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 and countries negotiating their accession to the Union seriously affected by a major public health emergency
Date: 2020-03-13
Institutions: Directorate-General for Regional and Urban Policy, European Commission
Subjects: EU Member State, European Union Solidarity Fund, accession negotiations, crisis management, emergency aid, epidemic, financial aid, infectious disease, public health

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   EUROPEAN COMMISSION  Brussels, 13.3.2020  COM(2020) 114 final 2020/0044 (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 and countries negotiating their accession to the Union seriously affected by a major public health emergency  
 
EXPLANATORY MEMORANDUM 

1. 

• 

CONTEXT OF THE PROPOSAL 

Reasons for and objectives of the proposal 

Since the first cases of COVID-19 contagion, the EU has been working tirelessly to support 
the Member States and their citizens in addressing the crisis. 

The  ARGUS  crisis  coordination  mechanism  of  the  Commission  has  been  activated  and  the 
Crisis  Coordination  Committee  meets  regularly  to  synergise  the  action  of  all  the  relevant 
departments  and  services  of  the  Commission  and  of  the  EU  agencies.  The  Commission  has 
also  established  a  coordinating  response  team  at  political  level,  composed  of  the  five 
commissioners responsible for the most affected policies.  

Following  the  EU  leaders'  videoconference  on  the  response  to  the  COVID-19  outbreak  on 
10 March  2020,  the  Commission  will  further  step  up  its  response  to  the  Coronavirus,  or 
COVID-19 outbreak, on all fronts  and coordinate Member State  actions. The  crisis  we face 
because of Coronavirus has both a very significant human dimension, and a potentially major 
economic  impact.  It  is  therefore  essential  that  the  EU  and  its  Member  States  act  decisively 
and  collectively,  to  contain  the  spread  of  the  virus  and  help  patients,  and  to  counter  the 
economic fallout. 

As  part  of  this  joint  coordinated  response,  the  EU  Solidarity  Fund  (EUSF)  can  play  an 
important  role  in  showing  EU  solidarity  to  Member  States  in  dealing  with  the  emergency 
situation.  

Responding appropriately at EU level to major public health emergencies such as COVID-19 
with the existing instrument is currently impossible. 

The  objective  of  the  present  Regulation  is  therefore  to  extend  the  scope  of  the  EUSF  to 
include  major  public  health  emergencies  and  to  define  specific  operations  eligible  for 
financing. 

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.  The  current  EUSF  is  however  strictly  limited  to  natural  disasters 
causing  physical  damage  such  as  floods,  storms,  earthquakes  and  similar.  It  may  award 
financial assistance to eligible States totalling up to EUR 500 million in 2011 prices per year. 

• 

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 major public health emergencies.  

The main features and differences of substance are the following: 

The geographical scope remains unchanged: it is limited to Member States of and countries 
negotiating  their  accession  to  the  EU.  The  thematic  scope,  however,  is  enlarged  to  cover 
major crisis situations resulting from public health threats. 

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 

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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 
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. 

Mobilisation of the Fund, as under the current procedure, would be possible only upon request 
of  an  eligible  State.  Following  the  Commission's  assessment  and  proposal  to  the  budget 
authority of an amount of financial assistance to be awarded, the latter adopts a corresponding 
supplementary budget. The Commission will then adopt an implementing decision, leading to 
the payment for the EUSF contribution. 

Eligible  operations  remain  limited  to  public  emergency  operations.  They  are  extended  to 
include assistance to the population in case of health crises, including medical, and measures 
to contain the further spreading of an infectious disease. 

• 

Consistency with other Union policies 

The proposal is part of the measures in response to the current COVID-19 pandemic. It builds 
on an existing policy instrument. By enlarging the scope of the current EUSF, it closes a gap 
in current legislation and allows for comprehensive Union action in response to major public 
health emergencies. Consistency with other Union policies, in particular with cohesion policy, 
is  ensured  by  a  number  of  legislative  provisions  which,  among  others,  exclude  double 
financing and require respect for public procurement rules and the principle of sound financial 
management. 

2. 

• 

LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY 

Legal basis 

As this is a 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) and Article 212 TFEU as regards countries currently negotiating 
their accession to the EU. 

• 

Subsidiarity (for non-exclusive competence)  

The proposal aims to extend the scope of the EUSF in order to show European solidarity with 
the  Member  States  by  providing  assistance  from  the  Fund  to  assist  the  population  affected, 
contribute to a rapid return to normal living conditions in the affected regions and to contain 
the spreading of infectious diseases. 

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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 major health emergencies, 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.  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  public  financial  burden  inflicted  on  the  eligible State  for  emergency 
response measures. 

  Proportionality principle 

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 instruments 

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. 

3. 

• 

RESULTS 
CONSULTATIONS AND IMPACT ASSESSMENTS 

EX-POST 

EVALUATIONS, 

OF 

STAKEHOLDER 

Ex-post evaluations/fitness checks of existing legislation 

The Ex Post Evaluation 2002-2017 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  

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

4. 

BUDGETARY IMPLICATIONS 

The  proposal  remains  consistent  with  the  existing  Solidarity  Fund  by  providing  financial 
assistance for immediate assistance after a request from a Member State or candidate country.  

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. 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. 

The financial envelope foreseen for the Fund also follows the existing Solidarity Fund, with 
an annual amount of EUR 500 million (2011 prices). In each case, the amount of assistance 
considered necessary is mobilised through an amending budget. As at present, on 1 October 
each  year, at least one-quarter of this annual amount will remain available in order to cover 
needs which could arise until the end of the year. 

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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2020/0044 (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 and countries negotiating their accession to the Union 
seriously affected by a major public health emergency 

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 and Article 212(2) 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 Committee1, 
Having regard to the opinion of the Committee of the Regions2, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

1 
2 
3 

The  European  Union  Solidarity  Fund  (‘the  Fund’)  was  established  by  Council 
Regulation (EC) No 2012/20023. The Fund was created to provide financial assistance 
to Member States following major disasters as a concrete sign of European solidarity 
in situations of distress. 

In the event of major public health emergencies, the Union should show its solidarity 
with  the  Member  States  and  the  population  concerned  by  providing  financial 
assistance to assist the population affected, contribute to a rapid return to normal living 
conditions in the affected regions and to contain the spreading of infectious diseases. 

The Union should also show solidarity in the event of major public health emergencies 
with the countries negotiating their accession to the European Union. 

A  major  crisis  situation  may  result  from  public  health  emergencies,  in  particular  an 
officially declared virus pandemic. The Fund enables the Union to help in mobilising 
emergency services to meet people's immediate needs and contribute to the short-term 
restoration of damaged key infrastructure so that economic activity can resume in the 
disaster-stricken  regions.  That  Fund  is  currently  however  limited  to  natural  disasters 
causing  physical  damage  and  does  not  include  major  disasters  due  to  biological 
hazards.  Provision  should  be  made  to  allow  the  Union  to  intervene  in  the  event  of 
major public health emergencies. 

The  objective  of  the  action  to  be  taken  is  to  complement  the  efforts  of  the  States 
concerned in such cases where the effects of a crisis situation are of such gravity that 
those  States  cannot  tackle  the  situation  with  their  own  means  alone.  Since  this 

OJ C , , p. . 
OJ C , , p. . 
OJ L 311, 14.11.2002, p. 3. 

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objective cannot be sufficiently achieved by the Member States and can therefore, by 
reason  of  the  scale  of  the  action,  be  better  achieved  at  Union  level,  the  Union  may 
adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 
of  the  Treaty.  In  accordance  with  the  principle  of  proportionality,  as  set  out  in  that 
Article, this Regulation does not go beyond what is necessary in order to achieve those 
objectives. 

In  line  with  the  principle  of  subsidiarity,  action  under  this  Regulation  should  be 
confined to  major public health emergencies. These should be defined depending on 
the basis of the public expenditure necessary to address them. 

Union assistance should be complementary to the efforts of the States concerned and 
be used to cover a share of the public expenditure committed to dealing with the most 
essential emergency operations resulting from the emergency situation. 

In  line  with  the  principle  of  subsidiarity,  Union  assistance  should  only  be  awarded 
upon  application  of  the  affected  State.  The  Commission  should  ensure  equitable 
treatment of requests presented by the States. 

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. 

(6) 

(7) 

(8) 

(9) 

(10)  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. 

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

HAVE ADOPTED THIS REGULATION: 

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

1. 

Article 2 is replaced by the following:  

Article 1 

‘Article 2 

1.  At  the  request  of  a  Member  State  or  of  a  country  involved  in  accession 
negotiations  with  the  Union,  hereinafter  referred  to  as  “eligible  State”, 
assistance  from  the  Fund  may  be  mobilised  when  serious  repercussions  on 
living conditions, human health, the natural environment or the economy occur 
in  one  or  more  regions  of  that  eligible  State  as  a  consequence  of  a  major  or 
regional natural disaster having taken place on the territory of the same eligible 
State or a major public health emergency having taken place on the territory of 
the eligible State. 

Direct  damage caused as the direct  consequence  of  a natural  disaster shall  be 
regarded as part of the damage caused by that natural disaster. 

2. 

3. 

For  the  purposes  of  this  Regulation,  a  “major  natural  disaster”  means  any 
natural disaster resulting, in an eligible State, in direct damage estimated either 
at over EUR 3 000 000 000 in 2011 prices, or more than 0.6% of its GNI.  

For the purposes of this Regulation a “major public health emergency” means 
any life-threatening or otherwise serious hazard to health of biological origin in 
an eligible State seriously affecting human health and requiring decisive action 

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4. 

to contain further spreading resulting in a public financial burden inflicted on the 
eligible  State  for  emergency  response  measures  estimated  at  over  EUR 
1 500 000 000 in 2011 prices, or more than 0.3% of its GNI. 

For  the  purposes  of  this  Regulation,  a  “regional  natural  disaster”  means  any 
natural  disaster resulting,  in  a  region  at  NUTS  level  2 of an eligible State, in 
direct  damage  in  excess  of  1.5%  of  that  region’s  gross  domestic  product 
(GDP).  By  way  of  derogation  from  the  first  subparagraph,  where  the  region 
concerned,  in  which  a  natural  disaster  has  occurred,  is  an  outermost  region 
within  the  meaning  of  Article  349  of  the  Treaty  on  the  Functioning  of  the 
European  Union,  “regional  natural  disaster”  means  any  natural  disaster 
resulting  in  direct  damage  in  excess  of  1%  of  that  region’s  GDP.  Where  the 
natural  disaster concerns several  regions  at  NUTS level  2, the threshold  shall 
be applied to the average GDP of those regions weighted according to the share 
of total damage in each region. 

5.  Assistance from the Fund may also be mobilised for any natural disaster in an 
eligible State which is also a major natural disaster in a neighbouring eligible 
State.  

6. 

For the purpose of this Article, harmonised statistical data provided by Eurostat 
shall be used.’. 

2. 

In Article 3, paragraphs 1 and 2 are replaced by the following: 

‘1.  The  assistance  shall  take  the  form  of  a  financial  contribution  from  the  Fund. 
For each eligible disaster a single financial contribution shall be awarded to an 
eligible State. 

2. 

The aim of the Fund is to complement the efforts of the States concerned and 
to  cover  part  of  their  public  expenditure  in  order  to  help  the  eligible  State  to 
carry  out,  depending  on  the  type  of  eligible  disaster,  the  following  essential 
emergency and recovery operations:  

(a) 

restoring the working order of infrastructure and plant in the fields of energy, 
water and waste water, telecommunications, transport, health and education;  

(b)  providing  temporary  accommodation  and  funding  rescue  services  to  meet  the 

needs of the population concerned;  

(c) 

(d) 

securing  preventive  infrastructure  and  measures  of  protection  of  cultural 
heritage;  

cleaning up disaster-stricken areas, including natural zones, in line with, where 
appropriate, eco-system based approaches, as well as immediate restoration of 
affected natural zones to avoid immediate effects from soil erosion;  

(e)  measures  aiming  at  rapidly  providing  assistance,  including  medical,  to  the 
population  affected  by  a  major  public  health  emergency  and  to  protect  the 
population from the risk of being affected, including prevention, monitoring or 
control  of  the  spread  of  diseases,  combating  severe  risks  to  public  health  or 
mitigating their impact on public health. 

For  the  purposes  of  point  (a),  ‘restoring  the  working  order’  means  restoring 
infrastructure  and  plant  to  their  condition  prior  to  the  occurrence  of  the  natural 
disaster.  Where  it  is  not  legally  possible  or  economically  justified  to  restore  the 
condition  prior  to  the  occurrence  of  the  natural  disaster,  or  where  the  beneficiary 

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State  decides  to  relocate  or  improve  the  functionality  of  the  infrastructure  or  plant 
affected  in  order  to  improve  its  capacity  to  withstand  future  natural  disasters,  the 
Fund  may  contribute  to  the  cost  of  restoration  only  up  to  the  estimated  cost  of 
returning to its status quo ante.  

Costs in  excess  of the level  of cost  referred to  in the second subparagraph shall be 
financed by the beneficiary State from its own or, where possible, from other Union 
funds.  

For  the  purposes  of  point  (b),  ‘temporary  accommodation’  means  accommodation 
that  lasts  until  the  population  concerned  are  able  to  return  to  their  original  homes 
following their repair or reconstruction.’. 

3. 

In Article 4a, paragraph 3 is replaced by the following: 

‘3.  The amount of the 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. 

In Article 8, paragraph 3 is replaced by the following: 

‘3.  No later than six months after the expiry of the eighteen months period referred 
to  in  paragraph  1,  the  beneficiary  State  shall  present  a  report  on  the 
implementation  of  the  financial  contribution  from  the  Fund  with  a  statement 
justifying the expenditure, indicating any other source of funding received for 
the  operations  concerned,  including  insurance  settlements  and  compensation 
from third parties.  

The implementation report shall detail, depending on the nature of the eligible 
disaster:  

(a) 

(b) 

(c) 

(d) 

the  preventive  measures,  taken  or  proposed  by  the  beneficiary  State  to 
limit future damage and to avoid, to the extent possible, a recurrence of 
similar natural  disasters  or public health emergencies, including the use 
of European Structural and Investment Funds for this purpose;  

the state of implementation of relevant Union legislation on disaster risk 
prevention and management;  

the  experience  gained  from  the  disaster  and  the  measures  taken  or 
proposed to ensure environmental protection and resilience in relation to 
climate change, natural disasters and public health emergencies; and  

any  other  relevant  information  on  prevention  and  mitigation  measures 
taken  related  to  the  nature  of  the  natural  disaster  or  public  health 
emergency.  

The  implementation  report  shall  be  accompanied  by  an  opinion  of  an 
independent audit body, drawn up in accordance with internationally accepted 
audit standards, establishing that the statement justifying the expenditure gives 
a true and fair view and that the financial contribution from the Fund is legal 
and  regular,  in  line  with  Article  59(5)  and  Article  60(5)  of  Regulation  (EU, 
Euratom) No 966/2012.  

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At  the  end  of  the  procedure  referred  to  in  the  first  subparagraph,  the 
Commission shall carry out a closure of the assistance from the Fund.’. 

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

Article 2 

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

Done at Brussels, 

For the European Parliament 
The President 

For the Council 
The President  

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative 

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  and  countries  negotiating  their  accession  to  the  Union  seriously 
affected by a major public health emergency 

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. 

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)  was  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 a major public health emergency. 

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 
Fund4. 

1.3.4.  Compatibility  with  the  Multiannual  Financial  Framework  and  possible  synergies 

with other appropriate instruments 

This Regulation remains within the maximum allocations provided for the EUSF in 
the MFF 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. 

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1.4. 

Duration and financial impact of the proposal/initiative 

Proposal of unlimited duration. 

The ceiling of the maximum allocation of the EUSF for 2020 totalling is respected 
(EUR 597.546 million plus EUR 552.978 carried forward from 2019). 

1.5.  Management mode(s) planned5  

 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

5 

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 

EN 

11 

  EN 

                                                 
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

EN 

12 

  EN 

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. 

Heading of 
multiannual 
financial 
framework 

Number  

Budget line 

Type of  
expenditure 

Contribution  

Diff./Non-
diff.6  

from 
EFTA 
countries7 

from 
candidate 
countries8 

from third 
countries 

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

Heading  9: 
Special 
Instruments 

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

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.   

The proposal/initiative requires the use of operational appropriations, remaining within the maximum allocations provided for the 

X 
EUSF in the MFF. 

6 
7 
8 

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 

13 

EUR  

EN 

 
 
 
 
 
 
 
                                                 
Heading of multiannual financial  
framework  

9 

Special Instruments 

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 

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

EN 

14 

EN 

 
 
 
 
 
 
    
 
 
 
 
 
 
 
 
    
 
 
 
 
 
 
 
 
 
 
 
 
 
 
    
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
    
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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) 

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

Commitments 

Payments 

Year 
N9 

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) 

9 

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. 

15 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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  

 

Type10 

Avera
ge 
cost 

SPECIFIC OBJECTIVE No 111… 

- Output 

- Output 

- Output 

Subtotal for specific objective No 1 

SPECIFIC OBJECTIVE No 2 ... 

- Output 

Subtotal for specific objective No 2 

TOTALS 

10 
11 

Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 
As described in point 1.4.2. ‘Specific objective(s). 

EN 

16 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3. 

Summary of estimated impact on administrative appropriations  

-   The  proposal  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  DG  that  are  already 
assigned to  management of the action and/or have been redeployed within  the DG, 
together  if  necessary  with  any  additional  allocation  which  may  be  granted  to  the 
managing  DG  under  the  annual  allocation  procedure  and  in  the  light  of  budgetary 
constraints. 

-   The proposal/initiative requires the use of appropriations of an administrative 
nature, as explained below: 

EUR million (to three decimal places) 

Year 
N 12 

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 513 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

TOTAL 

12 

13 

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. 

EN 

17 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.1.  Estimated requirements of human resources  

-   The proposal 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  DG  that  are  already 
assigned to  management of the action and/or have been redeployed within  the DG, 
together  if  necessary  with  any  additional  allocation  which  may  be  granted  to  the 
managing  DG  under  the  annual  allocation  procedure  and  in  the  light  of  budgetary 
constraints. 

-   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)14  

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 15 

- 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 

14 

15 

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). 

EN 

18 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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. 

Explain  what  is  required,  specifying  the  headings  and  budget  lines  concerned,  the  corresponding 
amounts, and the instruments proposed to be used. 

 

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  

EN 

19 

  EN 

 
 
 
 
 
3.3. 

Estimated impact on revenue  

X 

The proposal 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). 

EN 

20 

  EN