CELEX: 52013PC0192
Language: en
Date: 2013-04-10
Title: Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Council Regulation (EC) No 1225/2009 on protection against dumped imports from countries not members of the European Community and Council Regulation (EC) No 597/2009 on protection against subsidised imports from countries not members of the European Community

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		52013PC0192
		
			Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Council Regulation (EC) No 1225/2009 on protection against dumped imports from countries not members of the European Community and Council Regulation (EC) No 597/2009 on protection against subsidised imports from countries not members of the European Community /* COM/2013/0192 final - 2013/0103 (COD) */
			
				
		
		
			
			   	EXPLANATORY MEMORANDUM
1.           CONTEXT OF THE PROPOSAL
Grounds for and objectives of the
proposal 
This proposal concerns amendments to
Regulation (EC) No 1225/2009 (“the basic anti-dumping regulation”) and
Regulation (EC) No 597/2009 (“the basic anti-subsidy regulation”). Taking
account of the fact that these Regulations have not been substantially revised
since the completion of the Uruguay Round in 1995 and taking account of the
conclusions of the evaluation study carried out into the functioning of these instruments,
it is proposed to update and modernise the instruments.
General context
Article 207 of the Treaty on the
Functioning of the European Union provides, inter alia, for measures to be established to protect trade such
as those to be taken in the event of dumping or subsidies.
Existing provisions in the area of the
proposal
The above-mentioned Council Regulations.
Consistency with the other policies and
objectives of the Union
There is no conflict with any policy or
objective of the Union.
2.           RESULTS OF CONSULTATIONS
WITH THE INTERESTED PARTIES AND IMPACT ASSESSMENTS
Consultation of interested parties
Interested parties concerned by this
proposal have had the opportunity to participate in the Public consultation
carried out from April to July 2012. A summary of the results of the public
consultation has been available on DG Trade’s website since October 2012.
Collection and use of expertise
An evaluation study into the functioning of
the EU’s anti-dumping and anti-subsidy instruiments was finalised in early-2012
and has been available on DG Trade’s website since then.
Impact Assessment
Taking into account the results of the
public consultation, the evalutation study and the Commission's extensive
practice in the use of the instruments an impact assessment was carried out in
autumn 2012. The impact assessment report identified problems in the
functioning of the trade defence instruments and proposed various solutions.
The Impact Assessment Board considered the report in December 2012 and gave a
favourable opinion subject to some revisions to the report. The report has
since been revised and finalised. The preferred solutions form the basis for
this proposal.
3.           LEGAL ELEMENTS OF THE
PROPOSAL
Summary of the proposed action
It is proposed to amend the basic
anti-dumping and basic anti-subsidy Regulations in order to improve them in a
number of areas. Regarding transparency and predictability, these will be
enhanced by providing that interested parties are informed two weeks in advance
of the imposition of provisional measures that such measures are going to be
imposed. Parties will also be given a guarantee that the measures will not be
imposed within this two week period. A summary of the basis on which it is
intended to impose the measures will be sent to interested parties and they
will have the opportunity to comment on the calculation of the dumping and
injury margins. Furthermore, when it is decided not to impose provisional
measures but to continue the investigation, interested parties will be informed
of the intention not to impose such measures two weeks in advance of the
ultimate date for imposition.
Concerning threats of retaliation against
Union producers who are considering lodging an anti-dumping and/or anti-subsidy
complaint, such threats can be considered to constitute special circumstances
that warrant the ex-officio opening of an investigation. Furthermore, when
investigations are opened on an ex-officio basis, it is proposed to oblige
Union producers to cooperate in the proceeding. 
In regard to the effectiveness of the
instruments, it is proposed to remove the lesser duty rule in cases of circumvention,
or where structural raw material distortions have been found to exist, and
subsidisation. Concerning reviews, it is proposed to reimburse duties collected
during an expiry review investigation that is concluded by the repeal of the
measures. 
Finally, there are a number of areas where
it is proposed to codify certain practices which stem from ECJ or WTO rulings
that have been handed down in recent years. These concern the definition of
Union industry, the consequences for exporting producers found not to be
dumping or to be dumping at de-minimis levels in an original
investigation, dealing with changed circumstances in a review investigation,
the treatment of related companies in anti-circumvention investigations, the
conditions for the registration of imports and the basis for choosing a sample
of Union producers. 
Legal basis
Article 207 of the Treaty on the
Functioning of the European Union.
Subsidiarity principle
The proposal falls under the exclusive
competence of the Union. The subsidiarity principle therefore does not apply.
Proportionality principle
The proposal complies with the
proportionality principle for the following reasons:
The form of action is described in the
aforementioned basic Regulations and leaves no scope for national decisions. 
It will not entail any increased financial
or administrative burden on the Union, national governments, regional and local
authorities, economic operators and citizens. However, the reimbursement of
duties collected during an ongoing expiry review, if such an expiry review does
not lead to a prolongation of measures, is handled by national customs
authorities. The additional workload on customs authorities is considered to be
small and proportionate to the objective of the proposal, i.e. increasing
fairness of the instruments. 
The non-application of the lesser duty rule
in cases of circumvention, or where structural raw material distortions have
been found to exist, and subsidisation is proportionate to the additional need
to protect trade in these situations.
Choice of instruments
Proposed instruments: Regulation.
Other means would not be adequate for the
following reason(s):
The aforementioned basic Regulations do not
provide for alternative options.
4.           BUDGETARY IMPLICATION 
The proposal has implications for the Union
budget. The non-application of the lesser duty rule under certain circumstances
will in some cases lead to higher duty levels and is thus revenue enhancing. The
reimbursement of duties in cases where measures are terminated after an expiry
review represents an expense for the Union budget. Quantification is very
difficult since any revenue or expense depends on the circumstances of each
individual case. 
The proposed legislative changes will also
entail some changes to the practice. These will not have any budgetary
implications but changes to the working routines (e.g.: pre-disclosure, advance
notice, summary document). The upgrading of the SME helpdesk (explained in the
communication) has resource implications set out in the attached legislative
financial statement. 
5.           OPTIONAL ELEMENTS 
Not applicable.
2013/0103 (COD)
Proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT
AND OF THE COUNCIL
amending Council Regulation (EC) No
1225/2009 on protection against dumped imports from countries not members of
the European Community and Council Regulation (EC) No 597/2009 on protection
against subsidised imports from countries not members of the European Community
THE EUROPEAN PARLIAMENT AND THE
COUNCIL OF THE EUROPEAN UNION
Having regard to the Treaty on the Functioning of the European
Union, and in particular Article 207(2) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national
parliaments,
Acting in accordance with the ordinary legislative procedure,
Whereas: 
(1)       The common rules for
protection against dumped and subsidised imports from countries which are not
members of the European Union are contained in Council Regulation (EC) No 1225/2009
of 30 November 2009 on protection against dumped imports from countries
not members of the European Community[1]
and Council Regulation (EC) No 597/2009 of 11 June 2009 on protection
against subsidised imports from countries not members of the European Community[2] respectively (hereinafter
jointly referred to as the 'Regulations'). The Regulations were initially
adopted in 1995 following the conclusion of the Uruguay Round. Given that a
number of amendments were made to the Regulations since then, the Council
decided in 2009 to codify the regulations in the interest of clarity and
rationality.
(2)       While the Regulations have
been amended, there has not been a fundamental review of the functioning of
these instruments since 1995. As a result, the Commission launched a review of
the Regulations in 2011 in order to, inter alia, better reflect the
needs of business at the beginning of the 21st century. 
(3)       Following the review,
certain provisions of the Regulations should be amended in order to improve
transparency and predictability, provide for effective measures to fight
against retaliation, improve effectiveness and enforcement and optimise review
practice. In addition, certain practices that in recent years have been applied
in the context of anti-dumping and anti-subsidy investigations should be
included in the Regulations.
(4)       In order to improve
transparency and predictability of anti-dumping and anti-subsidy
investigations, the parties affected by the imposition of provisional
anti-dumping and countervailing measures, in particular importers, should be
made aware of the impending imposition of such measures. The time given should
correspond to the period between the submission of the draft implementing act
to the anti-dumping committee established pursuant to Article 15 of Regulation
(EC) No 1225/2009 and the anti-subsidy committee established pursuant to
Article 25 of Regulation (EC) No 597/2009 and the adoption of that act by the
Commission. This period is fixed in Article 3(3) of Regulation (EU) No
182/2011. Also, in investigations where it is not appropriate to impose
provisional measures, it is desirable that parties are aware sufficiently in
advance of such non-imposition.
(5)       A short period of time in
advance of the imposition of provisional measures should be allowed for
exporters or producers to check the calculation of their individual dumping or
subsidy margin. Calculation errors could then be corrected in advance of the
imposition of measures.
(6)       In order to ensure
effective measures to fight against retaliation, Union producers should be able
to rely on the Regulations without fear of retaliation by third parties. Existing
provisions, under special circumstances, provide for the initiation of an
investigation without having received a complaint, where sufficient evidence of
the existence of dumping, countervailable subsidies, injury and causal link
exists. Such special circumstances should include threat of retaliation. 
(7)       When an investigation is not
initiated by a complaint, an obligation should be imposed on Union producers to
provide the necessary information in order for the investigation to proceed, in
order to ensure that sufficient information is available for carrying out the
investigation in case of such threats of retaliation.
(8)       Third countries
increasingly interfere in trade of raw materials with a view to keeping raw
materials in those countries for the benefit of domestic downstream users, for
instance by imposing export taxes or operating dual pricing schemes. As a
result, the costs of raw materials do not result from the operation of normal
market forces reflecting supply and demand for a given raw material. Such
interference creates additional distortions of trade. As a consequence, Union
producers are not only harmed by dumping, but suffer, compared to downstream
producers from third countries engaged in such practices, additional
distortions of trade. In order to protect trade adequately, the lesser duty rule
shall not apply in such cases of structural raw material distortions.
(9)       Within the Union, countervailable subsidies are in principle prohibited pursuant to Article 107 (1)
TFEU. Therefore, countervailable subsidies granted by third countries are particularly
distortive of trade. The amount of State aid authorized by the Commission has
steadily been reduced over time. For the anti-subsidy instrument, the lesser
duty rule should hence no longer be applied to imports from a country/countries
engaged in subsidisation. 
(10)     In order to optimise the review
practice, duties collected during the investigation should be reimbursed to
importers, where measures are not prolonged after the conclusion of an expiry
review investigation. This is appropriate given that the conditions required
for the continuation of the measures have not been found to exist during the
investigation period.
(11)     Certain practices which in
recent years have been applied in the context of anti-dumping and anti-subsidy
investigations should be included into the Regulations. 
(12)     The Union industry should
no longer be defined by reference to the initiation thresholds set out in the
Regulations.
(13)     In initial investigations
where dumping or subsidy margins have been found to be less than the de
minimis thresholds, the investigation should be immediately terminated in
relation to exporters that will not be subject to subsequent review
investigations. 
(14)     In the framework of
anti-dumping and anti-subsidy review investigations, it seems appropriate to be
able to change methodology as compared to the investigation that led to the imposition of the measure in order to ensure
that, inter alia, coherent methodologies are used across different
investigations at a given point in time. This will allow, in particular, scope
to change methodologies which are revised over time as situations change.
(15)     When the conditions are met
for initiating an anti-circumvention investigation, imports should in all cases
be made subject to registration.
(16)     In anti-circumvention
investigations, it seems advisable to remove the condition that, in order to be
granted an exemption from registration or extended duties, producers of the
product concerned should not be related to any producer subject to the original
measures. This is because experience shows that sometimes producers of the
product concerned are found not to be engaged in circumvention practices but
are found to be related to a producer subject to the original measures. In such
cases the producer should not be denied an exemption merely on the grounds that
the company is related to a producer subject to the original measures. Also,
when the circumvention practice takes place in the Union, the fact that
importers are related to producers subject to the measures should not be
decisive in determining whether the importer may be granted an exemption.
(17)     Where the number of
producers in the Union is so large that resort must be made to sampling, a
sample of producers should be chosen from among all producers in the Union and not just from among producers lodging the complaint.
(18)     In making the Union
interest assessment, the opportunity to provide comments should be given to all
producers in the Union and not just those producers lodging the complaint.
(19)     Regulation (EC) No 1225/2009
and Regulation (EC) No 597/2009 should therefore be amended accordingly,
HAVE ADOPTED THIS REGULATION:
Article 1
Regulation
(EC) No 1225/2009 is amended as follows: 
1.         In Article
4(1), the introductory wording is replaced by the
following: 
'1. For the
purposes of this Regulation, the term ‘Union industry’ shall be interpreted as
referring to the Union producers as a whole of the like products or to those of
them whose collective output of the products constitutes a major proportion of
the total Union production of those products, except that:' 
2.         In Article 6, the following paragraph 10 is added:
'10.      Union
producers of the like product are obliged to cooperate in proceedings that have
been initiated pursuant to Article 5(6).'
3.         Article 7 is amended as follows: 
(a) in paragraph 1, the following sentence is added:
'Provisional duties shall not be applied within a period of
two weeks after the information is sent to interested parties under Article
19a. The provision of such information shall not prejudice any subsequent
decision that may be taken by the Commission.' 
(b) paragraph 2
is replaced by the following:
'The amount of
the provisional anti-dumping duty shall not exceed the margin of dumping as
provisionally established. Unless structural raw material distortions were
found to exist with regard to the product concerned in the exporting country, it
should be less than the margin of dumping if such lesser duty would be adequate
to remove the injury to the Union industry.’
4.         Article
9 is amended as follows:
(a) paragraph 3 is
replaced by the following:
'3. For a
proceeding initiated pursuant to Article 5(9), injury shall normally be
regarded as negligible where the imports concerned represent less than the
volumes set out in Article 5(7). For the same proceeding, there shall be
immediate termination where it is determined that the margin of dumping is less
than 2 %, expressed as a percentage of the export price.'
(b) in paragraph
4, the last sentence is replaced by the following:
'The amount of the
anti-dumping duty shall not exceed the margin of dumping established. Unless structural
raw material distortions were found to exist with regard to the product
concerned in the exporting country, it shall be less than the margin of dumping
if such lesser duty would be adequate to remove the injury to the Union
industry.' 
5.         Article 11 is amended as follows:
(a) in paragraph 5, the following subparagraph is added: 
'If following an
investigation pursuant to paragraph 2, the measure expires, any duties
collected from the date of the initiation of such investigation shall be repaid
provided that this is requested from national customs
authorities and granted by those authorities in accordance with the applicable
Union customs legislation concerning repayment and remission of duty. Such repayment
does not give rise to the payment of interest by the national customs
authorities concerned.'
(b) paragraph 9 is
deleted.
6.         Article 13 is amended as follows:
(a) in paragraph 3, the second sentence is replaced by the
following:
‘Initiations shall
be made, after consultation of the Advisory Committee, by Commission Regulation
which shall also instruct the customs authorities to make imports subject to
registration in accordance with Article 14(5) or to request guarantees.’ 
(b) in paragraph
4, the first subparagraph is replaced by the following:
'Imports shall not
be subject to registration pursuant to Article 14(5) or measures where they are
traded by companies which benefit from exemptions. Requests for exemptions duly
supported by evidence shall be submitted within the time-limits established in
the Commission regulation initiating the investigation. Where the circumventing
practice, process or work takes place outside the Union, exemptions may be granted
to producers of the product concerned that are found not to be engaged in
circumvention practices as defined in paragraphs 1 and 2 of this Article. Where
the circumventing practice, process or work takes place inside the Union,
exemptions may be granted to importers that can show that they are not engaged
in circumvention practices as defined in paragraphs 1 and 2 of this Article.' 
7.         Article
17(1) is replaced by the following:
‘1. In cases
where the number of Union producers, exporters or importers, types of product
or transactions is large, the investigation may be limited to a reasonable
number of parties, products or transactions by using samples which are
statistically valid on the basis of information available at the time of the
selection, or to the largest representative volume of production, sales or
exports which can reasonably be investigated within the time available.’ 
8.         After Article 19, the following Article is
inserted:
'Article 19a
Information about provisional measures
1. The Union producers, importers and exporters and their
representative associations, and representatives of the exporting country, may
request information on the planned imposition of provisional duties. Requests
for such information shall be made in writing within the time limit prescribed
in the notice of initiation. Such information shall be provided to those
parties, at least two weeks before the expiry of the deadline mentioned in
Article 7(1) for the imposition of provisional duties. Such information shall
include:
(a) a summary of the proposed duties for information
purposes only, and 
(b) details of the calculation of the dumping margin and
the margin adequate to remove the injury to the Union industry, due account
being taken of the need to respect the confidentiality obligations contained in
Article 19. Parties shall have a period of three working days to provide
comments on the accuracy of the calculations.
2.         In cases where it is intended not to impose
provisional duties but to continue the investigation, interested parties shall
be informed of the non-imposition of duties two weeks before the expiry of the
deadline mentioned in Article 7(1) for the imposition of provisional duties.' 
9.         Article 21(2) is replaced by the following:
'2. In order to
provide a sound basis on which the authorities can take account of all views
and information in the decision as to whether or not the imposition of measures
is in the Union interest, the Union producers, importers and their
representative associations, representative users and representative consumer
organisations may, within the time-limits specified in the notice of initiation
of the anti-dumping investigation, make themselves known and provide
information to the Commission. Such information, or appropriate summaries
thereof, shall be made available to the other parties specified in this
Article, and they shall be entitled to respond to such information.' 
Article 2
Regulation (EC) No 597/2009
is amended as follows:
1.         In
Article 9(1), the introductory wording is replaced by
the following:
'1. For the
purposes of this Regulation, the term ‘Union industry’ shall be interpreted as
referring to the Union producers as a whole of the like products or to those of
them whose collective output of the products constitutes a major proportion of
the total Union production of those products, except that:' 
2.         In Article 11, a new paragraph is added:
'11.      Union
producers of the like product are obliged to cooperate in proceedings that have
been initiated pursuant to Article 10(8).' 
3.         Article 12(1) is amended as follows: 
(a)
subparagraph 3 is replaced by the following:
'The amount of the
provisional countervailing duty shall not exceed the total amount of
countervailable subsidies as provisionally established.'
(b)
the following subparagraph is added at the end:
'Provisional
duties shall not be applied within a period of two weeks after the information
is sent to interested parties under Article 29b. The provision of such
information shall not prejudice any subsequent decision that may be taken by
the Commission.' 
4.         In Article
14, paragraph 5 is replaced by the following:
'5. The amount
of the countervailable subsidies shall be considered to be de minimis if
such amount is less than 1% ad valorem, except where, as regards
investigations concerning imports from developing countries, the de minimis
threshold shall be 2% ad valorem.'
5.         In
Article 15(1), the last subparagraph is replaced by the following: 
'The amount of the
countervailing duty shall not exceed the amount of countervailable subsidies
established.' 
6.         Article 22 is amended as follows:
(a) in paragraph 1 the following subparagraph is added: 
'If following an
investigation pursuant to Article 18, the measure expires, any duties collected
after the date of the initiation of such investigation shall be reimbursed. The reimbursement should be requested from national customs
authorities in accordance with the applicable Union customs legislation.' 
(b) paragraph 6 is
deleted.
7.         Article 23 is amended as follows:
(a) in paragraph 4 second sentence, the word “may” is replaced by “shall”.

 (b) in paragraph 6, the second subparagraph is
replaced by the following: 
‘Where the
circumventing practice, process or work takes place outside the Union,
exemptions may be granted to producers of the product concerned that are found
not to be engaged in circumvention practices as defined in paragraph 3.' 
(c) in paragraph
6, the third subparagraph is replaced by the following:
‘Where the
circumventing practice, process or work takes place inside the Union,
exemptions may be granted to importers that can show that they are not engaged
in circumvention practices as defined in paragraph 3.’ 
8.         In Article
27(1), the first subparagraph is replaced by the
following: 
‘1. In cases
where the number of Union producers, exporters or importers, types of product
or transactions is large, the investigation may be limited to:’ 
9.         After Article 29, the following Article is
inserted:
'Article 29b
Information about provisional measures
1. The Union producers, importers and exporters and their
representative associations, and the country of origin and/or export, may
request information on the planned imposition of provisional duties. Requests
for such information shall be made in writing within the time limit prescribed
in the notice of initiation. Such information shall be provided to those
parties, at least two weeks before the expiry of the deadline mentioned in
Article 12(1) for the imposition of provisional duties. 
Such information shall include:
(a) a summary of the proposed duties for information
purposes only, and 
(b) details of the calculation of the subsidy margin and
the margin adequate to remove the injury to the Union industry, due account
being taken of the need to respect the confidentiality obligations contained in
Article 29. Parties shall have a period of three working days to provide
comments on the accuracy of the calculations.
2. In cases where it is intended not to impose provisional duties
but to continue the investigation, interested parties shall be informed of the
non-imposition of duties two weeks before the expiry of the deadline mentioned
in Article 12(1) for the imposition of provisional duties.'
10.       Article
31(2) is replaced by the following:
'2. In order to
provide a sound basis on which the authorities can take account of all views
and information in the decision as to whether or not the imposition of measures
is in the Union interest, the Union producers, importers and their
representative associations, representative users and representative consumer
organisations may, within the time-limits specified in the notice of initiation
of the countervailing investigation, make themselves known and provide
information to the Commission. Such information, or appropriate summaries
thereof, shall be made available to the other parties specified in this
paragraph, and they shall be entitled to respond to such information.' 
Article 3
This Regulation shall enter into force on
the day following that of its publication in the Official Journal of the
European Union.
Article 4
This Regulation
shall apply to all investigations for which the notice of initiation pursuant
to Article 10 (11) of Regulation (EC) No 597/2009 or Article 5 (9) of
Regulation (EC) No 1225/2009 has been published in the Official Journal after
the date of entry into force of this regulation. 
This
Regulation shall be binding in its entirety and directly applicable in all
Member States.
Done at Brussels, 
For the European Parliament                       For
the Council
The President                                                 The
President
SIMPLIFIED FINANCIAL STATEMENT
(to be used for any internal Commission Regulation
of general significance with a budgetary impact on appropriations of an
administrative nature or on human resources, when use of any other type of
financial statement is not appropriate – Article 23 of the Internal Rules)
1          Title of draft Regulation:
Modernisation of trade defence instruments
2          Policy area(s) and ABB
activity(ies) concerned:
20: Trade policy 
3          Legal basis:
            ¨ Administrative autonomy      þ Other ( specify ):
Council Regulation (EC) No 1225/2009 on
protection against dumped imports from countries not members of the European
Community and 
Council Regulation (EC) No 597/2009 on
protection against subsidised imports from countries not members of the
European Community 
4          Description and grounds:
The current EU Trade defence instruments
are being modernised in order to improve their efficiency and effectiveness.
The initiative consists of a communication, a legislative proposal and
guidelines.
5          Duration and estimated financial
impact:
5.1       Period of application:
¨         Regulation with a limited duration: Regulation in force
from [date] to [date]
þ         Regulation with an indefinite duration: in force from
[date]
5.2       Estimated budgetary impact:
The draft Regulation entails:
¨         savings
þ         additional costs (if so, specify the heading(s) of the
multiannual financial framework concerned): 
Heading 5: administrative costs
Complete the estimated financial impact
table in the annex for appropriations of an administrative nature or for human
resources. If the draft Regulation is of indefinite duration, the costs must be
indicated for each year of development and then for each year of operation at
full capacity (in the column "Total/annual cost").
5.3       Third-party contributions to
the financing of the draft Regulation:
If the proposal provides for co-financing
by Member States or other bodies (please specify which), you should give an
estimate of the level of co-financing, if known.
appropriations in
EUR million (to 3 decimal places)
   || Year n || Year n+1 || Year n+2 || Year n+3 || Year n+4 || Year n+5 || Year n+6 || Total 
 Specify cofinancing source/body ||   ||   ||   ||   ||   ||   ||   ||   
 TOTAL appropriations cofinanced ||   ||   ||   ||   ||   ||   ||   ||   
5.4       Explanation of figures:
Average staff costs are shown at the foot of
page http://www.cc.cec/budg/pre/legalbasis/pre-040-020_preparation_en.html
6          Compatibility with the
current multiannual financial framework:
þ         The proposal is compatible with existing financial
programming.
¨         The proposal will entail reprogramming of the relevant
heading in the multiannual financial framework.
¨         The proposal requires use of the flexibility instrument or
revision of the multiannual financial framework[3].
7          Impact of savings or
additional costs on the allocation of resources:
þ         Resources to be obtained by means of internal redeployment
within departments
¨         Resources already allocated to the department(s) concerned
¨         Resources to be requested during the next allocation
procedure
The human and administrative resources
required will be covered by the allocation which may be granted to the managing
DG under the annual allocation procedure in the light of existing budgetary
constraints.
ANNEX:
ESTIMATED FINANCIAL IMPACT (savings or
additional costs) FOR APPROPRIATIONS OF AN ADMINISTRATIVE NATURE OR FOR HUMAN
RESOURCES
FTE=Full-time
equivalent   XX is the policy area or title concerned           EUR million (to
three decimal places) 
 FTE in persons/year || Year || Year || Year || Year || Year || Year || Year || TOTAL /Annual cost 
 n || n+1 || n+2 || n+3 || n+4 || n+5 || n+6 
 Heading 5 || FTE || approp. || FTE || approp. || FTE || approp. || FTE || approp. || FTE || approp. || FTE || approp. || FTE || approp. || FTE || approp. 
 Establishment plan posts (officials and/or temporary staff) 
 XX 01 01 01 (Headquarters and Commission’s Representation Offices) || 1 || 0,13 || 1 || 0,13 || 1 || 0,13 || 1 || 0,13 || 1 || 0,13 || 1 || 0,13 || 1 || 0,13 || 1 || 0,13 
 XX 01 01 02 (Delegations) ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 External staff ||   
 XX 01 02 01 (‘global envelope’) ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 02 02 (Delegations) ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 Other budget lines (specify) ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 Subtotal – Heading 5 ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 Outside Heading 5 ||   
 Establishment plan posts (officials and/or temporary staff) 
 XX 01 05 01 (Indirect research) ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 10 01 05 01 (Direct research) ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 External staff 
 XX 01 04 yy ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 - Headquarters ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 - Delegations ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 05 02 (Indirect research) ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 10 01 05 02 (Direct research) ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 Other budget lines (specify) ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 Subtotal – Outside Heading 5 ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 TOTAL ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
The human and
administrative resources required will be covered by the allocation which may
be granted to the managing DG under the annual allocation procedure in the
light of existing budgetary constraints.
Other
administrative appropriations        XX is the policy area or title concerned   EUR
million (to three decimal places) 
   || Year || Year || Year || Year || Year || Year || Year || TOTAL 
 n || n+1 || n+2 || n+3 || n+4 || n+5 || n+6 
 Heading 5 ||   ||   ||   ||   ||   ||   ||   ||   
 Headquarters: ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 02 11 01 - Mission and representation expenses ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 02 11 02 – Conference and meeting costs ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 02 11 03 – Committees ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 02 11 04 - Studies and consultations ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 03 01 03 - Equipment and furniture ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 03 01 04 - Services and other operating expenditure ||   ||   ||   ||   ||   ||   ||   ||   
 Other budget lines (specify where appropriate) ||   ||   ||   ||   ||   ||   ||   ||   
 Delegations: ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 02 12 01 – Missions, conferences and representation expenses ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 02 12 02 - Further training of staff ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 03 02 01 – Acquisition, renting and related expenditure ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 03 02 02 Equipment, furniture, supplies and services ||   ||   ||   ||   ||   ||   ||   ||   
 Subtotal – Heading 5 ||   ||   ||   ||   ||   ||   ||   ||   
 Outside Heading 5 ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 04 yy - Expenditure on technical and administrative assistance (not including external staff) from operational appropriations (former "BA" lines) ||   ||   ||   ||   ||   ||   ||   ||   
 - Headquarters ||   ||   ||   ||   ||   ||   ||   ||   
 - Delegations ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 05 03 - Other management expenditure for indirect research ||   ||   ||   ||   ||   ||   ||   ||   
 10 01 05 03 - Other management expenditure for direct research ||   ||   ||   ||   ||   ||   ||   ||   
 Other budget lines (specify where appropriate) ||   ||   ||   ||   ||   ||   ||   ||   
 Subtotal – Outside Heading 5 ||   ||   ||   ||   ||   ||   ||   ||   
 GRAND TOTAL ||   ||   ||   ||   ||   ||   ||   ||   
The human and
administrative resources required will be covered by the allocation which may
be granted to the managing DG under the annual allocation procedure in the
light of existing budgetary constraints. 
[1]               OJ L 343, 22.12.2009, p. 51.
[2]               OJ L 188, 18.7.2009, p. 93.
[3]               See points 19 and 24 of the Interinstitutional
Agreement.