  Union 
Solidarity Fund (EUSF) could provide vital relief to those Member States and their finances, 
should its scope of action be extended as to cover the negative impact of this scenario.   

The  EUSF  was  created  in  2002  to  support  EU  Member  States  and  accession  countries  in 
situations  of  major  disasters  caused  by  natural  events  such  as  floods,  storms,  earthquakes, 
volcanic  eruptions,  forest  fires  or  drought.  The  Fund  can  be  mobilised  upon  an  application 
from  the  concerned  country  if  the  disaster  event  has  a  dimension  justifying  intervention  at 
European level. 

Its  functioning is  a tangible expression of a  genuine EU solidarity, whereby Member States 
agree to support each other by making additional financial resources available through the EU 
budget.  

Despite the measures already taken or planned, it is fair to assume that due to the particularly 
close economic and trading relationship with the United Kingdom, some Member States will 
be more impacted by the event of withdrawal without an agreement than others. Even if it is 
extremely difficult to assess it exactly, it will have a significant impact on the economy, the 
labour market and the public finances, especially in the short term. While it will be a singular 
event,  its disruptive effects  and the burden thereof on public  finances, directly imputable to 
the  event  of  a  withdrawal  without  an  agreement,  could  constitute  a  major  disaster  and 
therefore the activation of the “solidarity principle”, which is the core of the EUSF, would be 
justified in order to mitigate those effects. 

• 

Consistency with existing policy provisions in the policy area 

The  present  proposal  aims  at  modifying  Council  Regulation  (EC)  No  2012/2002  of  11 
November  2002  establishing  the  European  Union  Solidarity  Fund  (hereafter:  “Regulation 
(EC) No 2012/2002”) in order to extend its scope to cover certain types of additional public 
expenditure  caused  by  the  withdrawal  of  the  United  Kingdom  from  the  European  Union 
without the Withdrawal Agreement. 

• 

Consistency with other Union policies 

The  proposal  is  part  of  the  preparations  of  contingency  measures  for  the  withdrawal  of  the 
United Kingdom from the European Union. 

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2. 

• 

LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY 

Legal basis 

As  this  is  the  modification  of  the  existing  regulation,  it  follows  the  provisions  that  are  the 
legal  basis  for  Regulation  (EC)  No  2012/2002,  i.e.  Article  175  of  the  Treaty  on  the 
Functioning  of  the  European  Union  (TFEU).  As  this  modification  relates  to  Member  States 
only, Article 212 TFEU does not apply. 

• 

Subsidiarity (for non-exclusive competence)  

The proposal aims to extend the scope of the EUSF in order to show European solidarity with 
the  most  seriously  affected  Member  States  by  providing  assistance  from  the  Fund  to  help 
them bear the  financial  burden inflicted on them as a consequence of the withdrawal  of the 
United  Kingdom  from  the  Union  without  an  agreement.  In  line  with  the  principle  of 
subsidiarity, it defines clear eligibility criteria for the EUSF to be mobilised. Assistance under 
this instrument will therefore be confined to costs with serious repercussions on the economic 
and financial conditions in a given Member State. 

The  EUSF  is  based  on  the  subsidiarity  principle.  This  means  that  the  EU  should  intervene 
only in cases where a Member State is deemed no longer to be able to cope with a crisis alone 
and requires assistance. The legislator considered that, for natural disasters, such a situation is 
present  when  the  total  direct  damage  exceeds  a  certain  threshold.  Economic  follow-on 
damage is not included as it is considered too complex to determine in a quick, reliable and 
comparable  way.  The  threshold  for  natural  disasters  was  therefore  set  at  direct  damage 
exceeding 0.6% of gross national income (GNI) or EUR 3 billion (in 2011 prices), whereby 
the  lower  amount  applies.  This  double  criterion  was  chosen  because  a  single  fixed  amount 
would not reflect the big differences in economic strength (and therefore budgetary response 
capacities)  of  the  Member  States  and  lead  to  great  injustices  and  unequal  treatment  of 
Member States. A single percentage rate would lead to either extremely low amounts for the 
smaller Member States or unattainably high thresholds for the biggest economies. 

In  the  case  of  a  disorderly  withdrawal  of  the  United  Kingdom  from  the  EU,  severe 
consequences  for  the  economies  of  the  Member  States  are  expected.  However,  it  is  hardly 
possible to estimate the direct damage. The same approach as for natural disasters is therefore 
not  possible.  Instead,  the  Commission  proposes  to  take  the  financial  burden  on  Member 
States’ budgets in order to face the additional needs stemming from and directly linked to a 
withdrawal  without an agreement as the  reference to  determine eligibility. This  corresponds 
largely to the public share of direct damage eligible for funding (such as the cost of recovery 
of  public  infrastructure,  assistance  to  the  population,  rescue  services  etc.)  in  the  case  of 
natural  disasters.  This  eligible  public  share  of  total  damage  varies  greatly  depending  on  the 
disaster and the country affected. On average, it is around 50% of total damage.  

The  Commission  is  therefore  proposing  to  maintain  the  principles  on  which  access  to  the 
EUSF is based. Accordingly, the lower of 0.3% of GNI or EUR 1.5 billion in 2011 prices, i.e. 
half  of  that  applicable  to  natural  disasters,  are  defined  as  the  minimum  level  of  public 
expenditure related to the withdrawal without agreement in order to access the EUSF. It is for 
the  Member  State  to  provide  evidence  for  that  expenditure  and  to  demonstrate  that  it  is 
directly imputable to the withdrawal without agreement. 

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• 

Proportionality 

The proposal respects the proportionality principle. It does not go beyond what is necessary to 
achieve the objectives already laid down in the current instrument. 

• 

Choice of the instrument 

It  is  proposed  to  modify  the  existing  Regulation  (EC)  No  2012/2002  to  use  the  established 
procedures  and  practices  to  prepare  and  assess  the  applications  for  assistance  and  to 
implement  and  report  the  aid.  This  exercise  is  targeted  and  limited  to  mitigate  economic 
consequences of a unique event which is the United Kingdom leaving the Union without an 
agreement.  

3. 

RESULTS 
CONSULTATIONS AND IMPACT ASSESSMENTS 

EX-POST 

EVALUATIONS, 

OF 

STAKEHOLDER 

Ex-post evaluations/fitness checks of existing legislation 

• 
The Ex Post Evaluation 2002-20175 concluded that the Fund is a valuable instrument in the 
EU  toolkit  for  interventions  in  disaster  situations,  bringing  EU  added  value  to  the  post-
disaster  response  in  Member  States  and  accession  countries.  The  evaluation  also  called  for 
further consideration to be given to policy actions that increase the potential for the Fund to 
intervene.  

• 

Stakeholder consultations 

Due  to  the  urgency  to  prepare  the  proposal  so  that  it  can  be  adopted  on  time  by  the  co-
legislators, a stakeholder consultation could not be carried out.   

• 

Impact assessment 

Due to the urgent nature of the proposal, no impact assessment was carried out.  

4. 

BUDGETARY IMPLICATIONS 

To  maintain  the  availability  of  the  EUSF  for  major  natural  disasters,  which  is  its  original 
purpose, the use of the EUSF for the purpose of the present proposal should be limited to a 
maximum of 50% of its annual available amount in 2019 and 2020. 

The maximum annual allocation of the EUSF is EUR 500 million in 2011 prices. In current 
prices this means EUR 585.8 million for 2019 plus EUR 597.5 million for 2020, i.e. a total of 
EUR 1 183.3 million. Up to EUR 591.65 million would therefore be available for the purpose 
of the current proposal. 

Based on the EUSF assistance already mobilised in 2019 and currently in the process of being 
mobilised, it is reasonable to expect that the major part, and in any event more than half, of 
the 2019 allocation will not be spent during that year and will be carried forward to 2020. 

Advance  payments  were  introduced  with  the  revision  of  the  EUSF  Regulation  in  2014  and 
became  effective  from  2015.  The  main  justification  for  their  introduction  was  that  the 
procedure  necessary  to  mobilise  the  EUSF  and  pay  out  the  full  assistance  is  too  lengthy 
(typically up to one year) and that the serious crisis situation demanded a quicker response. It 

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SWD(2019) 186 final. 

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was also considered that the long delays in providing assistance were bad for the image of the 
EU.  

The  level  of  advances  was  set  at  10%  of  the  expected  EUSF  contribution,  limited  to  a 
maximum  of  EUR  30  million.  It  turned  out  that  this  level  was  not  satisfactory.  In  case  of 
smaller disasters where the EUSF contribution amounts to a few million Euros the advance is 
not  much  more  than  some  hundred  thousand  euros  which  hardly  make  a  difference.  In  the 
event  of very  big disasters such  as the Abruzzo earthquake with  EUR 22 billion in  damage 
and an EUSF contribution of EUR 1.2 billion an advance of no more than EUR 30 million is 
totally inadequate. In both scenarios the advance payment is disproportionate to its effects on 
the ground. The recent ex-post evaluation of the EUSF (2002-2017) confirms this analysis. 

The  Commission  therefore  proposes  to  raise  the  level  of  advance  payments  for  individual 
disasters of all categories to 25% of the expected EUSF contribution, limited to a maximum 
of EUR 100 million. 

The  Commission  also  proposes  to  increase  the  total  level  of  appropriations  for  EUSF 
advances in the annual budget from EUR 50 million to EUR 100 million. The Draft Budget 
for  2020  does  not  incorporate  this  proposal.  In  order  to  ensure  the  timely  availability  of 
resources  where  necessary,  the  Commission  will  propose  to  enter  additional  appropriations 
for a maximum of EUR 50 million in the budget for 2020.  

5. 

• 

OTHER ELEMENTS 

Implementation plans and monitoring, evaluation and reporting arrangements 

Maximum  transparency  and  proper  monitoring  of  the  use  of  the  EU  financial  resources  are 
required. Reporting obligations for the Member States and the Commission, will apply as set 
out in Regulation (EC) No 2012/2002.  

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2019/0183 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Council Regulation (EC) No 2012/2002 in order to provide financial 
assistance to Member States to cover serious financial burden inflicted on them 
following a withdrawal of the United Kingdom from the Union without an agreement 

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 the 
third paragraph of Article 175 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 Committee6,  
Having regard to the opinion of the Committee of the Regions7,  

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

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The  European  Union  Solidarity  Fund  (‘the  Fund’)  was  established  by  Council 
Regulation (EC) No 2012/20028. The Fund was created to provide financial assistance 
to  Member  States  following  emergency  situations  as  a  concrete  sign  of  European 
solidarity in situations of distress.  

On 29 March 2017, the United Kingdom submitted the notification of its intention to 
withdraw  from  the  Union  pursuant  to  Article  50  of  the  Treaty  on  European  Union 
(TEU). The Treaties cease to apply to the United Kingdom from the date of entry into 
force of a withdrawal agreement or failing that, two years after that notification, unless 
the European Council, in  agreement with  the United Kingdom,  unanimously decides 
to extend that period. 

On 11 April 2019, following a request by the United Kingdom, the European Council 
agreed9  to  extend  further10  the  period  provided  for  in  Article  50(3)  TEU  until  31 
October  2019.  Unless  the  United  Kingdom  ratifies  the  Withdrawal  Agreement11  by 
31 October 2019 or requests a third extension, to which the European Council agrees 
by unanimity, the United Kingdom will leave the Union without an agreement and will 
become a third country as of 1 November 2019. 

OJ C , , p. . 
OJ C , , p. . 
Council  Regulation  (EC)  No  2012/2002  of  11  November  2002  establishing  the  European  Union 
Solidarity Fund (OJ L 311, 14.11.2002, p. 3). 
European Council Decision (EU) 2019/584 (OJ L 101, 11.4.2019, p. 1). 
Following  a  request  by  the  United  Kingdom,  the  European  Council  decided  a  first  extension  on 
22 March 2019 - European Council Decision (EU) 2019/476 (OJ L 80I, 22.3.2019, p. 1). 
Agreement on the  withdrawal of the United Kingdom of Great Britain and Northern Ireland from the 
European Union and the European Atomic Energy Community (OJ C 144I, 25.4.2019, p. 1). 

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(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

To mitigate the economic impact of the withdrawal of the United Kingdom from the 
Union  without  an  agreement  and  to  show  solidarity  with  the  most  affected  Member 
States  in  such  exceptional  circumstances,  Regulation  (EC)  No  2012/2002  should  be 
amended to support related public expenditure.   

As  this  is  an  exceptional  use  of  the  Fund,  its  assistance  to  mitigate  serious  financial 
burden, inflicted on the Member States as  a direct consequence of the withdrawal of 
the  United  Kingdom  from  the  Union  without  an  agreement,  should  be  targeted  and 
limited in time to safeguard the Fund’s original rationale and its capacity to respond to 
natural disasters. 

For  the  purposes  of  this  exceptional  use  of  the  Fund,  it  is  appropriate  to  establish  a 
minimum  amount  of  estimated  damage  above  which  a  Member  State  may  apply  for 
assistance  from  the  Fund  due  to  the  withdrawal  of  the  United  Kingdom  from  the 
Union without an agreement.  In addition,  the eligibility rules  need to  be amended to 
include  support  for  public  expenditure  incurred  as  a  result  of  the  withdrawal  of  the 
United Kingdom from the Union without an agreement. 

To  ensure  equal  treatment  among  the  Member  States,  there  should  be  one  single 
deadline  applicable  to  all  Member  States  for  the  submission  of  applications  for  a 
financial contribution from the Fund, without possibility to extend an application after 
that deadline to cover additional expenditure. 

To  maintain  the  availability  of  the  Fund  for  natural  disasters,  its  original  purpose,  a 
budgetary  ceiling  for support related to  the  withdrawal  of the United Kingdom  from 
the Union without an agreement should be established. 

Assistance from the Fund to mitigate serious financial burden inflicted on the Member 
States  as  a  consequence  of  the  withdrawal  of  the  United  Kingdom  from  the  Union 
without  an  agreement  should  be  subject  to  the  same  rules  for  implementation, 
monitoring,  reporting,  control  and  audit  as  any  other  interventions  of  the  Fund.  In 
addition, given the broad scope of public expenditure potentially eligible for support, it 
is important to ensure that other provisions of EU law, in particular the State aid rules, 
are respected. 

(10)  The Commission should be able to take a rapid decision to commit specific financial 
resources  and  to  mobilise  them  as  quickly  as  possible.  The  existing  provisions  for 
making  advance  payments  should  therefore  be  strengthened  by  increasing  their 
amounts. 

(11)  This  Regulation should  enter into  force  as a matter of urgency on the day  following 
that of its publication in the Official Journal of the European Union and should apply 
from  the  day  following  that  on  which  the  Treaties  cease  to  apply  to  the  United 
Kingdom  pursuant  to  Article  50(3)  TEU  unless  a  withdrawal  agreement  concluded 
with the United Kingdom has entered into force by that date. 

(12)  Regulation (EC) No 2012/2002 should therefore be amended accordingly, 

HAVE ADOPTED THIS REGULATION: 

Regulation (EC) No 2012/2002 is amended as follows: 

(1) 

Before Article 1, the following heading is inserted: 

Article 1 

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“TITLE I 
SCOPE AND ELIGIBILITY” 

(2) 

In Article 1 the following subparagraph is added:  

“For  the  purpose  of  this  Regulation,  the  notion  of  “major  disasters”  covers  natural 
disasters  as  well  as  situations  where  serious  financial  burden  is  inflicted  on  a 
Member  State  as  a  direct  consequence  of  the  withdrawal  of  the  United  Kingdom 
from the Union without an agreement.”. 

(3) 

The following new Articles 3a and 3b are inserted: 

"Article 3a  

(1)  At  the  request  of  a  Member  State,  assistance  from  the  Fund  may  also  be 
mobilised when serious financial burden is inflicted on this Member State as a 
direct  consequence  of  the  United  Kingdom  leaving  the  Union  without  an 
agreement  in  accordance  with  Article  50(2)  TEU  (“withdrawal  without  an 
agreement”). The assistance shall take the form of a financial contribution from 
the Fund. 

(2)  The  available  appropriations  for  this  goal  shall  be  limited  to  half  of  the 
maximum  available  amount  for  the  Fund  intervention  for  the  years  2019  and 
2020.  

(3)  Such assistance shall cover a part of the additional public expenditure caused 
directly  by  the  withdrawal  without  an  agreement  and  incurred  exclusively 
between  the  date  of  the  withdrawal  without  an  agreement  and  31  December 
2020 ("financial burden").  

(4)  A Member State shall be eligible to  apply for assistance under this Article, if 
the  financial  burden  it  has  suffered  is  estimated  to  be  either  over  EUR 
1 500 000 000 in 2011 prices, or more than 0.3 % of its GNI. 

(5)  Only Member States may apply for assistance from the Fund under this Article.  

Article 3b  

(1)  Assistance  provided  under  Article  3a  shall  cover  only  the  financial  burden 
borne  by  a  Member  State  compared  to  the  situation  where  an  agreement 
between the Union and the United Kingdom would have been concluded. Such 
assistance may be used, for example, to provide support to businesses affected 
by  the  withdrawal  without  an  agreement,  including  support  to  State  aid 
measures for those businesses and related interventions; measures to  preserve 
existing  employment;  and  to  ensure  the  functioning  of  border,  customs, 
sanitary  and  phytosanitary  controls,  including  additional  personnel  and 
infrastructure. 

(2)  VAT shall not constitute eligible expenditure.  

(3)  The  loss  of  the  revenues  by  a  Member  State  shall  not  constitute  eligible 

expenditure. 

(4)  Technical  assistance 

information  and 
communication,  complaint  resolution,  and  control  and  auditing,  shall  not  be 
eligible  for  a  financial  contribution  from  the  Fund.  Costs  relating  to  the 

for  management,  monitoring, 

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preparation and implementation  of the operations mitigating financial burden, 
including costs relating to essential technical expertise, shall be eligible as part 
of project costs. 

(5)  Where revenue is generated from operations referred to in paragraph 1 with a 
financial contribution  from  the Fund, the total  financial contribution  from  the 
Fund shall not exceed the total net financial burden borne by a Member State. 
A  Member  State  shall  include  a  statement  to  that  effect  in  the  report  on  the 
implementation of the financial contribution from the Fund pursuant to Article 
8(3).  

(6)  Eligible  expenditure  can  only  relate  to  operations  that  are  compatible  with 

Union law, including State aid rules.” 

(4) 

Before Article 4, the following headings are inserted: 

“TITLE II 
PROCEDURES 

Chapter I 
Natural disasters” 

(5) 

Before Article 4 a, the following heading is inserted: 

“Chapter II 
Withdrawal of the United Kingdom from the Union” 

(6) 

Article 4a is replaced by the following: 

“Article 4a  

(1)  The  responsible  national  authorities  of  a  Member  State  may  submit  a  single 
application  to  the  Commission  for  a  financial  contribution  from  the  Fund  in 
accordance with Article 3a by 30 April 2020 at the latest. The application shall 
include,  as  a  minimum,  all  relevant  information  on  the  financial  burden 
inflicted on that Member State.  It shall describe  the public measures taken in 
response to the withdrawal without an agreement specifying their net cost until 
31  December  2020  and  the  reasons  why  they  could  not  have  been  avoided 
through  preparedness  measures.  It  should  also  include  the  justification 
concerning direct effect of the withdrawal without an agreement. 

(2)  The Commission shall prepare guidance on how to access and implement the 
Fund  effectively.  The  guidance  shall  provide  detailed  information  on  the 
preparation  of  the  application,  and  the  information  to  be  submitted  to  the 
Commission, including on the evidence to be provided concerning the financial 
burden  inflicted.  The  guidance  shall  be  made  public  on  the  websites  of  the 
relevant  Directorate  Generals  of  the  Commission  and  the  Commission  shall 
ensure its wider dissemination to the Member States.  

(3)  After  30  April  2020,  the  Commission  shall  assess  on  the  basis  of  the 
information  referred  to  in  paragraphs  1  and  2,  for  all  applications  received, 
whether the conditions for mobilising the Fund are met in each case and shall 

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determine  the  amounts  of  any  possible  financial  contribution  from  the  Fund 
within the limits of the financial resources available. 

(4)  Assistance from the Fund shall be awarded to the Member States meeting the 
eligibility criteria, taking into account the thresholds specified in Article 3a(4), 
at a rate of up to 5% of the inflicted financial burden, and within the limits of 
the  budget  available.  In  the  event  that  the  budget  available  should  prove 
insufficient, the aid rate shall be proportionately reduced.  

(5)  Where the Commission has concluded that the conditions as set out in Article 
3a are met for providing a financial contribution from the Fund, it shall without 
delay  submit  to  the  European  Parliament  and  the  Council  the  necessary 
proposals 
the  corresponding 
appropriations. Those proposals shall include: 

the  Fund  and 

to  authorise 

to  mobilise 

(a) 

all available information, as referred to in paragraph 1; 

(b) 

all other relevant information in the possession of the Commission; 

(c) 

evidence  demonstrating that the conditions of Article 3a are fulfilled;  

(d) 

a justification of the amounts proposed. 

(6)  The  decision  to  mobilise  the  Fund  shall  be  taken  jointly  by  the  European 
Parliament  and  the  Council  as  soon  as  possible  after  the  submission  of  the 
proposal  by  the  Commission.  The  Commission,  on  the  one  hand,  and  the 
European  Parliament  and  the  Council,  on  the  other  hand,  shall  endeavour  to 
minimise the time taken to mobilise the Fund. 

(7)  Once  the  appropriations  are  made  available  by  the  European  Parliament  and 
the  Council,  the  Commission  shall  adopt  a  decision,  by  means  of  an 
implementing act, awarding the financial contribution from the Fund and shall 
pay  that  financial  contribution  immediately  and  in  a  single  instalment  to  the 
beneficiary State. If an advance has been paid pursuant to Article 4b, only the 
balance shall be paid.”. 

(7) 

After Article 4a, the following heading and a new Article 4b are inserted:  

“Chapter III 
Common provisions” 

 “Article 4b  

(1)  When submitting an application for a financial contribution  from  the Fund to 
the  Commission,  for  a  damage  caused  by  a  natural  disaster,  a  Member  State 
may  request  the  payment  of  an  advance.  The  Commission  shall  make  a 
preliminary  assessment  of  whether  the  application  fulfils  the  conditions  laid 
down in Article 4(1) and verify the availability of budgetary resources. Where 
those  conditions  are  fulfilled  and  sufficient  resources  are  available,  the 
Commission may adopt a decision, by means of an implementing act, awarding 
the  advance  and  pay  it  out  without  delay  before  the  decision  referred  to  in 
Article 4(4) has been taken. The payment of an advance shall be made without 
prejudice to the final decision on the mobilisation of the Fund. 

(2)  When submitting an application for a financial contribution  from  the Fund to 
the Commission  for serious financial burden  caused by the  withdrawal  of the 

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United Kingdom  from the Union without an agreement, a Member State may 
request the payment of an advance. The Commission shall make a preliminary 
assessment  of  whether  the  application  fulfils  the  conditions  laid  down  in 
Article  4a(1)  and  verify  the  availability  of  budgetary  resources.  Where  those 
conditions are fulfilled and sufficient resources are available, the Commission 
may adopt a decision, by means of an implementing act, awarding the advance 
and pay it out without delay before the decision referred to in Article 4a(7) has 
been taken. The payment of an advance shall be made without prejudice to the 
final decision on the mobilisation of the Fund. 

(3)  The amount of an advance shall not exceed 25% of the amount of the financial 
contribution  anticipated  and  shall  in  no  case  exceed  EUR  100 000 000.  Once 
the  definitive  amount  of  the  financial  contribution  has  been  determined,  the 
Commission shall take into account the sum of the advance prior to the balance 
of the financial contribution being paid. The Commission shall recover unduly 
paid advances. 

(4)  Any  repayment  due  to  be  made  to  the  general  budget  of  the  Union  shall  be 
effected  before  the  due  date  indicated  in  the  order  for  recovery  drawn  up  in 
accordance with the Article 101 of Regulation (EU, Euratom) 2018/1046 of the 
European Parliament and of the Council12. The due date shall be the last day of 
the second month following the issue of the order. 

(5)  When adopting the draft general budget of the Union for a given financial year, 
the  Commission  shall,  where  necessary  in  order  to  ensure  the  timely 
availability of budgetary resources, propose to the European Parliament and the 
Council  to  mobilise  the  Fund  in  an  amount  up  to  a  maximum  of  EUR 
100 000 000  for  the  payment  of  advances  and  propose  to  enter  the 
corresponding  appropriations  into  the  general  budget  of  the  Union.  The 
budgetary  arrangements  shall  comply  with  the  ceilings  referred  to  in  Article 
10(1) of Council Regulation (EU, Euratom) No 1311/201313.”. 

(8) 

After Article 9, the following heading is  inserted: 

“TITLE III 
FINAL PROVISIONS” 

Article 2 

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

It shall apply from the day following that on which the Treaties cease to apply to the United 
Kingdom pursuant to Article 50(3) TEU.  

12 

13 

Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on 
the  financial  rules  applicable  to  the  general  budget  of  the  Union,  amending  Regulations  (EU)  No 
1296/2013, (EU) No 1301/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) 
No  223/2014,  (EU)  No  283/2014,  and  Decision  No  541/2014/EU  and  repealing  Regulation  (EU, 
Euroatom) No 966/2012 (OJ L 193, 30.7.2018, p. 1). 
Council  Regulation  (EU,  Euratom)  No  1311/2013  of  2  December  2013  laying  down  the  multiannual 
financial framework for the years 2014-2020 (OJ L 347, 20.12.2013, p. 884). 

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However,  this  Regulation  shall  not  apply  if  a  withdrawal  agreement  concluded  with  the 
United  Kingdom  in  accordance  with  Article  50(2)  TEU  has  entered  into  force  by  the  date 
referred to in the second paragraph of this Article. 

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 

Proposal for a Regulation of the European Parliament and of the Council amending 
Council  Regulation  (EC)  No  2012/2002  in  order  to  provide  financial  assistance  to 
Member  States  to  cover  serious  financial  burden  inflicted  on  them  following  a 
withdrawal of the United Kingdom from the Union without an agreement 

1.2. 

Policy area(s) concerned  

13. Regional policy; 13 06 01. Assistance to Member States in the event of a major 
natural  disaster  with  serious  repercussions  on  living  conditions,  the  natural 
environment or the economy 

1.3. 

Grounds for the proposal/initiative  

1.3.1.  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 Regulation shall enter into force on the […] day following that of its publication 
in the Official Journal of the European Union. 

It shall apply from the date following that on which the Treaties cease to apply to the 
United Kingdom pursuant to Article 50(3) TEU. 

This Regulation shall not apply if a withdrawal agreement concluded with the United 
Kingdom in accordance with Article 50(2) TEU has entered into force by that date. 

1.3.2.  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. 

The reason for setting up the EU Solidarity Fund (EUSF) is to demonstrate solidarity 
with  Member  States  affected  by  a  serious  crisis  induced  by  the  occurrence  of  a 
severe  natural  disaster  and  deemed  to  overwhelm  the  Member  State’s  budgetary 
response capacity. This proposal extends that logic to the financial burden resulting 
from  the  withdrawal  of  the  United  Kingdom  from  the  Union  without  a  withdrawal 
agreement. 

1.3.3.  Lessons learned from similar experiences in the past 

The  EUSF  has  proven  to  be  a  very  effective  instrument  in  providing  assistance  to 
Member  States  following  natural  disasters  as  set  out  by  a  major  evaluation  of  the 
Fund14. 

1.3.4.  Compatibility  with  the  Multiannual  Financial  Framework  and  possible  synergies 

with other appropriate instruments 

The  specific  provisions  of  this  Regulation  regarding  the  withdrawal  of  the  United 
Kingdom without an agreement are limited in time and concern the budgetary years 

14 

SWD(2019) 186 final. 

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13 

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2019  and  2020  only.  It  remains  within  the  maximum  allocations  provided  for  the 
EUSF for those years and is therefore compatible with the MFF. 

1.3.5.  Assessment  of  the  different  available  financing  options,  including  scope  for 

redeployment 

This Regulation will not increase the maximum allocation to the EUSF. The Union 
contribution to the interventions will be financed via the general budget of the Union. 

1.4. 

Duration and financial impact of the proposal/initiative 

–  Proposal  of  limited  duration.  The  proposal  concerns  the  years  2019  and    2020. 

Applications will be accepted between 1 November 2019 and 30 April 2020. 

–  The  ceiling  will  be  50%  of  the  maximum  allocation  of  the  EUSF  for  2019  and 
2020 totalling EUR 591.65 million (EUR 292.9 million for 2019 plus EUR 298.75 
million for 2020). 
1.5.  Management mode(s) planned15  

 Direct management by the Commission 

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

–    by the executive agencies  

X 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 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. 

– 

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

Comments  

N/A

15 

Details of management modes and references to the Financial Regulation may be found on the 
BudgWeb site: 
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  

Specify frequency and conditions. 

The  same  as  laid  down  in  Council  Regulation  (EC)  No  2012/2002  (for  natural 
disasters) 

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 

The same as laid down in Council Regulation (EC) No 2012/2002 

2.2.2. 

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

The same as laid down in Council Regulation (EC) No 2012/2002 

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 same as laid down in Council Regulation (EC) No 2012/2002 

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures, e.g. from the Anti-Fraud Strategy. 

The same as laid down in Council Regulation (EC) No 2012/2002

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3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1. 

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

  Existing 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.16 

Contribution  

from 
EFTA 
countries
17 

from 
candidate 
countries18 

from third 
countries 

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

Heading 
9: 
Special 
Instrume
nts 

13 06 01 - Assistance to Member States in 
the event of a major natural disaster with 
serious 
living 
conditions, the natural environment or the 
economy  

repercussions 

on 

Different
iated 

NO 

NO 

NO 

      NO 

3.2. 

Estimated financial impact of the proposal on appropriations  

3.2.1. 

Summary of estimated impact on operational appropriations  

–    This Regulation has no financial impact.   

X 

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

16 
17 
18 

Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations. 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidates from the Western Balkans. 

EN 

16 

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The specific provisions of this Regulation regarding the withdrawal of the United Kingdom without an agreement are limited in time 
and concern the budgetary years 2019 and 2020 only.  

It shall apply from the date following that on which the Treaties cease to apply to the United Kingdom pursuant to Article 50(3) TEU. 

Applications will be accepted between 1 November 2019 and 30 April 2020. 

The ceiling will be 50% of the maximum allocation of the EUSF for 2019 and 2020 totalling EUR 591.65 million (EUR 292.9 million 
for 2019 plus EUR 298.75 million for 2020). 

This Regulation shall not apply if a withdrawal agreement concluded with the United Kingdom in accordance with Article 50(2)  TEU 
has entered into force by that date. 

Furthermore, the additional advances require EUR 50 million in commitment and payment appropriations from 2020 onwards.  

The overall proposal remain within the maximum allocations provided for the EUSF and is therefore compatible with the MFF. 

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Heading of multiannual financial  
framework  

9 

Special Instruments 

EUR  

2019 

2020 

2021 

2022 

      2023 

Subsequent 
years 

TOTAL 

 Operational appropiation 

13 06 01 - Assistance to Member States in the 
event  of  a  major  natural  disaster  with  serious 
repercussions on living conditions, the natural 
environment or the economy 

TOTAL appropriations 

Commitments 

(1a) 

Payments 

(2a) 

Commitments 

Payments 

=1a+1b 
+3 

=2a+2b 

+3 

 TOTAL operational appropriations  

Commitments 

Payments 

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

(4) 

(5) 

(6) 

TOTAL appropriations  
under HEADING 9 
of the multiannual financial framework 

Commitments 

=4+ 6 

Payments 

=5+ 6 

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If more than one operational heading is affected by the proposal / initiative, repeat the section above: 

Heading of multiannual financial  
framework  

This section should be filled in using the 'budget data of an administrative nature' to be firstly introduced in the Annex to the Legislative 
Financial Statement (Annex V to the internal rules), which is uploaded to DECIDE for interservice consultation purposes. 

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) 

DG: <…….> 

 Human resources  
 Other administrative expenditure  

TOTAL DG <…….> 

Appropriations  

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total  commitments  = 
Total payments) 

Year 
N19 

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) 

19 

EN 

Year N is the year in which implementation of the proposal/initiative starts. Please replace "N" by the expected first year of implementation (for instance: 2021). The same for the 
following years. 

19 

EN 

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

Commitments 

Payments 

3.2.2.  Estimated output funded with operational appropriations  

Year 
2020 

Year 

Year 

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

TOTAL 

OUTPUTS 

Commitment appropriations in EUR million (to three decimal places) 

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  

 

Type20 

Avera
ge 
cost 

SPECIFIC OBJECTIVE No 121… 

- Output 

- Output 

- Output 

Subtotal for specific objective No 1 

SPECIFIC OBJECTIVE No 2 ... 

- Output 

Subtotal for specific objective No 2 

TOTALS 

20 
21 

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)…’  

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3.2.3. 

Summary of estimated impact on administrative appropriations  

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

administrative nature  

–  The  appropriations  required  for  human  resources  and  other  expenditure  of  an 
administrative  nature  will  be  met  by  appropriations  from  the  managing  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  DG  under  the  annual  allocation  procedure  and  in  the  light  of 
budgetary constraints. 

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

nature, as explained below: 

EUR million (to three decimal places) 

Year 
N 22 

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 523 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

TOTAL 

22 

23 

Year N is the year in which implementation of the proposal/initiative starts. Please replace "N" by the expected first 
year of implementation (for instance: 2021). The same for the following years. 
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. 

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3.2.3.1.  Estimated requirements of human resources  

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

–  The  appropriations  required  for  human  resources  and  other  expenditure  of  an 
administrative  nature  will  be  met  by  appropriations  from  the  managing  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  DG  under  the  annual  allocation  procedure  and  in  the  light  of 
budgetary constraints. 

–    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 

Year 
N+3 

Enter as many years as 
necessary to show the duration 
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 01/11/21 (Indirect research) 

10 01 05 01/11 (Direct research) 

 External staff (in Full Time Equivalent unit: FTE)24 

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

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

XX 01 04 yy 25 

- at Headquarters 

- in Delegations  

XX 01 05 02/12/22 (AC, END, INT - Indirect research) 

10 01 05 02/12 (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 

24 

25 

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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3.2.4.  Compatibility with the current multiannual financial framework  

The proposal/initiative: 

–   can be fully financed within the relevant heading of the Multiannual Financial 

Framework (MFF). 

–   requires use of the unallocated margin under the relevant heading of the MFF 

and/or use of the special instruments as defined in the MFF Regulation. 

This Regulation is limited in time and concerns the budgetary years 2019 and 2020 only. It remains 
within  the  maximum  allocations  provided  for  the  EUSF  for  those  years  and  is  therefore  compatible 
with the MFF. 

It shall apply from the date following that on which the Treaties cease to apply to the United Kingdom 
pursuant to Article 50(3) TEU. 

Applications will be accepted between 1 November 2019 and 30 April 2020. 

The ceiling  will be 50% of the  maximum  allocation of the EUSF for 2019 and 2020 totalling EUR 
591.65 million (EUR 292.9 million for 2019 plus EUR 298.75 million for 2020). 

This  Regulation  shall  not  apply  if  a  withdrawal  agreement  concluded  with  the  United  Kingdom  in 
accordance with Article 50(2) TEU has entered into force by that date. 

–    requires a revision of the MFF. 

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

3.2.5.  Third-party contributions  

The proposal/initiative: 

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

–    provides for the co-financing by third parties estimated below: 

Appropriations in EUR  

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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 X 

     EUR  

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

N/A 

Other remarks (e.g. method/formula used for calculating the impact on revenue or any other information). 

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