Finansudvalget 2009-10
FIU Alm.del Bilag 124
Offentligt
EUROPEAN COMMISSION
Brussels, 27.4.2010SEC(2010) 473
STATEMENT OF ESTIMATES OF THE COMMISSION FOR 2011(Preparation of the 2011 Draft Budget)Document I
Political presentation
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TABLE OF CONTENTS1.PRIORITIES FOR THE 2011 EU BUDGET.................................................................................................................. 31.1.1.2.2.2.1.2.2.3.3.1.3.2.3.3.3.4.3.5.3.6.3.7.4.4.1.4.2.4.3.5.5.1.5.2.5.3.5.4.5.5.5.6.5.7.SUPPORTING THEEUECONOMY POST-CRISIS.............................................................................................................. 3ADAPTING TO NEW REQUIREMENTS............................................................................................................................ 3CEILINGS OF THEMULTIANNUALFINANCIALFRAMEWORK FOR THE2011 BUDGET..................................................... 4OVERVIEW ON THE2011 DRAFTBUDGET................................................................................................................... 5COMPETITIVENESS FOR GROWTH AND EMPLOYMENT:HEADING1A.............................................................................. 7COHESION FOR GROWTH AND EMPLOYMENT:HEADING1B........................................................................................ 14PRESERVATION AND MANAGEMENT OF NATURAL RESOURCES:HEADING2 ................................................................. 18FREEDOM,SECURITY AND JUSTICE:HEADING3A....................................................................................................... 25CITIZENSHIP:HEADING3B....................................................................................................................................... 29EUAS A GLOBAL PLAYER:HEADING4 ...................................................................................................................... 32ADMINISTRATION:HEADING5 ................................................................................................................................. 43BODIES SET UP BY THEEUROPEANUNION AND HAVING LEGAL PERSONALITY............................................................ 50ADMINISTRATIVE EXPENDITURE OUTSIDE HEADING5 ............................................................................................... 52THEFINANCIALREGULATION AND ACTIONS WITHOUT LEGAL BASE.......................................................................... 54ANNEXI — MULTIANNUAL FINANCIAL FRAMEWORK2007-2013,AT CURRENT PRICES.............................................. 56ANNEXII — 2011 DRAFTBUDGET BY FINANCIAL FRAMEWORK HEADINGS................................................................ 57ANNEXIII — 2011 DRAFTBUDGET BY POLICY AREA............................................................................................... 67ANNEXIV — BODIES SET UP BY THEEUROPEANUNION AND HAVING LEGAL PERSONALITY....................................... 68ANNEXV — SEVENTHRESEARCHFRAMEWORKPROGRAMME.................................................................................. 78ANNEXVI – COMPETITIVENESS AND INNOVATION FRAMEWORK PROGRAMME(CIP).................................................. 86ANNEXVII — STRUCTURALFUNDS ANDCOHESIONFUND....................................................................................... 88
THE MULTIANNUAL FINANCIAL FRAMEWORK AND THE 2011 DRAFT BUDGET ........................................ 4
KEY ASPECTS OF DB 2011 BY FINANCIAL FRAMEWORK HEADINGS ............................................................. 7
HORIZONTAL ISSUES ............................................................................................................................................... 50
ANNEX — DETAILED FIGURES............................................................................................................................... 56
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1.
PRIORITIES FOR THE2011 EU BUDGET
2011 is expected to be the year for accelerating the economic recovery with the support of more active anddynamic business and public sectors. Based on the current forecasts, it is expected that the Europeaneconomy will further recover from deep recession, building on positive growth rates since the third quarterof 2009 and following the expected upswing by the end of 2010. In this post-crisis period someuncertainties remain, and both the Union and Member States face major challenges in the aftermath of theeconomic and financial crisis.Within this context of a fragile recovery in progress, the EU budget could act as a stimulus by supportingappropriate initiatives, immediately and in the longer term. In 2011 the key objective should be to fullysupport the European economy in its recovery from the recent recession, and EU citizens by reinforcinggrowth and employment opportunities. In this regard, the 2011 budget also addresses the objectives ofsmart, sustainable and inclusive growth as identified by the Europe 2020 strategy1. For 2011, the EU budgethas established the following priorities:1.1.Supporting the EU economy post-crisisCompetitiveness for growth and employment, with EUR 13,4 billion, and Cohesion for growth andemployment, allocated with EUR 51,0 billion, support the EU economy by reinforcing the conditions forfuture growth. Investments in research, development, and innovation, infrastructure and human capital are atthe heart of economic modernisation and are reinforced through relevant key programmes. These actions arein line with the priority areas identified by the Europe 2020 strategy.In these key policy areas, the 2011 Draft Budget foresees significant increases in payment appropriations,delivering real implementation on the ground. In particular, increased payment levels for activities underCompetitiveness for Growth and Employment (+ 6,8 %) and for Cohesion for growth and employment(+ 16,9 %) prove that these policies are implemented vigorously to accelerate the recovery process.Accompanied by actions in favour of education, training and lifelong learning, the European Microfinancefacility and the support of programmes addressed to youth will contribute in consolidating our exit from thecrisis and assist the younger generations.Reinforced payment levels for growth and employment are combined in the 2011 Draft Budget with stablefunding levels for market related expenditure and direct aids under the Common Agricultural Policy (CAP)as well as for rural development.1.2.Adapting to new requirementsIn the area of financial services and supervision, three new EU Authorities will assist national authorities inapplying EU rules and link national supervisors into a strong EU network. The financial supervisionauthorities will be part of the European System of Financial Supervisors (ESFS). In addition, the financingof Global Monitoring for Environment and Security (GMES) begins in 2011 with the allocation ofEUR 10 million. This initiative provides better environmental monitoring and management, and increasedsecurity.The substantial increase foreseen for the area of Freedom, Security and Justice (heading 3a, + 12,8 % incommitment appropriations and + 15,4 % in payment appropriations), and in particular for Solidarity andmanagement of migration flows, reflects the importance attached to the implementation of the recentlyadopted ‘Stockholm programme’ for which an Action Plan2has been proposed by the Commission.Other new initiatives are preparatory actions on ‘Mainstreaming climate action and adaptation’ (heading 2),the ‘European Year of Volunteering’ (heading 3b on citizenship) and, under heading 4, the new ‘EuropeanVoluntary Humanitarian Aid Corps’.Finally, the sustained level of commitment appropriations for the EU as a global player (heading 4) willallow the Union, reinforced by the new European External Action Service, to continue to play its role on the12
COM(2010)2020, 3.3.2010.COM(2010)171, 20.4.2010.
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world stage, including in the area of climate action (additional commitment appropriations amounting toEUR 65 million) further to the Copenhagen Accord reached in December 2009.The new budget procedure and the preparation of the next Multiannual Financial FrameworkOver and above the consolidation of existing EU policies and priorities, 2011 will also be a year oftransition. The Draft Budget for 2011, as presented by the new Commission, marks the beginning of the firstfull budgetary procedure under the completely revised Lisbon Treaty provisions, on the basis of which asingle reading of each arm of the budgetary authority will culminate in a Conciliation procedure in theautumn.The profound changes brought about by the implementation of the Lisbon Treaty, including increasedresponsibilities at EU level, come at a time when the Commission steps up its reflections on the current andfuture shape of the EU budget. Along with the 2011 Draft Budget, the Commission presents a report on thefunctioning of the current Interinstitutional Agreement3. Building on the work for the upcoming budgetreview, this process will lead to the Commission proposals for the next multi-annual financial framework,which will be presented in the first semester of 2011.2.2.1.THEMULTIANNUALFINANCIALFRAMEWORK AND THE2011 DRAFTBUDGETCeilings of the Multiannual Financial Framework for the 2011 Budget
In the Multiannual Financial Framework (MAFF), the ceilings for commitment appropriations for eachexpenditure heading for 2011 are as follows:Heading1. Sustainable Growth1a Competitiveness for Growth and Employment1b Cohesion for Growth and Employment2. Preservation and Management of Natural Resourcesof which: Market related expenditure and direct payments3. Citizenship, Freedom, Security and Justice3a Freedom, Security and Justice3b Citizenship4. EU as a Global Player5. AdministrationTOTALIn million EUR, at current prices63 97412 98750 98760 33847 6171 8891 2066838 4308 334142 965
In the MAFF, the overall ceiling for commitment appropriations (EUR 142 965 million) represents 1,15 %of EU gross national income (GNI). The ceiling for payment appropriations is EUR 134 280 million, or1,08 % of GNI.
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COM(2010) 185, 27.4.2010.
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2.2.
Overview on the 2011 Draft BudgetBudget 2010CAPA47 727,146 669,711 343,310 315,836 383,958 135,61 398,0738,6659,47 787,77 908,5122 956,9121 929,41,02%CA64 406,964 406,967,014 862,912 882,949 386,6Margin59 498,8Margin1 674 ,5Margin1 006,5Margin668,0Margin8 160,2Margin (2)7 909,0Margin (3)Total141 491,9139 511,91,18%Margin (1)13 436,913 436,950,150 970,116,959 486,2851,81 801,987,11 135,370,7667,815,28 613,570,38 266,6149,4142 576,5142 576,51 224,41,15%130 147,3129 072,54 417,81,05%0,8%2,2%5,8%5,9%8 267,74,5%4,5%7 601,85,6%-2,4%639,00,0%-3,1%852,412,8%15,4%1 490 ,47,7%6,7%58 136,00,0%0,0%42 540,83,2%16,9%12 109,711 034,9-9,6%4,4%6,8%7,0%DB 2011PA54 650,553 575,7DifferenceCA0,2%3,4%PA14,5%14,7%
1. Sustainable GrowthExcluding energy projects to aid economic recovery (EERP)Margin (1)— Competitiveness for growth and employmentExcluding energy projects to aid economic recovery (EERP)— Cohesion for growth and employment2. Preservation and Management of Natural Resources3. Citizenship, Freedom, Security and Justice— Freedom, security and justice— Citizenship4. EU as a Global Player5. Administration
64 249,462 269,4
Excluding energy projects to aid economic recovery (EERP)MarginAppropriations as % of GNI
(1) The margin for heading 1a does not take into account the appropriations related to the European Globalisation adjustment Fund(EUR 500 million).(2) The margin for heading 4 does not take into account the appropriations related to the Emergency Aid Reserve (EUR 253,9 million).(3) For calculating the margin under the ceiling for heading 5, account is taken of the footnote (1) of the financial framework 2007-2013 for anamount of EUR 82 million for the staff contributions to the pensions scheme.
In terms ofcommitmentappropriations,the total expenditure requested in the draft budget (DB) 2011isEUR 142 576,4 million, corresponding to 1,15 % of GNI4, that is EUR 1 084,5 million more than in 2010.This leaves a combined margin of EUR 1 224,4 million under the ceilings.Forpaymentappropriations, the total amounts to EUR 130 147,2 million, corresponding to 1,05 % of GNI.This is an increase of EUR 7 190.3 million compared to payment appropriations in the 2010 budget, andleaves a margin of EUR 4 417,8 million under the ceiling.The latest revision of the financial framework5, in order to respond swiftly to the economic and financialcrisis, has significantly reinforced the level of commitment appropriations in the 2010 budget, in view of theadditional funding for the European Economic Recovery Plan (EERP). If the impact of the energy projectsunder the EERP (EUR 2,0 billion of additional commitment appropriations) is excluded from the 2010budget, the overall increase in the level of commitment appropriations in 2011 reaches 2,2 %, as comparedto 2010.
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The Draft Budget is based on the April 2010 forecast of GNI. A new forecast will be issued on 18 May 2010 after theAdvisory Committee on Own Resources (ACOR) meeting.OJ L 347, 24.12.2009.
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Commitment appropriations forCompetitiveness for Growth and Employment (heading 1a)are set atEUR 13 436,9 million, which is a decrease of 9,6 % compared to the 2010 budget. This leaves a margin ofEUR 50,1 million6. Payment appropriations increase by 6,8 % to EUR 12 109,7 million. The apparentreduction in commitment appropriations for this heading must be seen in the context of the inclusion in the2010 budget of the second tranche of additional appropriations for the funding of energy projects to aideconomic recovery, as mentioned above. Once this element is excluded, commitment and paymentappropriations increase by 4,4 % and 7,0 % respectively.ForCohesion for Growth and Employment (heading 1b)commitment appropriations increase by 3,2 %to EUR 50 970,1 million, leaving a margin of EUR 16,9 million. Payment appropriations increase by16,9 %, to EUR 42 540,8 million. The substantial increase in the level of payments shows the momentum ofthe 2007 – 2013 Cohesion policy on the ground, thus contributing to economic recovery in Europe. With theManagement and Control Systems in place and the programmes up and running, further significantincreases are expected in the annual payment needs, towards the end of the current programming period.Commitment appropriations of EUR 59 486,2 million are proposed forPreservation and Management ofNatural Resources (heading 2).This level of funding is stable compared to 2010 and leaves a margin ofEUR 851,8 million under the ceiling. Payment appropriations amount to EUR 58 136,7 million, which isalso stable compared to 2010. Within this heading the amount foreseen for market related expenditure anddirect aids reaches EUR 43 747,4 million in commitment appropriations, and EUR 43 656,8 million inpayment appropriations.Freedom, Security and Justice (heading 3a)sees an important increase in commitment appropriations of12,8 %, rising to EUR 1 135,3 million, leaving a margin of EUR 70,7 million. Payment appropriations alsoincrease significantly, by 15,4 % to EUR 852,4 million.ForCitizenship (heading 3b),commitment appropriations amount to EUR 667,8 million, leaving a marginof EUR 15,2 million. Payment appropriations for this heading decrease by 3,1 % to EUR 639,0 million. Theannual ceiling for this heading, which supports various actions close to European citizens, remains broadlystable in the current financial framework. The Commission has deliberately left a margin for unforeseenexpenditure and political fine-tuning in the course of the budgetary procedure; as a result the level ofcommitment appropriations remains stable as compared to the 2010 budget, where no margin is available.Heading 4, the EU as a Global Playersees an increase in commitment appropriations of 5,6 % toEUR 8 613,5 million, with a margin of EUR 70,3 million available under the ceiling7. Paymentappropriations decrease by 2,4 % to EUR 7 601,8 million. The total amount of payment appropriations islower compared to 2010, since outstanding commitments (the so-called ‘RAL’,reste à liquider)on many‘completion’ lines for previous programmes that are being closed have diminished substantially.Commitment and payment appropriations forAdministrative expenditure (heading 5)increase by 4,5 %,with commitments set at EUR 8 266,6 million and payments at EUR 8 267,7 million. This leaves a marginof EUR 149,4 million8. The Commission has made particular efforts to limit its administrative expenditure,leading to an increase of 2,9 %, which is partially due to the higher than expected salary increase in 2009.This moderate increase of administrative expenditure also results from the fact that the Commission doesnot request any additional posts; the Commission plans to meet its priorities, including those resulting fromthe entry into force of the Lisbon Treaty, by an important redeployment effort.
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The margin for heading 1a does not take into account the appropriations related to the European GlobalisationAdjustment Fund (EUR 500 million).The margin for heading 4 does not take into account the appropriations related to the Emergency Aid Reserve(EUR 253,9 million).For calculating the margin under the ceiling for heading 5, account is taken of footnote (1) of the financial framework2007-2013 for an amount of EUR 82 million for the staff contribution to the pension scheme. The 2011 level ofexpenditure taken into account for the other institutions is based on the latest available estimates.
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3.3.1.
KEY ASPECTS OFDB 2011BY FINANCIAL FRAMEWORK HEADINGSCompetitiveness for growth and employment: heading 1a
This heading is at the heart of the drive to turn the EU into a smart, sustainable and inclusive economydelivering high levels of employment, productivity and social cohesion. Heading 1a brings together many ofthe flagship initiatives set out in the Europe 2020 strategy including ‘innovation Union’, ‘youth on themove’, ‘resource efficiency Europe’, ‘new skills and jobs’ and ‘industrial policy for the globalisation era’.The main programmes of this heading are the7thFramework Programme for research and technologicaldevelopment (FP7),theLifelong Learning Programme,theCompetitiveness and InnovationProgramme (CIP),theTrans-European Networks (TENs), GALILEO/EGNOS and Marco Polo II,and thePROGRESS Programme.Other actions contributing to the goals of the priority themes of theEurope 2020 strategy concern the internal market, statistics, financial services and supervision, the fightagainst fraud, taxation and the customs union.3.1.1.Summary Table(in million EUR, at current prices)Budget2010CA14 862,9PA11 343,3FF2011CA12 987CA13 436,9Margin = 50,19
Draft budget2011PA12 109,7CA-9,6 %4,4 %
Difference2011 / 2010PA6,7 %7,0 %
Excluding energy projects to aid economic recovery (EERP)
The margin of heading 1a amounts to EUR 50,1 million, an increase compared to the margin foreseen for2011 in the January 2010 update of the financial programming (EUR 37,0 million). This net increase ofEUR 13,1 million stems from lower than initially foreseen appropriations for administrative and technicalsupport expenditure (‘former BA lines’ and research administrative expenditure, see also sections 4.2.2 and4.2.3 below), as well as for decentralised and executive agencies (see in this regard also sections 4.1.1 and4.1.4 below). In addition, reductions compared to the financial programming are proposed for the Customs2013 programme (- EUR 1,8 million), in light of past implementation and actual needs, and theCompetitiveness and Innovation – Entrepreneurship and Innovation Programme (- EUR 5,6 million), asexplained below. On the other hand, an increase of EUR 5 million compared to the January 2010 financialprogramming is foreseen for the PROGRESS programme in line with the agreement reached on thefinancing of the Microfinance Facility, whereas an increase of EUR 2,85 million is proposed for the energystrand of the Trans-European Networks (TEN-E). Finally, a ‘frontloading’ of EUR 4,1 million is foreseenfor the Safer Internet Programme, for the reasons set out below.
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The margin for heading 1a does not take into account the appropriations related to the European Globalisationadjustment Fund (EUR 500 million).
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Strengthening researchand technologicaldevelopment63,9%Competitiveness andinnovation4,1%
Decentralised agencies1,8%
Other actions andprogrammes3,3%European GlobalisationAdjustment Fund3,7%A social policy agendato help Europeansociety to anticipateand manage change1,4%
Promoting sustainableEU networks fortransport and energy11,4%Improving the qualityof education andtraining8,5%
Nucleardecommissioning1,9%
Heading 1a: Competitiveness for growth and employment(commitment appropriations)Strengthening research and technological developmentCompetitiveness and innovationPromoting sustainable EU networks for transport and energyNuclear decommissioningImproving the quality of education and trainingA social policy agenda to help the European society to anticipate and manage changeEuropean Globalisation Adjustment FundOther actions and programmesDecentralised agenciesTotal
Draft budget2011EUR8 586 667 000548 644 0001 527 956 800258 000 0001 135 635 000191 330 000500 000 000450 475 000237 994 47013 436 852 270%63,9 %4,1 %11,4 %1,9 %8,5 %1,4 %3,7 %3,3 %1,8 %100,0 %
3.1.2.
Strengthening research and technological development
In its fifth year, the7thFramework Programmes(EC and EURATOM) will contribute to the flagshipinitiative ‘innovation Union’ by consolidating and developing a leading role in supporting Europeanresearch and stimulating cooperation across the Union and between the EU and third countries. Theimplementation of these programmes will help develop, as a cornerstone of the construction of theEuropean Research Areain 2011, a strategic research agenda focused on challenges such as energysecurity, transport, climate change, energy and resource efficiency and remain a key component in the driveto ensure that innovative ideas can be turned into products and services that create growth and jobs. The 7thFramework Programmes' (FP7) content, organisation, implementation modes and management tools aredesigned as a key contribution to the Europe 2020 strategy. The appropriations proposed for the 7thFramework Programmes (EUR 8 587 million) increase by 13,8 % compared to the 2010 budget.
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Broadening and deepening theEuropean Research Area(ERA) policy agenda will be a major objective in2011 in line with the Europe 2020 strategy. Further support will be provided to the governance of ERA,including implementation of the ERA 2020 Vision and additional work on overall ERA monitoring,indicators, and economic analysis of progress made in terms of the levels, effectiveness, and efficiency ofresearch and development (R&D) investment in the EU and its overall contribution to a knowledge-basedeconomy.Three major partnerships between the public and private sectors will support research and innovation,namely:–European green cars initiative- in the automobile sector to support research on a broad range oftechnologies and smart energy infrastructures essential to achieve a breakthrough in the use ofrenewable and non-polluting energy sources, safety and traffic fluidity;European energy-efficient buildings initiative- in the construction sector to promote greentechnologies and the development of energy-efficient systems and materials in new and renovatedbuildings with a view to reducing radically their energy consumption and CO2emissions;Factories for the future initiative- to help EU manufacturers across sectors, in particular smalland medium sized enterprises (SMEs), to adapt to global competitive pressures by increasing thetechnological base of EU manufacturing through the development and integration of the enablingtechnologies of the future, such as engineering technologies for adaptable machines and industrialprocesses, information and communication technology (ICT), and advanced materials.
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Clean energy, energy efficiency as well as energy independence are at the centre of search for solutions inthe Europe 2020 strategy. The research activities in this field aim at supporting the flagship initiative on‘resource efficient Europe’, in particular those of theEuropean Strategic Energy Technology Plan (SET-Plan),through development and demonstration of selected technology areas (including large scaledemonstration programmes) which should produce significant improvements in terms of potential marketshare for renewable energies (in particular through cost reductions and service improvements), reduction ofenergy emissions (including greenhouse gas emissions), with a focus on ‘clean coal’ aiming at ‘zeroemission power generation’ using CO2capture and storage technologies as well as increase of energyefficiency and savings, to develop smart energy networks.In the field of nuclear fusion and fission, research will include ensuring early industry participation in thepreparation of demonstration actions for fusion, and the launching of a European Industrial Initiative toprepare for the demonstration of a new generation (Gen-IV) of fission reactors for increased sustainabilityfor which the plans and legal structure for the demonstration plants should be in place before 2012.Action will also be taken under FP7 towards the greening of European transport systems, in thedevelopment and implementation of a European Knowledge Based Bio-Economy (KBBE), support forscience education and ethics in research, and in development and implementation of construction conceptsthat have the technical, economic and societal potential to drastically cut energy consumption and reduceCO2emissions.Several activities under the research themes of FP7 contribute to tackling the problems related to climatechange and energy, either by developing the research structures in Europe, or by creating new knowledgethrough the research projects.Also in 2011 emphasis will be put on implementing the policy framework for international scientific andtechnological (S&T) cooperation, aiming to integrate international collaboration throughout the FrameworkProgramme and to enable both geographical and thematic targeting, promoting relevant collaborativeprojects.The Cooperation Programme of FP7 foresees support for long-term public-private partnerships in the formof Joint Technology Initiatives (JTIs). These JTIs will pool industry, Member States and Commissionresources into targeted research programmes. More information on the current six JTIs is given in Annex V,which covers the Seventh Framework Programme, as well as in Annex IV.2 (Bodies set up by the EuropeanUnion and having legal personality – Joint Undertakings).
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3.1.3.
Competitiveness and innovation
TheCompetitiveness and Innovation Framework Programme (CIP)comprises three specificprogrammes: the Entrepreneurship and Innovation Programme (EIP), the Information and CommunicationsTechnologies Policy Support programme (ICT-PSP) and the Intelligent Energy-Europe Programme. Furtherdetails on these programmes are provided in Annex VI (CIP). While still growing by more than 4 % ascompared to the 2010 budget, the overall level of commitment appropriations requested for 2011 is slightlybelow the level foreseen in the financial programming, for the reasons set out in the paragraph below.The financial instruments under the Entrepreneurship and Innovation Programme (EIP) aim to improve theaccess to finance for small and medium sized enterprises (SMEs) by addressing persistent and recognisedmarket gaps, the insufficient level of capital and collateral of SMEs, and by providing leverage to nationalinstruments. Helping innovative and high-growth SMEs to access appropriate financial instruments is a keyaim. These financial instruments become all the more relevant in the context of the financial and economiccrisis where the whole corporate sector and small business in particular, is exposed to an unprecedentedcredit crunch. In practice, however, the restricted access to capital that SMEs currently are facing has animpact on the actual level of payments for some of the financial instruments under the EIP, in particularrelated to venture capital, which illustrates the severity of the financial crisis. Accordingly, the Commissionproposes to make some readjustments in the level of commitment appropriations for the various specificprogrammes under the Competitiveness and Innovation Framework Programme. In addition, as a net resultas compared to the financial programming for 2011, an amount of EUR 5,6 million has been added to themargin under heading 1a.In 2011 the ICT Policy Support Programme will, in line with the Europe 2020 strategy flagship initiative ‘adigital agenda for Europe’, focus on the best use and wider uptake of ICTs by European citizens, businessesand governments, and boost competitiveness and innovation in the context of the Competitiveness andInnovation Framework Programme. In addition, from 2009 onwards the activities to improve the conditionsfor the development of digital content (the former ‘eContent’ Plus programme) are implemented as part ofthe CIP/ICT Policy Support Programme.The Intelligent Energy for Europe II programme will contribute to achieving the objectives of the EUenergy policy and meeting the target of clean and efficient energy of the Europe 2020 strategy.The initiative on Global Monitoring for Environment and Security (GMES) will continue the gradual movefrom research to operational services, which has started in 2008.GMESresponds to the growing demandsfrom European citizens for better environmental monitoring and management, and for increased security. Itcontributes directly to competitiveness and innovation by providing an institutional market for hightechnology industry, and at the same time by stimulating the creation of a European downstream servicesmarket. GMES will be partially financed from redeployment and partially from the margin under heading1a. The level of funding proposed for 2011 amounts to EUR 10 million.3.1.4.Promoting sustainable EU networks for transport and energyTransportpolicy will contribute to achieving the priority of sustainable growth of the Europe 2020strategy. High-performing trans-European networks are essential for the sustainable mobility of goods,citizens and energy, and offer a tangible symbol of European integration.In the period 2007-2013, theTrans-European Networks(TEN) for transport will concentrate on 30priority projects, in particular special attention will be given to the financing of the cross-border sectionsand of the projects aiming to eliminate bottlenecks. Compared to 2010, the dedicated commitmentappropriations (EUR 1,241 billion) increase by 14,3 %.The other priorities for EU funding within the TEN-T programme will be: European Railway TrafficManagement System (ERTMS), River Information Services (RIS), Intelligent Transport Systems (ITS), anda TEN loan guarantee instrument.In the field ofInland, Air and Maritime Transport,the Commission will develop its actions aiming at thesustainable mobility of our continent, namely:–Continuing the Marco Polo programme to promote innovation in logistics and inter-modalities;
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Continuing the strengthening of the level of safe transport;Consolidating and extending the work of the European Aviation Safety Agency (EASA), theEuropean Maritime Safety Agency (EMSA) and the European Railway Agency (ERA). Aspreviously signalled in the multiannual financial programming 2010 – 2013 accompanying the2010 PDB10, some additional appropriations are required to enable these three agencies to carry outtheir new tasks, as compared to the EU contribution foreseen in the indicative financialprogramming for 2011. The Commission proposes to finance these additional needs byredeployment, for instance from Support activities to the European transport policy and passengerrights, and from various administrative support lines (‘former BA lines’).
The implementation of the EU satellite navigation programmes (EGNOS andGALILEO)will provide animportant contribution to the Europe 2020 strategy and, in particular, to the flagship initiative ‘an industrialpolicy for the globalisation era’ in continuing to deliver an effective space policy.Energypolicy is a priority area for the European Union. For Conventional and renewable energies, the‘20/20/20’ climate and energy target of the Europe 2020 strategy should be met: reducing greenhouse gasemissions by 20 % (up to 30 % if the conditions are right), increasing the use of renewable energy sourcesto 20 % and improving energy efficiency by 20 % to promote a more resource efficient, greener and morecompetitive economy. The newly created Agency for the Cooperation of the Energy Regulators (ACER)will ensure a good functioning of the internal electricity and gas market. In the same context of the internalenergy market, the Commission will pursue the implementation of the Trans-European Energy Network(TEN-E) by supporting projects of common interest. Compared to 2010, the proposed commitmentappropriations increase by 15,3 % to EUR 24,75 million.In the field ofNuclear Energythe Commission will provide further financial assistance to Lithuania,Slovakia and Bulgaria with respect to the decommissioning of nuclear reactors. This includes a sustainedlevel of funding for the decommissioning of the nuclear power plant of Kozloduy (Bulgaria), as foreseen inthe Commission proposal for a Council Regulation to extend the EU financial assistance to Bulgaria in thisregard (EUR 75 million)11.3.1.5.Improving the quality of education and trainingQualityeducation and trainingare fundamental to ensuring growth and prosperity.TheLifelong Learning Programmeaims to contribute to the success of the flagship initiative ‘youth onthe move’ through promoting the development of Europe's higher education institutions and raising theoverall quality of education and training in the EU, combining both excellence and equity in developing theEuropean Union as an advanced knowledge society, with sustainable economic development, more andbetter jobs and greater social cohesion. It integrates major programmes focusing on specific sectors(Comenius, Erasmus, Leonardo da Vinci, Grundtvig, and Jean Monnet), as well as a transversal programmesupporting specific key activities, such as language learning. The Programme will also support activitiespromoting policy cooperation in the field of Education and Training. In 2011, the programme ErasmusMundus II will continue to finance new categories of individual grants (to doctoral candidates and toEuropean students who attend Erasmus Mundus Master courses). Altogether, in 2011, the commitmentappropriations amount to EUR 1 036 million, or an increase by 2,7 % compared to 2010.Stimulation of innovation is closely linked to the research, entrepreneurship and education policies and aspecific example is theEuropean Institute of Innovation and Technology(EIT) and its Knowledge andInnovation Communities which is mentioned in the Europe 2020 strategy as an important element in theflagship initiative ‘innovation Union’ to promote entrepreneurship by supporting Young InnovativeCompanies.
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A social policy agenda to help the European society to anticipate and manage changeThe integrated programme for Employment and Social Solidarity (PROGRESS) supporting theimplementation of the social policy agenda;Sustaining social dialogue, free movement of workers and studies and special reports in the socialfield.
Theemployment and social policywill focus on two main areas:
Moreover, a new ‘EuropeanMicrofinance Facilityfor Employment and Social Inclusion (ProgressMicrofinance Facility)’ has been created in 201012, to make it easier for workers who have lost or risk losingtheir jobs to obtain credit to start their own small businesses. The level of funding proposed for theMicrofinance Facility for 2011 amounts to EUR 25 million, of which EUR 20 million stems fromredeployment from the Progress programme, rather than the EUR 25 million initially foreseen in theJanuary 2010 update of the financial programming for 2011.TheEuropean Globalisation Adjustment Fund (EGF)is intended to provide additional support forworkers who suffer from the consequences of major structural changes in world trade patterns, to assistthem with their reintegration into the labour market and, additionally, until the end of 2011 for workersmade redundant as a direct result of the global financial and economic crisis. As set out in theInterinstitutional Agreement of 17 May 2006 on budgetary discipline and sound financial management(IIA)13, it may not exceed EUR 500 million in any given year. It is proposed to enter this amount in thereserve, and should the conditions for mobilising the Fund be met, the procedures for mobilisation, laid outin the IIA will be initiated. In order to be able to respond more quickly to new cases, the Commissionproposes to enter an amount of EUR 50 million in payment appropriations in the reserve as well.3.1.7.Financial services and supervisionIn the field of financial services, financial reporting and statutory audit, a new programme grants financialsupport for the activities of certain bodies, both European and international, to ensure the effectiveness ofEU policies in these areas. These contributions ensure stable, diversified, sound and adequate funding toenable such bodies to accomplish their mission in an independent, efficient and satisfactory manner.As a response to the financial crisis, the Commission has proposed to transform as from 2011 the existingEuropean supervisory committees into three new EU Authorities14, which will be part of the EuropeanSystem of Financial Supervisors (ESFS). The economic and financial crisis has highlighted the need formaintaining a stable and reliable financial system. The task of the agencies will be to assist the nationalauthorities in the consistent interpretation and application of the EU rules and linking up nationalsupervisors into a strong EU network.3.1.8.Electronic Communications Policy and Network SecurityThe Electronic communications policy and network security activity contributes to the flagship initiative ‘adigital agenda for Europe’. The main objectives are: to promote and monitor theeCommunicationsregulatory framework, to promote an effective EU radio spectrum policy and to support the safe use of theinternet, the prevention of information security problems, and internet governance.The activities of the Safer Internet Programme (2009 – 2013) on protecting children using the internet andother communication technologies, for 2011 will reinforce the security of networks and information bycombating illegal and harmful content in the Internet and implement new on-line technologies in support ofthese activities. To this end, the Commission proposes a limited ‘frontloading’ amounting toEUR 4,1 million in commitment appropriations as compared to the indicative financial programming, to becompensated in 2013.121314
OJ L 87, 7.4.2010.OJ C 139 of 14.6.2006, point 28.European Banking Authority(EBA), COM(2009)501,European Insurance and Occupational Pensions Authority(EIOPA), COM(2009)502, andEuropean Securities and Markets Authority(ESMA), COM(2009)503, 23.9.2009.
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3.1.9.
Statistics to provide key input for policy making
In the policy areaStatistics,the five-year statistical programme 2008-2012 comprises the production andsupply of products and services to the users, the improvement of the quality of statistics and thecontinuation of the development of the European Statistical System (ESS).The modernisation and simplification effort will be supported by the programme MEETS(ModernisationofEuropean Enterprise and Trade Statistics). The programme plays a major role in the development of allbusiness statistics (from 2009 to 2013) and will be used to develop target sets of indicators and reviewpriorities and reduce the response burden by more efficient ways of collecting data.Key areas to develop are economic statistics, national accounts and price statistics, external trade, migrationstatistics and social statistics. In addition, energy and environment statistics – and, more broadly, sustainabledevelopment indicators – will remain a priority for the Commission in 2011 and beyond.
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3.2.3.2.1.
Cohesion for growth and employment: heading 1bSummary table(in million EUR, at current prices)BudgetHeadingsCA2010PA29 528,96 855,036 383,950 98739 196,310 190,349 386,6FF2011CACA39 891,511 078,650 970,1Margin = 16,9Draft budget2011PA34 788,07 752,842 540,8CA1,8 %8,7 %3,2 %Difference2011 / 2010PA17,8 %13,1 %16,9 %
Structural FundsCohesion FundTotal
Convergence objective61,6%
Regionalcompetitiveness andemployment objective13,9%
Convergence objective21,7%European territorialcooperation objective2,6%
Technical assistance &Other actions andprogrammes0,2%
Heading 1b: Cohesion for growth and employment(commitment appropriations)Structural Funds––––Convergence objectiveRegional competitiveness and employment objectiveEuropean territorial cooperation objectiveTechnical assistance & Other actions and programmes
Draft budget2011EUR39 891 497 59131 406 373 0767 084 823 1081 312 201 40788 100 00011 078 596 19311 055 206 10623 390 087Total50 970 093 78442 461 579 182%78,3 %61,6 %13,9 %2,6 %0,2 %21,7%21,7 %0,05 %100,0%83,3 %
Cohesion Fund––Convergence objectiveTechnical assistanceOf which Convergence objective
3.2.2.
Key aspects of heading 1b
Heading 1b of the financial framework covers the Structural Funds, i.e. theEuropean RegionalDevelopment Fund (ERDF)and theEuropean Social Fund (ESF),as well as theCohesion Fund (CF).It relates essentially to the following policy areas:––Regional policy,for the ERDF and the CF, andEmployment and social affairs,for the ESF.
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The principal objective of the Structural Funds and the Cohesion Fund is to strengthen economic, social andterritorial cohesion between regions and Member States of the EU, by providing additional resources forthose regions and countries whose economic development is lagging behind. The Structural Funds also aimat strengthening regions' competitiveness and attractiveness, as well as employment, and at strengtheningcross-border, trans-national and interregional cooperation. The resources available are concentrated onpromoting economic convergence, in particular on sustainable growth, competitiveness and employment inline with the Europe 2020 strategy. As emphasised in the Communication on ‘A European EconomicRecovery Plan’ and the Communication ‘A Shared Commitment for Employment’15, these resources arealso essential tools to fight financial, economic and social crisis and the Commission has proposed practicalmeasures such as simplification of the management, additional advance payments and facility forreprogramming, in order to maximise their use.To achieve these goals, the ERDF, the ESF and the Cohesion Fund contribute towards three objectivesduring the 2007-2013 period:–TheConvergenceobjective aims at speeding up the convergence of the least-developed MemberStates and regions, in line with the priorities defined by the Community Strategic Guidelines onCohesion policy 2007-2013. This objective covers, with funding from the ERDF and the ESF,those regions whose gross domestic product (GDP) per capita is below 75 % of the EU average, aswell as the regions that would otherwise have been eligible had it not been for the statistical effectof enlargement (‘phasing-out regions’). The objective also covers, with funding from the CohesionFund, those Member States with a Gross National Income (GNI) lower than 90 % of theCommunity average. This objective constitutes the priority of the funds and accounts for over 80 %of the total resources.TheRegional Competitiveness and Employmentobjective aims at strengthening regions'competitiveness, attractiveness and employment, in line with the priorities identified in theCommunity Strategic Guidelines, outside the least developed regions. Moreover, those formerObjective 1 regions that would have found themselves above the EU-15 75 % threshold forconvergence funding, even without enlargement (the so-called ‘phasing-in’ regions), benefit from atransitional and specific financing under this objective. It is funded by the ERDF and ESF.Under theTerritorial Co-operationobjective, funding supports cross-border, trans-national andinterregional cooperation on a range of actions linked to the Europe 2020 strategy. This objectivealso provides support for the development of co-operation networks and exchange of experiencebetween regions. It is funded solely by the ERDF.
–
–
Overall priorities for funding by the Structural Funds and the Cohesion Fund are set out in the Structuraland the Cohesion Fund Regulations and the Community Strategic Guidelines, which govern the types ofintervention considered eligible for EU funding. However, the precise allocation of funding to differentpriorities and projects depends on the actual programming that is undertaken by Member States, in co-operation with the Commission.Priorities for 2011In 2011, work will continue to focus on the effective and efficient implementation of the 2007-13programmes, which will be fully operational. The impact of the legislative changes made in the context ofthe European Economic Recovery Plan will in 2011 continue to make the structural funds a valuableinstrument for the recovery of the European economy. The changes under the second legislative package,including further simplification of rules governing cohesion policy and additional advances for theStructural Funds, are expected to facilitate the management of EU funding and accelerate investments inMember States and regions. By their nature, the Cohesion policy objectives contribute to the Europe 2020strategy in terms of promoting smart greener and competitive growth of regional economies based on
15
COM(2008)800, 26.11.2008, and COM(2009)257, 3.6.2009.
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knowledge, innovation and resource efficiency. Finally, the closure of the 2000-2006 programmes isexpected to reach its peak in 2011 in full accordance with the principles of sound financial management.Summary of appropriationsThe following table summarises the main amounts needed in heading 1b by period (2000-2006 and 2007-2013) and by fund, comparing 2011 with 2010.Period2000-2006ERDFCFESFSFAll2007-2013ERDFCFESFSFAllTotalERDFCFESFSFAllPilot projects & preparatory actionsTotal Heading 1b28 347,410 190,210 844,539 191,849 382,128 347,410 190,210 844,539 191,849 382,15,549 387,6FundBudget2010CommitmentsPayments2 416,22 500,0532,52 948,75 448,718 872,84 355,07 700,426 573,230 928,221 289,06 855,08 232,929 521,936 376,98,036 384,928 911,211 078,610 980,339 891,550 970,128 911,211 078,610 980,339 891,550 970,10,050 970,1Draft budget2011CommitmentsPayments2 402,11 500,01 073,53 475,64 975,623 354,06 252,87 950,431 304,437 557,225 756,17 752,89 023,934 780,042 532,88,042 540,8Difference payments2010 - 2011- 0,6 %- 40,0 %101,6 %17,9 %- 8,7 %23,7 %43,6 %3,2 %17,8 %21,4 %21,0 %13,1 %9,6 %17,8 %16,9 %0,0 %16,9 %
The main justifications for the commitment and payment appropriations are described below. More detailedexplanations for the figures may be found in Annex VII – Structural Funds and Cohesion Fund.3.2.3.Commitment appropriationsFor 2011, total commitment appropriations forheading 1bamount to EUR 50 970,1 million, an increase of3,2 % relative to 2010. Of these, EUR 39 891,5 million are for theStructural Funds(ERDF and ESF), anamount similar to the 2010 envelope, and EUR 11 078,6 million for theCohesion Fund.The latter figurerepresents an increase of 8,7 % relative to 2010, which basically results from the increasing annualallocation for EU-12 Member States as originally foreseen at the beginning of the programming period.All figures for the Structural and Cohesion funds are in line with the envelopes decided in the legal basisand are fully consistent with the ceilings of the multi-annual financial framework, taking into account theimpact of Point 17 of the Interinstitutional Agreement of 17 May 2006 on budgetary discipline and soundfinancial management16. Point 17 of the IIA relates to the adjustment of amounts allocated from fundssupporting cohesion to the Member States concerned by divergence between estimated and actual GDP forthe period 2007-2009. The impact of this is specified in the technical adjustment of the financial frameworkfor 201117and involves additional commitment appropriations, in 2011, totalling EUR 335,7 million.Typically, the Structural and Cohesion Funds fully use up the resources made available for programming bythe Member States within the heading, and this is again the case. Thus there is no margin left under heading1b, save for some EUR 17 million mostly from the technical assistance envelope.3.2.4.Payment appropriationsFor heading 1b, overall payment appropriations are set at EUR 42 540,8 million, an increase of 16,9 % over2010. This figure comprises a main component, relating to interim payments for the 2007-2013programmes, and a second element namely reimbursements to clear the outstanding commitments of 2000-2006 programmes and projects.16
17
OJ C 139, 14.6.2006. The content of Point 17 of the IIA is also found in paragraph 10 of Annex II to Regulation1083/2006.COM(2010)160, 16.4.2010.
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2007-2013 programmesFor the programmes of the 2007-2013 period, payment appropriations for the Structural Funds amount toEUR 31 304,4 million representing an increase of 17,8 % relative to the 2010 budget. If the Cohesion Fundis included, the amount reaches EUR 37 557,2 million. The corresponding figure in the 2010 budget forpayments is EUR 30 928,2 million.Payment appropriations for the 2007-2013 programmes, relating to the ERDF, ESF and the Cohesion Fund,have been calculated on the basis of the historical payment rates against the corresponding commitmenttranches of the 2000-2006 programming period (details are provided in Annex VII).For the ERDF and for the Cohesion Fund, the resulting initial estimates have been adjusted to take intoaccount the potential impact of the major projects, and an adjustment has also been applied to the ESF onthe basis of the implementation since 2007.2000-2006 programmes and projectsFor the outstanding commitments of the 2000-2006 period, total payment appropriations amount toEUR 4 975,6 million, split between the ERDF (EUR 2 402,1 million), the ESF (EUR 1 073,5 million) andthe Cohesion Fund (EUR 1 500,0 million). Relative to the 2010 budget, this represents a decrease of 8,7 %.For the structural funds, the payment appropriations have been established on the basis of the currentestimates of the responsible spending departments of the expected rate of closure. The amount reserved forclosure can only be paid after Member States send to the Commission the closure documents for eachprogramme.The pre-2007 projects of the Cohesion Fund are not subject to the ‘n+2’ rule18and thus their paymentprofile is not comparable to that of the Structural Funds. Furthermore, the final date of eligibility of a largenumber of such projects has been extended to the end of 2010. For projects adopted in 2004 or later, theCommission intends also to introduce a certain degree of flexibility for the final eligibility date. Therefore, anumber of projects are likely to be extended to the end of 2011 and some very large projects, for whichCohesion Fund assistance is of at least EUR 100 million, may even be extended to the end of 2012.
18
In order to avoid an increasing build-up of outstanding commitments being rolled forward each year, the so-called n+2rule allows the Commission to de-commit resources when no payments claim has been received by the end of the 2ndcalendar year following the year of commitment. In the 2007-2013 programming period the rule also applies to theCohesion Fund.
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3.3.
Preservation and management of natural resources: heading 2
For the 2011 Draft Budget the Commission proposes EUR 59 486 million for Heading 2. Compared to the2010 budget, the commitment appropriations remain virtually unchanged (- EUR 13 million), leaving amargin of EUR 852 million under the ceiling fixed for 2011 in the financial framework.The increase in the margin compared to 2010 (which stood at EUR 456 million) is mostly due to lowerexpenditure for interventions on agricultural markets, which is only partially offset by higher direct aids andlower assigned revenue (EUR 922 million in 2010 versus 688 million in 2011). At this time of the budgetaryprocedure, no assigned revenue is foreseen to be carried over from 2010.The continuing phasing-in of direct aids to EU-12 and the improved situation on agricultural markets are themain factors explaining this evolution, as explained in more detail below.3.3.1.Summary table(in million EUR, at current prices)Budget2010CA59 498,3PA58 135,6FF2011CA60 338CA59 486,2Margin = 851,8Draft budget2011PA58 136,7CA0,0%Difference2011 / 2010PA0,0%
Market relatedexpenditure and directaids73,5%
Rural development24,3%
Other actions andprogrammes (includingdecentralised agencies)0,1%
Maritime affairs andFisheries1,5%Environment andClimate Action0,6%
Heading 2: Preservation and management of natural resources(commitment appropriations)Market related expenditure and direct aidsRural developmentMaritime affairs and FisheriesEnvironment and Climate ActionOther actions and programmes (including decentralised agencies)Total
Draft budget2011EUR43 747 401 90014 436 116 552920 460 042333 500 00048 769 89559 486 248 389%73,5 %24,3 %1,5 %0,6 %0,1 %100,0 %
The following table summarises the main movements in Heading 2:
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2010BudgetTitle 05 05 0205 0305 03 0105 03 0205 04Market supportDirect aidDecoupled direct aidOther direct aidRural development4 395,339 273,032 272,05 995,014 363,6-246,457 785,5371,92,0373,930,5173,9103,67,75,6644,0965,4293,113,835,30,032,0366,659 498,8922,0922,0Assignedrevenue222,0700,0700,0
2011DBrequest3 491,139 911,136 489,03 422,014 436,1-27,757 810,6342,90,0342,930,0154,8107,48,70,0658,3959,1314,119,435,10,05,0373,659 486,2688,0688,0Assignedrevenue100,0588,0588,0Budget-904,2638,13 217,0-2 573,072,5218,325,1-29,0-2,0-31,0-0,5-19,13,81,0-5,614,3-6,221,05,6-0,20,0-27,07,0-12,6
DifferenceNeeds-1 026,2526,13 105,02 573,072,5218,.3-208,9-29,0-31,0-0,5-19,13,81,014,3-6,221,05,6-0,20,0-27,07,0-246,6%-20,6 %1,6 %9,7 %-42,9 %0,5 %-88,7 %0,0 %-7,8 %-8,3 %-1,6 %-11,0 %3,6 %12,6 %2,2 %-0,6 %7,2 %0,0 %-0,4 %0,0 %-84,4 %1,9 %0,0 %
Other agriculture in Heading 2Total Title 05 (Agriculture and rural development)Title 17 17 0417Title 11 11 0211 03Other CFP11 08 0511 0911 06 + BAVeterinary and Phyto-sanitary actionsOthersFishery marketCommon Fisheries International fisheries & law seaPolicy (CFP)Conservation, control, governCommunity Fisheries Control Agency (CFCA)Maritime policyFisheries fund
-2,0 -100,0 %
Total Title 17 (Health and Consumer Protection)
-5,6 -100,0 %
Total Title 11 (Maritime Affairs and Fisheries)Title 07 07 03 07 + Life + (Environment)BA07 12 01 + Life + (Climate Action)BA07 03 0907 03 6007European Environment Agency (EEA)European Chemicals Agency (ECHA)OthersTotal Heading 2
Total Title 07 (Environment and Climate Action)
3.3.2.
Agricultural expenditure (market related expenditure and direct aids)
ContextThe present round of Common Agricultural Policy (CAP) reforms, which began in 2003/2004 with thefundamental shift towards decoupled direct aids, have been complemented in 2008 by the reforms for fruitand vegetables (and the School Fruit Scheme), the mini-package milk and the reform of the wine sector. In2008 a political agreement on the ‘Health Check’ of the CAP has also been reached and the legislative textspublished on 31 January 2009. The ‘Health Check’ modernises, simplifies and streamlines the CAP andremoves restrictions on farmers, thus helping them to respond better to signals from the market and to facenew challenges. The financial impact of the ‘Health Check’ is, for the first year, fully reflected in the 2011Draft Budget proposal.The reform abolishes arable set-aside, further decouples direct aids from production, increases milk quotasgradually leading up to their abolition in 2015, and converts market intervention into a genuine safety net. Itwas also agreed to increase modulation and to add a progressive element, whereby direct payments tofarmers are reduced and the money is transferred to the European Agricultural Fund for Rural Development(EAFRD). This will allow a better response to the new challenges faced by European agriculture, includingclimate change, the need for better water management, the protection of biodiversity, and the production ofgreen energy. Member States will also be able to assist dairy farmers in sensitive regions to adjust to thenew market situation.As a result of the market reform process, there has been a continuous fall in recent years of the marketexpenditure. However, in 2010, due to the exceptional market conditions taking into account the prevailingeconomic crisis, the proportion of market expenditure increased to 7,4 % of the total agriculturalexpenditure. The share of market expenditure is expected to decrease to 5,9 % in 2011. Around 91 % of alldirect aids to farmers are decoupled from production compared to 85 % in 2010.Appropriations and assigned revenue
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For the 2011 Draft Budget theproposed appropriationsfor expenditure related to agricultural markets anddirect aids amount to EUR 43 747 million19, showing a very small decrease by EUR 73 million (-0,2 %)compared with the 2010 budget. This is the net result of several factors with compensating effects. On theone hand, there is the continued phasing-in of direct aids for the new Member States leading to higherexpenditure. Furthermore, as mentioned above, assigned revenues in the 2011 Draft Budget are lower thanin the 2010 budget. On the other hand, expenditure for interventions on agricultural markets aresignificantly reduced compared to 2010. When the amounts for veterinary and phyto-sanitary measures(EUR 343 million) and expenditure related to fisheries markets (EUR 30 million) are added, there remains amargin of EUR 719 million under the sub-ceiling of heading 2 for market-related expenditure and directaids. Therefore, at this point in time, the Commission does not consider that it will be necessary to apply thefinancial discipline mechanism20in 2011.Due to the existence of assigned revenues, it is important to distinguish between requested budgetappropriationsandactual needs.According to the Financial Regulation21and the Council Regulation onthe financing of the CAP, certain operations (namely conformity clearance correction, irregularities andmilk super levy) generate assigned revenues going to the European Agricultural Guarantee Fund (EAGF) ingeneral and used to cover the needs of specific lines22.Appropriations for the 2011 Draft Budget are lower than estimated needs because of EUR 688 millionrevenues assigned to the EAGF. Theassigned revenueshave been attributed to chapter 05 02 in theOperational Funds for Producer Organisations (EUR 100 million on item 05 02 08 03) and to chapter 05 03for the Single Payment Scheme (SPS) (EUR 588 million on item 05 03 01 01). The difference in assignedrevenues compared to the 2010 budget is mainly due to the fact that milk production in Member States isbelow the established quotas so that no super-levy revenues are foreseen. As mentioned above, at this timeof the budget procedure, no assigned revenues from 2010 are expected to be carried over to 2011.Intervention on the marketThe 2011 Draft Budget shows a decrease of around EUR 900 million in appropriations forinterventions inagricultural marketscompared with the 2010 budget. This decrease is due for a large part to improvedmarket situation and prospects, especially for the dairy sector but also to the transfer of market expenditurefor wine to the Single Payment Scheme. In fact, while the reform process reduces market expenditure, thevery fast turnaround in the situation for the cereals and in particular dairy markets – due to the currenteconomic crisis – was at the origin of the additional expenditure in 2010 compared to 2009. In themeantime, the market situation has improved and budget appropriations asked for intervention measures areback to a more normal level if compared to the exceptionally high needs in the 2010 budget. Part of thesehigh needs in 2010 was due to specific ad-hoc compensation measures for dairy, amounting to EUR 300million. As the dairy market situation has largely normalised, and appropriate measures for encouraging therestructuring of the dairy sector are available to Member States in the context of Rural Development andDirect Aid for specific support (Article 68 of Regulation 73/2009), the Commission is not proposing tocontinue this one-off action.Direct aid and modulationThe increase indirect aidsappropriations (coupled and decoupled) of EUR 638 million, compared to the2010 budget is mostly due to the continued phasing-in of direct aids in the new Member States23and to asmall decrease in assigned revenue available in 2011 compared to 2010.19
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After transfer of modulation (compulsory and voluntary modulation) and other, specific amounts (cotton, wine andtobacco) from direct aids to Rural Development.Art 11 of Council Regulation (EC) No 73/2009. More detailed rules on budget discipline are laid down in Chapter II ofTitle II of Council Regulation (EC) 1290/2005 on the financing of the CAP.Council Regulation (EC, Euratom) No 1605/2002, as amended by Council Regulation (EC, Euratom) No 1995/2006.Moreover, the reform of the Common Market Organisation for sugar established a temporary fund for the restructuringof the sugar industry which is funded by ad hoc assigned revenue, to be paid by the sugar quota holders and not by theCommunity own resources. This specific assigned revenue amount, however, can only be used within the sugarrestructuring fund.For the calendar year 2010, with impact on the 2011 budget year, EU-10 Member States reach 70 % of the EU-15 levelfor direct payments, while BG and RO reach 40 %.
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Decoupled direct aidsincreases by EUR 3,2 billions mainly because of the increase in needs for SinglePayment Scheme (SPS: EUR 2 billion) and Single Area Payment Scheme (SAPS: EUR 0,6 billion). Theneeds forSPSincrease mainly due to a shift from coupled direct aids. In 2011, the arable crops areapayments, the aid for olive groves, the specific quality premium for durum wheat and the hops area aid havebeen fully decoupled. Certain Member States have also chosen to decouple other aids (i.e. ewe and goatpremiums, beef and veal payments, protein crop premium, area payment for nuts, crop specific payment forrice, seed aid).Moreover, the Health Check also allowed24the Member States to use the previously unspent amount on theSPS, which triggered under-execution in the past, as an additional source of financing some specific supportmeasures (mutual funds and activities entailing additional agro-environment benefits), for an amount ofEUR 486 million on the new budget item 05 03 01 05.Appropriations forcoupled direct aidsdecrease compared to the 2010 budget by EUR 2,6 billion. Needsdecrease notably due to the decoupling and the transfers to Rural Development. On the other hand, there areadditional needs because of the implementation of the specific support for coupled measures (similar to thespecific support for the decoupled measures as mentioned above) amounting to EUR 806 million on the newbudget item 05 03 02 44.The 2011 budget is the sixth consecutive budget that is affected bymodulation.For the calendar year 2010,direct aids25in EU-15 will be reduced by a compulsory modulation rate of 8 %26and by progressivemodulation for farmers receiving more than EUR 300 000. In addition, voluntary modulation applies in theUnited Kingdom, while Portugal has eventually decided not to apply it after compulsory modulationchanges in the CAP ‘Health Check’. As a consequence, for the 2011 budget an amount of EUR 29 million,which had already been transferred to Rural Development, needs to be re-transferred to the EAGF. The2011 Draft Budget anticipates the upcoming Commission Decision in this regard.Veterinary and phyto-sanitary measuresThe appropriations forveterinary and phyto-sanitary measures(Policy Area 17 – Health and ConsumerProtection) show a decrease in commitments from EUR 374 million in 2010 to EUR 343 million proposedfor the 2011 DB. This decrease results from the fact that the financing by heading 2 of the ‘Communitytobacco fund’ has expired as foreseen in the legal base, as well as from a decrease in appropriations in thefield of animal disease eradication reflecting the improved disease situation and, hence, lower need forvaccination, fewer tests and lower costs for eradication.3.3.3.Transfers from agricultural expenditure to rural developmentFor the 2011 DB, the amount additionally available to the European Agricultural Fund for RuralDevelopment (EAFRD) totals EUR 3 150 million which is an increase from 2010 by aroundEUR 782 million.These include compulsory modulation (EUR 2 095 million including EUR 805 million resulting from theHealth Check)27, the voluntary modulation of the UK (EUR 375 million)28, and other transfers from thereform of the cotton sector (EUR 22 million)29, the wine sector (EUR 123 million)30, the tobacco sector(EUR 484 million)31as well as from unused direct aids (EUR 52 million)32.3.3.4.Rural developmentSupport provided through the European Agricultural Fund for Rural Development (EAFRD) makes a vitalcontribution to the sustainability of the rural environment and helps to maintain a balance between urban242526272829303132
Article 68 of Council Regulation (EC) No 73/2009.With the exception of aids granted in the Ultra-Peripheral Regions.Articles 7 and 9 (1) of Council Regulation (EC) No 73/2009.Article 9(1) of Council Regulation (EC) No 73/2009.Article 4(1) of Council Regulation (EC) No 378/2007.Article 134 of Council Regulation (EC) No 73/2009.Article 1 of Council Regulation (EC) No 1246/2008.Article 135 of Council Regulation (EC) No 73/2009.Article 136 of Council Regulation (EC) No 73/2009.
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and rural areas in a competitive and knowledge-based economy. In order to reinforce this contribution, theEAFRD is further strengthened in 2011 with increased funds from modulation (mainly the additionalmodulation to address the new challenges as specified in the ‘Health Check’) and specific transfers, ofwhich EUR 484 million for restructuring of the tobacco sector, for the first time.The EAFRD also benefited from EUR 1 020 million for 2009-2010 in the context of the EuropeanEconomic Recovery Plan (EERP), half of which (EUR 510 million) is expected to be paid in 2011.The programmes remain built around three thematic axes dedicated to improving the competitiveness of theagricultural and forestry sector, improving the environment and the countryside, and improving the qualityof life in rural areas and encouraging diversification of the rural economy. These thematic axes arecomplemented by one horizontal axis allowing locally based bottom-up approaches to rural development.For 2011 an amount of EUR 14 436 million in commitment appropriations is needed. This is an increase of0,5 % compared to 2010. The Commission proposes EUR 13 404 million for Rural Development inpayment appropriations, including EUR 510 million related to the EERP (in relation with theEUR 1 020 million of commitment appropriations of 2009 and 2010). Excluding EERP payments in 2010and 2011, the amount of EUR 12 894 million represents a decrease of 1,6 % relative to 2010, dueprincipally to the fact that payment levels are stable for the 2007-2013 programmes, which are expected tohave reached cruising speed, and that the transitional instrument for EU-10 is expected to be closed in 2010(consequently payments for the 2000-2006 period decrease by 11,4 %). The figure comprises two maincomponents:–Interim payments for the new 2007-2013 programmes with payment appropriations ofEUR 12 190 million (excluding technical assistance of EUR 9 million and EERP ofEUR 510 million) foreseen for payments concerning mainly agro-environmental and less-favouredareas.Reimbursements, amounting to EUR 690 million, to clear outstanding commitments from thosebudget lines that formed part of the 2000-2006 Structural Funds programmes under the GuidanceSection of the European Agriculture Guidance and Guarantee Fund (EAGGF). In the context ofclosure for former Objective 1 and Leader+ programmes, the largest part of the remaining RAL isexpected to be paid in 2011.Maritime affairs and fisheries
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3.3.5.
InstrumentsApart from a relatively small amount of EUR 30 million for fisheries markets which is spent under the CAP,there are two main instruments: (a) the European Fisheries Fund (EFF), and (b) the so called ‘secondinstrument’, covering all other actions related to the Common Fisheries Policy (CFP), includingInternational fisheries and the Law of the Sea.European Fisheries Fund (EFF)For the EFF, the Commission proposes EUR 658 million in commitment appropriations andEUR 488 million in payment appropriations, respectively + 2,2 % and + 1,5 % relative to the 2010 budget.The increase for commitment appropriations is fully in line with the EFF envelope decided in the legalbasis.For the 2011 DB, the payment appropriations proposed concern the 2007-2013 EFF programmes and theclearance of outstanding commitments (RAL) of the lines that formed part of the 2000-2006 StructuralFunds programmes (completion of the Financial Instrument for Fisheries Guidance (FIFG)).Regarding the EFF programming period 2007-2013, there is a slight increase in payment appropriations of3,3 % (from EUR 452 million in 2010 to EUR 467 million in 2011). The approach for establishing paymentappropriations for the 2007-2013 programmes is similar to the one that is used for the Structural Funds (seeexplanation under section 3.2.4 above), and is based on the historical payment rates against thecorresponding commitment tranches of the 2000-2006 programming period. The resulting initial estimatefor the 2011 DB has however been adjusted slightly to take into account the slower start in implementationin the 2007-2013 period.
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Regarding the FIFG covering the 2000-2006 period, the closure exercise is expected to continue in 2011with an estimated closure rate of 30 % of the programmes. For this reason, an amount of EUR 21,4 millionfor payment appropriations is requested.Common Fisheries Policy (CFP)For the CFP, the appropriations proposed are, in total, EUR 262 million for commitments andEUR 250 million for payments. Compared to 2010, this represents a decrease of around EUR 15 million or -5,5 %, mainly reflecting lower appropriations for International Fisheries Agreements. In addition,EUR 8,7 million is foreseen for the Community Fisheries Control Agency (CFCA).Expenditure for international activities (EUR 154,5 million in commitment appropriations andEUR 159 million in payment appropriations) decreases compared to 2010. This decrease is mainly due tore-negotiated and adjusted amounts for several Fisheries Partnership Agreements with third countries, andto lower needs for preparatory work for new international fisheries organisations and other non-compulsorycontributions to international organisations. Most of the appropriations asked for are intended to financeFisheries Agreements in force (EUR 93 million). For the renewal of some existing fisheries agreementsabout to expire and some new agreements to be negotiated an amount of EUR 52 million is requested on thereserve line. The remaining part is needed to guarantee the Community participation in an increasingnumber of international and regional fisheries organisations, as well as for related preparatory work.Regarding the governance of the CFP, conservation, management and exploitation of resources as controland enforcement of the CFP, the Commission proposes some EUR 98 million for commitments andEUR 83 million for payments, somewhat more than in 2010 especially for payments reflecting the improvedsituation as far as budget execution is concerned.3.3.6.Environment and climate changeIn the field of environment, Heading 2 of the Financial Framework 2007-2013 covers expenditure for theLIFE+ financial instrument, several preparatory actions and pilot projects, as well as the EU contribution tothe European Environment Agency (EEA).Climate action is a key priority for the new Commission, as set out in the Europe 2020 strategy. This is alsoshown in the importance attached to the follow-up to the Copenhagen Accord, the proposed reinforcementof Life+, the proposed preparatory action on ‘Mainstreaming climate and adaptation’, as well as in thereorganisation of the Commission services concerned.At the Copenhagen Summit, the EU offered to increase its emissions reduction to 30 % by 2020, underspecific conditions, starting from 2013 when the Kyoto Protocol's first commitment period will haveexpired. The Copenhagen Accord reached in December 2009 represents a step towards such an agreementand the follow-up to this conference will have an impact on both the internal and the external policies of theEU. The EU will continue to play a leading role in international negotiations, also during 2011 and beyond,in order to reach global climate change goals.As far as LIFE+ is concerned, the Commission proposes a substantial increase in commitmentappropriations, from EUR 306,9 million in 2010 to EUR 333,5 million in 2011. Compared to the financialprogramming for the year 2011, this amount leads to a reinforcement of EUR 7,4 million, with a view to theimportance of this instrument, and to enable the Commission to put more emphasis on the actions related toclimate change. This increase is proposed to be confirmed for 2012 and 2013, which would lead to a totalincrease of the LIFE+ envelope of EUR 22,2 million over three years. Payment appropriations for LIFE+will increase significantly, from EUR 215,8 million in 2010 to EUR 268,2 million in 2011. For thefollowing years, a gradual increase in payment appropriations will be necessary, with a peak expected at theend of the programming period.The core amount of LIFE+ will be spent to finance measures related to nature and biodiversity, environmentand public health as well as for water and waste management. This entails supporting innovative anddemonstrative projects at national, regional and local levels to reduce waste production and greenhouse gasemissions, to increase resource efficiency, to develop clean technologies and to improve air qualitymanagement (especially in urban areas). LIFE+ also finances studies and modelling to support theknowledge base for effective environment policy making and analysis of the complex impact of climate
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change and the policy measures to deal with it, as well as the maintenance and improvement of thenecessary IT structure to implement crucial policy elements such as the Emissions Trading System (ETS).The threats from biodiversity loss are becoming clearer and the failure to meet interim goals on biodiversityloss cannot continue. The real value of ecosystems must be recognised and the link between biodiversityconservation and greenhouse gas mitigation should be fully explored. LIFE+ will support, both withdemonstration projects and with studies, the resilience of European ecosystems and biodiversity resourcesand to improve resource efficiency. It will also support proposals to exploit the resource potential of wastestreams, an action plan on eco-innovation and a roadmap towards a resource efficient, sustainable andcompetitive economy. Eco-innovation will provide the technologies, business processes and managementtechniques to decrease the environmental impact of our actions while contributing to green growth,innovation, resource efficiency and new jobs.In addition to the actions financed under LIFE+, a preparatory action on ‘Mainstreaming climate andadaptation’ will be implemented, with EUR 5 million in commitment appropriations. These appropriationsare intended to cover the needs to further develop EU policy on mainstreaming of climate action andadaptation to climate change, as a basis for impact assessments and preparation of future policy decisions.Furthermore, the preparatory action will pave the way for future legislative proposals to move to a lowcarbon economy through the mainstreaming of climate action and adaptation in many other EU policies. Inthis regard, studies and preparatory work will be carried out.As part of the rising importance of climate change, the Commission has created a new Directorate Generalfor Climate Action, which will deal specifically with EU policies and legislation on climate action andpromote innovation in this sector in particular concerning greenhouse gases and emissions. It will gather therelevant activities previously in DG Environment, activities related to international negotiations on climatechange and the activities in the Enterprise and Industry DG related to climate change.Biocide legislation, which was expected to be implemented from 2012 onwards, will be enforced throughthe European Chemicals Agency. However, it is possible that the legislation be already adopted by mid-2011. To allow the European Chemicals Agency to quickly become operational in this field, two newbudget lines have been created, with a token entry (‘p.m.’), so as to be able to transfer a limited amount ofappropriations for preparatory measures in the course of 2011, in case of early adoption of legislation.
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3.4.3.4.1.
Freedom, security and justice: heading 3aSummary table(in million EUR, at current prices)Budget2010CAPA738,6FF2011CA1 206CA1 135,3Margin = 70,8Draft budget2011PA852,6CA12,8 %Difference2011 / 2010PA15,4 %
1 006,5
The margin of heading 3a amounts to EUR 70,8 million, an increase compared to the margin foreseen for2011 in the January 2010 update of the financial programming (EUR 19,7 million). This net increase ofEUR 51,1 million stems essentially from lower than initially foreseen appropriations for the VisaInformation System (VIS) and the Schengen Information System (SIS), for a total amount ofEUR 60 million, which in part is used to finance the proposed new agency for the operational managementof large-scale IT systems in this field (EUR 10,6 million), as set out below. In addition, the increase in themargin results from lower than initially foreseen appropriations for administrative and technical supportexpenditure (‘former BA lines’, see also section 4.2.2 below).
Decentralisedagencies22,2%
Fundamental rightsand justice6,9%Security andsafeguarding liberties11,7%
Other actions andprogrammes5,2%
Solidarity andmanagement ofmigration flows54,0%Draft budget2011EUR78 000 000133 000 000612 590 00059 200 000252 462 740Total1 135 252 740%6,9 %11,7 %54,0 %5,2 %22,2 %100,0%
Heading 3a: Freedom, security and justice(commitment appropriations)Fundamental rights and justiceSecurity and safeguarding libertiesSolidarity and management of migration flowsOther actions and programmesDecentralised agencies
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3.4.2.
Strengthening the EU as an Area of Freedom, Security and Justice
Five years after the launch of the Hague Programme (2005-2009), it is opportune for the Union to review itspolicy to effectively meet new challenges and to take full advantage of the opportunities presented by theLisbon Treaty. To this end, the European Council has adopted in December 2009 the Stockholm Programmewhich sets out the priorities for further developing the European area of freedom, security and justice overthe next five years (2010-2014). This will put the citizen at the heart of EU action and deal, among otherthings, with questions of citizenship, justice and security as well as with asylum, migration and the externaldimension of justice and home affairs.The Stockholm Programme will be financed within the ceiling of heading 3a of the current financialframework. Many of the measures and actions will be implemented through a more effective use of existinginstruments and funds. In particular, for 2011, the increase in appropriations foreseen in the financialprogramming for some activities (external borders, return, visa policy and free movement of people;common immigration and asylum policies; security and safeguarding liberties) will allow the financing ofthe new initiatives of the Stockholm Programme.The Commission is presenting to the Council and the European Parliament an Action Plan33forimplementing the Stockholm Programme, with a view to its adoption by the European Council in June2010, and submit a midterm review before June 2012.Solidarity and Management of MigrationThe general programmeSolidarity and Management of Migrationencompasses four distinct financialinstruments, so-called Funds.The appropriations proposed for theExternal Borders Fund(EUR 254 million) increase by 22 %compared to the 2010 budget. The Fund is a solidarity mechanism, supporting those Member States whoassume a lasting and heavy financial burden in the area of external borders and visa policy. Built onprevious experience, the 2011 forecasts are mainly linked to the need to further develop IT systems for theEU legal instruments. In this regard, the European Borders Fund provides a limited EU contribution to thedevelopment of the national components of the IT systems. Regarding the actions of interest to the EU, thesubstantial increase should foster the application of the Visa Code and Handbook and consular cooperationbetween Member States in third countries, including the development of common application centres.In the field of migration, increased resources are foreseen for theEuropean Return Fund(EUR 114 million, + 29 %), which is intended to support the Member States in the application of anintegrated management of returns, and to provide for joint actions by Member States, thereby promoting thepooling of resources and expertise, and resulting in common gains through better value for money and bettersharing of information and experiences. Based on previous experience, the 2011 estimates reflect theexpected increase in illegal influx of third country nationals.The appropriations for theEuropean Fund for the Integration of Third Country Nationals(EUR 132 million) increase by 19 % compared to the 2010 budget, reflecting the importance of, and thechallenges presented by, this new form of solidarity among Member States, in respect of the immigrantslegally resident in the EU. The Fund shall contribute to the development and implementation of nationalintegration strategies for third-country nationals in all aspects of society. The need to develop and toimplement the integration process is increasing each year. 2011 appropriations will mainly focus on theimplementation of the Common Basic Principles for immigrant integration policy. Trainings, vocational andcivic orientation courses are strongly required to facilitate the integration of third-country nationals.TheEuropean Refugee Fund (ERF)will continue to support the following actions: capacity building forthe asylum systems of the Member States in general; the voluntary efforts of Member States to provide adurable solution in their territories to refugees and displaced persons identified as eligible for resettlementby the United Nations High Commissioner for Refugees (UNHCR) and the voluntary burden sharingbetween Member States consisting of the transfer of beneficiaries of international protection from oneMember State to another. An amount of EUR 94 million is proposed for 2011, in line with the financialprogramming.33
COM(2010)171, 20.4.2010.
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Following the planned entry into force of theEuropean Asylum Support Office (EASO)Regulation inmid 201034, the new agency should become fully operational in 2011. EASO will in particular aim atsupporting transnational cooperation between Member States in asylum related questions. Theappropriations for 2011 will increase to EUR 8 million, in order to ensure the full functioning and additionalstaffing of the Agency.For theExternal Borders, Return, Visa Policy and Free Movement of Peopleactivity, the developmentof the Visa Information System (VIS) should be completed in mid 2011, leading to a constant level ofappropriations for 2011. The situation regarding the Schengen Information System (SIS II) depends on thetest results and the follow up decisions taken in 2010. In this regard, the Justice and Home Affairs (JHA)Council conclusions of 4-5 June 2009 confirmed support for continuing the project on the basis of the SIS IIsolution, subject to accomplishing two milestones, the results of which will require analysis. The amountproposed for SIS II in 2011 decreases to EUR 30 million. The appropriations for theFrontexagency wereconsiderably reinforced in the 2010 budget (EUR 83 million), in line with its growing tasks to developintegrated border management. It is proposed to allocate for 2011 an amount of EUR 78 million, as foreseenin the financial programming. Over and above this amount, EUR 3 million of assigned revenues stemmingfrom the recovery of the agency's 2009 surplus will be made available to Frontex35, leading to an overallfunding level in 2011 of EUR 81 million.The newAgency for the operational management of large scale JLS IT systemsshould be legallyestablished in January 201136. Awaiting the formal adoption of the basic act, the appropriations included inthe legislative financial statement (EUR 10,6 million) are put in reserve.Fundamental Rights and JusticeThis general programme is based on five specific programmes.The specific programmeFundamental Rights and Citizenshipwill promote the development of aEuropean society founded on the respect of the rights set out in the Charter of Fundamental Rights of theEU, the strengthening of civil society, and the fight against racism, xenophobia and anti-Semitism. For 2011it is proposed to keep the same level of appropriations (EUR 14,1 million) as for 2010. This level ofappropriations allows the Commission to meet its objectives in this matter and reflects the needs of theprogramme. In 2011, the Commission aims to focus actions on in the field of data protection and onchildren's rights.The programmeFight against Violence (Daphne III)promoting actions for the prevention of violenceagainst women and children, through support for NGOs, research bodies, and local authorities amounts toEUR 18 million in 2011. The appropriations for the programmeDrugs prevention and information(EUR 3 million) are intended for action aimed at preventing and reducing drug use and at promotingawareness.The specific programmesCivil Justice(EUR 16 million) andCriminal Justice(EUR 26,85 million) aim atthe promotion of cooperation between the different legal systems, improving contacts between the legal,judicial and administrative authorities of the Member States, and training members of the judiciary. Theslight variation is due to an increased volume of procurement actions which are linked to the developmentsin E-justice (further development of the portal and technical improvements).In addition, appropriations forEUROJUSTwill increase by 5 %, in order to enable the agency to carry outits new tasks as defined in the Decision of the Council of 16 December 2008 on the strengthening ofEurojust37. The new tasks aim at increasing the role of coordination of the agency (e.g. around the clockcontact centre) and cooperation between Member States (e.g. posting liaison magistrates in third countries).Security and Safeguarding LibertiesThere are two specific programmes in this strand.
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COM(2009)66, 18.2.2009.Over the financial year 2008, Frontex did not have a surplus to be recovered, which is why the full EU contribution in2010 of EUR 83 million has been entered in the 2010 budget as fresh appropriations.COM(2009)293, 24.6.2009.OJ L 121, 15.5.2009.
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The first programme,Prevention, Preparedness and Consequence Management of Terrorism(EUR 23,4 million, +14 %), aims to develop and monitor the implementation of tools and policies in thefield of fighting terrorism, including the reduction of chemical, biological, radiological and nuclear (CBRN)threats. In 2011, activities will focus more on the exchanges of experience and best practices between theMember States and between different organisations or bodies responsible for the protection of criticalinfrastructures.The second programme,Prevention of and Fight against Crime(EUR 109,6 million, +27 %) targets lawenforcement, cross-border cooperation, training and other exchanges among law enforcement officers, andthe protection of witnesses and victims. The priority actions to be implemented in 2011 will be: fight againsttrafficking in human beings, fight against child pornography, fight against cybercrime and illegal use of theinternet.In addition, theEuropean Police office (EUROPOL)operates as a Union agency from 2010; its aim is tohelp the EU Member States co-operate more closely and effectively in preventing and combating seriousinternational crime. A contribution of EUR 82,917 million is proposed in 2011, in line with the financialprogramming.
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3.5.
Citizenship: heading 3b
This heading contributes to numerous Europe 2020 strategy flagship initiatives including ‘youth on themove’, ‘an agenda for new skills and jobs’, ‘European platform against poverty’ and ‘innovative Union’. Inparticular this heading covers issues which are of key concern to the citizens of Europe, includinghealth,consumer protection,andcivil protection.The crucial task of reaching out to the citizens andcommunicating Europe also fall within this heading, through the funding ofcultural programmesand thepolicy areaCommunication.3.5.1.Summary table(in million EUR, at current prices)Budget2010CA668,0PA659,4FF2011CA683CA667,8Margin = 15,2Draft budget2011PA639,0CA0,0 %Difference2011 / 2010PA-3,1 %
The margin of heading 3b amounts to EUR 15,2 million, an increase compared to the margin foreseen for2011 in the January 2010 update of the financial programming (EUR 9,3 million). This net increase ofEUR 5,9 million stems mostly from lower than initially foreseen appropriations for the decentralisedagencies under this heading (see also section 4.1.1 below), as well as for administrative and technicalsupport expenditure (‘former BA lines’, see also section 4.2.2 below). In addition, a reduction ofappropriations of EUR 1,6 million as compared to the financial programming is proposed for the Civilprotection financial instrument, in light of past implementation and actual needs. On the other hand, anadditional amount of EUR 1,2 million as compared to the financial programming for 2011 is proposed forcommunication activities of the Representations, to remain in line with the 2010 budget. Finally, both forYouth in Action and for the European Year of Volunteering additional appropriations amounting toEUR 2 million are proposed, as set out below.
Fostering Europeanculture and diversity34,4%Ensuring access to basicgoods and services11,3%
Civil protection financialinstrument2,8%
Decentralised agencies18,8%Informing aboutEuropean policy andbetter connecting withcitizens13,9%
Other actions andprogrammes2,3%
Media 200716,5%
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Heading 3b: Citizenship(commitment appropriations)Ensuring access to basic goods and servicesFostering European culture and diversityCivil protection Financial instrumentInforming about European policy and better connecting with citizensMedia 2007Other actions and programmesDecentralised agenciesTotal
Draft budget2011EUR75 350 000229 634 00018 350 00093 685 000110 035 00015 660 000125 103 000667 817 000%11,3 %34,4 %2,8 %14,0 %16,5 %2,3 %18,7 %100,0 %
3.5.2.
Ensuring access to basic goods and services
Good healthis key to the well-being and quality of life of citizens as well as to economic growth andsustainable development. Investing in the good health of the population and prevention activities providesreal social and economic benefits. It also contributes to Europe’s competitiveness by enhancingproductivity, labour force participation and sustainable growth.With this in mind, theHealth Programme(with EUR 51,37 million in commitment appropriations in 2010and EUR 52,6 million proposed for 2011, or an increase of 2,4 %) aims to complement national policies,and to encourage co-operation between Member States, accession countries and international organisations.Its three main objectives are to improve citizens' health security, to improve health, and to generate anddisseminate health information and knowledge.With particular regard to health, the focus will be on health information and health security, such aspreparing for and counteracting emerging health threats. A further priority is to deal with safe productsincluding safe food and safe services, and furthering crisis preparedness and business continuity in case ofcrisis. Work will continue on a health strategy for Europe, including mental health issues.The overall goal ofconsumer policy(with EUR 21,92 million in commitment appropriations in 2010 andEUR 22,75 million proposed for 2011, or an increase of 3,8 %) is to contribute to the development of aninternal market where products and services are safe and where Consumers have an equally high level ofconfidence in products, traders, technologies and selling methods in markets throughout the EU, based onequally high levels of protection.The ongoing strengthening of consumer policy is a cornerstone in establishing citizen confidence in theinternal market. Implementation and better enforcement of existing legislation will continue to be a keyfeature, with an added emphasis on ensuring consistent, effective and coherent enforcement in all MemberStates.Specific objectives for consumer policy are a better understanding of consumers and the markets, betterconsumer protection regulation, better enforcement, monitoring and redress, and better informed, educatedand responsible consumers. This should be achieved by developing knowledge and evidence, cooperating inenforcement, market surveillance and product safety, consumer education, and capacity building forconsumer organisations.3.5.3.Fostering European culture and diversityFostering mutual understanding and a shared European identity is essential in a Union characterised bysocial and cultural diversity. Three programmes aim to support these objectives by developing links in thefields of culture, youth and citizenship.The programmeCulture 2007 – 2013has three specific objectives namely, the promotion of mobilityamong those working in the cultural sector, encouraging the circulation of art-work, and interculturaldialogue. The programme is also open to candidate and potential candidate countries. Actions in this areaaim both to support policy modernisation, and to encourage networking among actors with a view to
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developing innovative approaches and techniques. In this framework, the role of the creative industries incontributing both to cultural objectives and to economic growth should be addressed. With EUR 57 millionproposed in 2011, this represents an increase by 6,3 % compared to 2010.TheYouth in Actionprogramme aims at promoting active citizenship among the young, and theirEuropean citizenship in particular. It includes the European Voluntary Service, which aims at boostingyoung people's participation in various forms of voluntary activities, as well as a grant to the EuropeanYouth Forum. Further actions will encourage networking between youth workers and NGOs.On 11 July 2007, the Commission adopted the White Paper onSport38, which is the first comprehensivepolicy document of the Commission in this area. In line with this, the 2011 will see the continuation of apreparatory action in the field of sport into its third year.Dialogue with the EU citizens and fostering civic participation is sought through two main strategies –directly involving citizens with the EU institutions through traineeships and visits, and co-funding projectsby civil society through calls for proposals. At the heart of the objective to foster European citizenship is theEurope for Citizensprogramme, which includes the support to civil society and a variety of organisationspromoting the European interest, as well as town-twinning and other activities directly involving citizens,support to various civil-society organisations promoting the European idea, as well as European bodies andthink tanks.Building on the preparatory action undertaken in 2010, theEuropean Year of Volunteeringwill belaunched in 2011 with a requested budget of EUR 8 million. This will create an enabling environment forvolunteering and promote better recognition of the value of volunteering in Europe.In addition to these programmes, theMedia 2007programme (EUR 104 million in 2011, or an increase of2,6 % compared to 2010) has as its objectives, the preservation and enhancement of European culturaldiversity and its cinematographic and audiovisual heritage, guaranteeing its accessibility for Europeancitizens and promoting intercultural dialogue, increasing the circulation of European audiovisual worksinside and outside the Union, and strengthening the competitiveness of the European audiovisual sector inthe framework of an open and competitive market.
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3.6.3.6.1.
EU as a global player: heading 4Summary table(in million EUR, at current prices, including the Emergency Aid Reserve)Budget2010CAPA7 787,7FF2011CA8 430CA8 613,5Margin = 70,3Draft budget2011PA7 601,8CA5,6 %Difference2011 / 2010PA-2,4%
8 160,2
The margin of heading 4 amounts to EUR 70,3 million39, a decrease compared to the margin foreseen for2011 in the January 2010 update of the financial programming (EUR 128,1 million). The reasons for this netdecrease of EUR 57,8 million are set out in section 3.6.2 below.The commitment appropriations requested in the 2011 DB increase by 5,6 % compared to the 2010 budget.The total amount of payment appropriations requested is 2,4 % lower compared to 2010 since outstandingcommitments (the so-called ‘RAL’,reste à liquider)on ‘completion’ lines have diminished substantially.
Instrument for Pre-Accession Assist ance(IPA)21,0%
European Neighbourhoodand PartnershipInstrument (ENPI)20,1%
DevelopmentCooperation Instrument(DCI)30,2%
Ot her actions andprogrammes (includingdecentralised agencies)3,8%Emergency Aid Reserve3,0%Common Foreign andSecurity Policy (CFSP)3,8%
Indust rialised CountriesInstrument (ICI)0,8%Democracy and HumanRights (EIDHR)1,9%Instrument for Stability3,4%Instrument for NuclearSafety Cooperation(INSC)0,9%
Humanitarian aid9,7%
Macro FinancialAssistance1,4%
39
As provided for in the IIA of May 2006, the margin of heading 4 does not take into account the appropriations related tothe Emergency Aid Reserve (in 2011: EUR 253,9 million at current prices).
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Heading 4: EU as a global player(commitment appropriations)Instrument for Pre-Accession Assistance (IPA)European Neighbourhood and Partnership Instrument (ENPI)Development Cooperation Instrument (DCI)Industrialised Countries Instrument (ICI)Democracy and Human Rights (EIDHR)Instrument for StabilityInstrument for Nuclear Safety Cooperation (INSC)Humanitarian AidMacro Financial AssistanceCommon Foreign and Security Policy (CFSP)Emergency Aid ReserveOther actions and programmes (including decentralised agencies)Total
Draft budget2011EUR1 796 793 0001 729 526 0002 613 762 24070 640 000163 113 000290 188 00075 813 000824 693 000114 868 567327 374 000253 860 000352 898 5708 613 529 377%20,9 %20,1 %30,3 %0,8 %1,9 %3,4 %0,9 %9,6 %1,3 %3,8 %2,9 %4,1 %100,0 %
3.6.2.
Introduction
The main legislative instruments which underpin the core external relations policies are the Pre-accessionAssistance Instrument (IPA), the European Neighbourhood and Partnership Instrument (ENPI), theDevelopment Cooperation Instrument (DCI), the Instrument for Cooperation with Industrialised and otherHigh-income Countries (ICI) and the European Instrument for Democracy and Human Rights (EIDHR).These main geographic and ‘policy-driven’ financing instruments are complemented by instrumentsdesigned to address specific needs and in particular to provide a response to crisis situations: the Instrumentfor Stability (IfS), the Instrument for Nuclear Safety Cooperation (INSC), the Civil Protection FinancialInstrument (CPFI), Humanitarian Aid, Macro-Financial Assistance (MFA), and the Common Foreign andSecurity Policy (CFSP).The Mid-Term Review of the external aid instruments40carried out in 2009 confirmed that the Regulationshave thus far provided a reliable and well functioning legal and policy framework for activities under thestrategic priority of the ‘EU as a global player’. Innovative mechanisms, such as cross-border cooperationhave also shown their added value. In 2011 implementation of almost all programmes is expected tocontinue to proceed at cruising speed.In line with the financial framework 2007-2013, the DB 2011 on the whole continues to respect the profileof the multiannual financial envelopes of the respective instruments. However, a number of deviations fromthe indicative financial programming are highlighted below:–EUR 65 million are proposed as follow up to the Copenhagen Accord reached in December 2009.This amount, which reinforces the ‘Environment and Sustainable Management of NaturalResources’ (ENRTP) thematic programme within the DCI, will finance measures for adaptation,mitigation and technology transfer in the Least Developed Countries and emerging economies.EUR 43 million are proposed for the financing of the Banana Accompanying Measures (BAM) infavour of the main ACP banana supplying countries affected by the Most Favoured Nation (MFN)liberalisation in the framework of the World Trade Organisation (WTO), following the proposal ofamending the DCI Regulation (EC) No 1905/200641. Of this amount, EUR 25 million stem fromthe margin of heading 4, EUR 13 million from redeployment within the DCI programme andEUR 5 million from redeployment from the Civil Protection Financial Instrument.COM(2009)196, 21.4.2009.COM(2010)102, 17.3.2010.
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EUR 25 million are proposed to continue to support the Turkish Cypriot Community.EUR 20 million are proposed to meet the continued needs of the Palestinian population, afterrepeated reinforcements in previous years. Further support to the Middle East Peace Process, toUNWRA and to socio-economic development in the occupied Palestinian Territories will continueto be provided under other external aid instruments as well.EUR 15 million are proposed in order to strengthen the Union's contribution to the Global Fund toFight Aids Tuberculosis and Malaria, in view of the Millennium Development Goals.EUR 5 million are proposed to continue the ‘Baltic Sea strategy’, under the EuropeanNeighbourhood and Partnership financial cooperation with Eastern Europe (budget item 19 08 0103). In addition to this amount, EUR 6 million will be carried over from 2010 from budget item 1908 02 03 (‘EU Baltic Sea strategy’).In order to start preparatory work for setting up a European Voluntary Humanitarian Aid Corps asstipulated in art. 214 (5) of the Lisbon Treaty, the creation of a new budget line is proposed inpolicy area 23 Humanitarian Aid, with an amount of EUR 1 million.Appropriations under the Instrument for Cooperation with Industrialised Countries (ICI) areproposed to be increased by EUR 1 million compared to the financial programming in order to stepup bilateral cooperation in the fields of mutual recognition of diploma and mobility with countriessuch as Australia, South Korea and Japan.The provisioning of the Guarantee Fund for external actions, on the other hand, is set atEUR 138,9 million, i.e. lower than originally foreseen in the financial programming for 2011. As aresult of the introduction of the new provisioning mechanism and the accession of new MemberStates, the Guarantee Fund was exceptionally in surplus at the beginning of the period 2007-2013.However, the budgetary needs to finance the Guarantee Fund are expected to grow strongly untilthe end of the present financial framework for the two following reasons: the EIB netdisbursements are expected to increase and the financial and economic crisis has triggeredincreases in requests by third countries for macro financial assistance. Therefore savings observedin 2007-2011 cannot be extrapolated over the next years, and it cannot be excluded that in 2012 or2013 the appropriations programmed (EUR 200 million per year) may be insufficient.Policy-driven instruments
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3.6.3.
The key action envisaged for 2011 is the on-going intensification of the bilateral, regional and thematicprogrammes on the basis of theInstrument for Pre-accession Assistance(IPA),EuropeanNeighbourhood and Partnership Instrument(ENPI),Development Cooperation instrument(DCI),Cooperation with industrialised and high income countries(ICI)and the European Instrument forDemocracy and Human Rights(EIDHR). Tackling the challenges of climate change has been identified asa key area of intervention in the Mid-term review of most external aid instruments. As they do not appearexplicitly in the budget nomenclature, it should be underlined that enhanced efforts to address the causesand consequences of climate change in third countries will be financed increasingly through fundscommitted under the Annual Action Plans of the geographical instruments.3.6.3.1. Helping candidate and potential candidate countries (IPA)The EU continues to prepare future enlargements. Accession negotiations are ongoing with Croatia andTurkey; the former Yugoslav Republic of Macedonia has candidate status; other Western Balkan countriesare potential candidates. In July 2009, Iceland presented its application for membership of the EuropeanUnion. In February 2010, upon the Council’s request, the Commission delivered its opinion on Iceland’sapplication. The opinion recommended the award of candidate status and the opening of accessionnegotiations. The participation of Iceland in the IPA programme will be budget neutral through internalredeployments within the IPA financial envelope. The Commission is currently preparing its opinion onMontenegro’s and Albania’s applications for membership.
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Key milestones for the year 2011 include the possible conclusion of accession negotiations with Croatiaunless achieved earlier. Other milestones are progress with the accession negotiations with Turkey, andadvances with possible accession negotiations with Iceland. The Commission has recommended startingaccession negotiations with the former Yugoslav Republic of Macedonia. If launched, accessionnegotiations could enter into a fully operational phase in 2011. With respect to Turkey, accessionnegotiations will proceed, and might gain a new momentum following a comprehensive settlement of theCyprus issue; a positive development would allow for the opening of more new negotiation chapters as wellas closing of other chapters which will require a new impetus for reform.In 2011 further progress is expected in the Western Balkans towards the region’s European future. TheStabilisation and Association Agreements (SAAs) with the Western Balkan countries are at different stagesof the ratification and implementation process; for certain countries this is likely to run into 2011. Theimplementation of Stabilisation and Association Agreements is essential for promoting the necessaryreforms in the countries and also preparing them for future membership. This will require a large effort fromthe Commission in providing policy guidance and assistance and in working closely with the otherinternational stakeholders. The Commission is likely to be requested by the Council to present an opinion onSerbia's EU membership application in 2011 at the latest. The Commission will continue implementingmeasures to promote Kosovo’s political and socio-economic development. This follows on major EUfinancial efforts provided to Kosovo since 2008 with additional appropriations under IPA to secure the EU’sengagement in Kosovo.Since 1 January 2007, pre-accession assistance is provided on the basis of theInstrument for Pre-accession Assistance(IPA), which has replaced a range of former instruments (PHARE, ISPA, SAPARD,CARDS, Turkey instrument). Under IPA, pre-accession assistance is available to candidate countries andpotential candidates. The instrument addresses the need for a flexible approach in order to accommodatenew priorities quickly. It covers transition assistance and institution-building, cross-border cooperation,regional development, human resources development and rural development. The last three components areaccessible only to recognised candidate countries as preparation for the Structural and Cohesion Funds andfor the European Agricultural Fund for Rural Development. They are budgeted under their respective policyareas i.e. Enlargement, Regional Policy, Employment and Social Affairs and Agriculture and RuralDevelopment.The IPA envelope has been budgeted between the different components according to the multi-annualindicative financial framework (MIFF) presented to the European Parliament and the Council in October2009 with the Commission’s annual enlargement package, in line with article 5 of the IPA Regulation. TheMIFF will be modified in November 2010 to take into account the likely inclusion of Iceland as abeneficiary country under IPA.Summary of IPA commitment appropriations in 2011 (in million EUR, at current prices):Transition and Institution Building AssistanceRegional and cross border cooperation (including ERDF)Regional DevelopmentHuman Resources developmentRural DevelopmentMulti-Beneficiary ProgrammesSupport expenditure, including subsidy to the EAC Executive AgencyTOTAL78470391103215182521 797
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3.6.3.2. Support to the Turkish Cypriot CommunityThere is a need to continue the support to the Turkish Cypriot community in order to bring it closer to theEuropean Union and to prepare for reunification of the island. The funds proposed in the budget(EUR 25 millions) are to be used, in particular, for grant schemes addressed to a large variety ofbeneficiaries within the civil society of the community: NGOs, students and teachers, schools, farmers,small villages, SMEs. These activities are reunification driven. Priority should be given, where possible, toreconciliation projects which create bridges between the two communities and build confidence. Thesemeasures underline the strong desire and commitment of the EU to a Cyprus settlement and reunification.3.6.3.3. Working together with neighbours (ENPI)In 2011 the Commission will pursue its efforts to create an area of peace, stability and prosperity betweenthe EU and its neighbours through the development of the partnerships in the context of the EuropeanNeighbourhood Policy (ENP). The activities in 2011 will be based on the new ENPI Multi-AnnualIndicative Programmes for the period 2011 to 2013. The relationship between the EU and the RussianFederation is distinct from the ENP and is covered by a wide-ranging strategic partnership expressedthrough the Common Spaces.Financial assistance is delivered through theEuropean Neighbourhood and Partnership Instrument(ENPI)which covers the countries targeted by the European Neighbourhood Policy i.e. the countries of thesouth and eastern Mediterranean, including occupied Palestinian Territory as well as Ukraine, the Republicof Moldova and Belarus, and the countries of the southern Caucasus. This instrument also supports thestrategic partnership with the Russian Federation.2011 will be the second full year of implementation of the enhancedEastern Partnership42, that will bringabout a significant strengthening of EU policy with regard to its Eastern partners by seeking to create thenecessary conditions for political association and further economic integration between the European Unionand its Eastern partners through the development of a specific Eastern dimension of the EuropeanNeighbourhood Policy. To achieve this, the Eastern Partnership seeks to support political and socio-economic reforms, facilitating approximation and convergence towards the European Union. Work on newAssociation Agreements and Comprehensive and Deep Free Trade Agreements will continue. The recentlylaunched Comprehensive Institution Building Programme initiative (a medium term planning andimplementation framework to promote institution building in the Eastern partner countries) and thenegotiations on the contractual modalities allowing the partner countries to participate in EU spendingprogrammes are concrete cases in point. In the same vein, the Eastern Partnership will help to build trustand develop closer ties among the six Eastern partners themselves. In the 2011 Draft Budget, theCommission proposes a reinforcement of the funding of the cooperation with Eastern Europe, and inparticular in view of the ‘Baltic Sea strategy’, of EUR 5 million, as compared to the financial programmingfor 2011.With regard to the Mediterranean region, in complement to the ENP, the EU pursues its objectives withinthe overall framework provided by theUnion for the Mediterraneanlaunched in Paris on 13 July 2008.While preserving theacquisof the Barcelona Process, the Union for the Mediterranean aims to reinforce along established partnership, offering more balanced governance of the process, increased visibility, as wellas stronger focus on projects promoting intra- and interregional cooperation. In March 2010 the permanentsecretariat has taken up work in Barcelona. The first flagship projects should soon be launched.The assistance and financial cooperation with the Neighbourhood is disbursed through four channels,namely: (i) country-specific programmes, (ii) inter-regional and regional programmes, (iii) two thematicfacilities (the Neighbourhood Investment Fund and the Governance Facility), and (iv) a cross-bordercooperation component. The latter is a specific feature under the ENPI, which will be implemented in theform of joint programmes bringing together regions of Member States and partner countries sharing acommon border. After complex multilateral negotiations, the programming and implementation of the crossborder co-operation has reached cruising speed in 2010. The ENPI countries will benefit also from the funds42
Commission Communication COM(2008)823, and Declaration of the European Council of 20.3.2009.
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under the thematic programmes covered by the Development Cooperation Instrument (DCI – see below) forwhich a part of the respective envelopes is set aside, in particular within the migration and asylumprogramme.Actions are guided by the insights of regular country specific and sectoral progress reports which identifypolicy fields of promising and successful cooperation as well as areas where efforts might still be intensifiedon the side of the EU. Issues of migration, education, energy and climate change and the furtherdevelopment of financial instruments in particular will remain in the focus of attention.The Middle East Peace Process (MEPP) will continue to require significant financial resources. Through itspolitical interventions, notably its membership of the Quartet, the EU will continue to push for acomprehensive solution to the MEPP making full use of the opportunities provided for by the newinstitutional set up under the Treaty of Lisbon. The Commission will continue to focus assistance onPalestinian state-building and to deliver aid to occupied Palestinian Territory as well as to the reconstructionefforts in Gaza. Nevertheless, the exceptionally high allocations of previous years cannot be maintainedwithout jeopardising the funding for other countries in the region at a time when the EU is in a process ofupgrading relations with many of them. At the more sustainable level of EUR 200 million as proposed for2011, which includes EUR 20 million from the margin under heading 4, the occupied Palestinian Territorywill remain the largest ENPI aid recipient in per capita terms. The Commission will also endeavour to helpunblock access to other sources of income for the Palestinian National Authority, such as revenues fromcustoms clearance which are currently unavailable due to the Israeli blockade. Progress on that front and anincrease of contributions from other donors are required to adequately support the implementation of thePalestinian National Plan (2011-2013). The Commission will keep developments under close review. Whilebudgetary possibilities of further topping up the ENPI envelope are thus becoming increasingly scarce, itshould be stressed that the urgent and emergency needs can and will also be accommodated by drawing on avariety of other, complementary external aid instruments as well as multi-country and regional programmes.The commitment appropriations for the European Neighbourhood Policy and the cooperation with Russia in2011 amounts to EUR 1 730 million in total, including the proposed reinforcement of EUR 20 million forthe «Middle East Peace Process» and EUR 5 million for the ‘Baltic Sea strategy’.Summary of ENPI commitment appropriations by components and programmes (in million EUR, at currentprices):Mediterranean countriesPalestine and the peace processEastern EuropeCross border cooperation (contribution from Heading 4)Support expenditureTOTAL84320055584481 730
3.6.3.4. Tackling poverty in developing countriesTheDevelopment Cooperation Instrument(DCI)The Development Cooperation Instrument (DCI) is endowed with the largest financial envelope of the EUinstruments in the area of External Actions.The overall goal of the instrument is the eradication of poverty in partner countries and regions in thecontext of sustainable development, including pursuit of the Millennium Development Goals (MDGs), aswell as the promotion of democracy, good governance and respect for human rights and for the rule of law.The DCI has proven to be an instrument able to respond to the objectives set in terms of coherence,effectiveness and efficiency regarding the development cooperation. The DCI includes geographic andthematic programmes and is composed of three main components to which a fourth new one is proposed tobe added.The first component is to provide assistance to South Africa and 47 developing countries in Latin America,Asia and Central Asia, and the Middle East (Iraq, Iran and Yemen). The second component supports therestructuring of sugar production in 18 ACP countries. The third component is to run five thematicprogrammes: investing in people, environment and sustainable management of natural resources includingenergy, non-state actors and local authorities in development, food security, as well as migration and
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asylum. The fourth component is related to the amendment proposed for the Banana AccompanyingMeasures (BAM) in favour of the main ACP banana supplying countries affected by the Most FavouredNation (MFN) liberalisation in the framework of the World Trade Organisation (WTO).The five thematic programmes support actions in all developing countries, including those covered by ENPIand the European Development Fund (EDF) and should provide distinctive added value and complementprogrammes of a geographic nature, which constitute the main framework for EU cooperation with thirdcountries. The thematic programmes encompass a specific area of activity of interest to a group of partnercountries not determined by geography, or cooperation activities addressed to various regions or groups ofpartner countries, or an international operation that is not geographically specific.The requested level of financial assistance for 2011 is in line with the co-decided envelopes as fixed in theRegulation, the proposed amendment and the updated financial programming of January 2010.The reinforcements proposed vis-à-vis the financial programming are related to ‘Fast Start Funding forClimate Change Action’, the «Global Fund to Fight Aids, Tuberculosis and Malaria» and to the ‘BananaAccompanying Measures’, as set out below.The Commission considers climate change to be one of its key priorities and therefore proposes areinforcement of EUR 65 million intended as a follow up to the Copenhagen Accord reached Of thisamount, EUR 50 million relates to the pledge made at the European Council in December 2009, half ofwhich will be used to support climate adaptation measures (through support to the «Global Climate ChangeAlliance») and half for mitigation (e.g. Low Emissions Development Strategies; Monitoring, Reporting andVerification of greenhouse gases emissions; Capacity building to participate in carbon market-basedmechanisms; Technology cooperation; Capacity building to reduce emissions from deforestation and forestdegradation – REDD). In so far as this pledge of EUR 50 million is above the level programmed for thethematic ENRTP line, the reinforcement for ‘Fast-Start’ funding provides new and additional resourcescompared to budgeted and programmed official development aid in line with the agreement reached inCopenhagen. Moreover, within the same programme an additional amount of EUR 15 million is proposed toconsolidate the support to the Global Climate Change Alliance, in order to increase the resilience to climatechange of poor and vulnerable countries.Furthermore, the Commission proposes an amount of EUR 43 million for the financing of the 2011 trancheof the Banana Accompanying Measures (EUR 25 million from the margin of heading 4, EUR 13 millionfrom redeployment within the DCI, and EUR 5 million from the Civil Protection Financial Instrument).Finally, the Commission proposes to reinforce the Union's contribution to the Global Fund to Fight Aids,Tuberculosis and Malaria by EUR 15 million, over and above the EUR 50 million already foreseen in thefinancial programming for 2011.
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Summary of DCI commitment appropriations by components and programmes (in million EUR, at currentprices):Latin AmericaAsiaCentral AsiaCooperation with Iraq, Iran and YemenSouth AfricaHuman and social developmentEnvironment and sustainable management of natural resources, including energyNon-state actors in developmentFood securityCooperation with third countries in the areas of migration and asylumAdjustment support for sugar protocol countriesBanana Accompanying Measures (BAM)Support expenditureTOTAL3637291073913816819923024254197431042 613
3.6.3.5. Financing Instrument for cooperation with industrialised and other high income countries andterritories (ICI)Cooperation with these countries is an important factor in strengthening the Union's role and place in theworld, in consolidating multilateral institutions and in contributing to a balanced development of the worldeconomy. The overarching objectives for 2011 are the management and development of the existingframeworks for bilateral relations with the EU's main industrialised partners and high income countries, theenhancement of the EU economic interests through economic cooperation and business promotion activities,as well as to advance EU interests on key policies issues such as security, energy and climate change. It alsoincludes the facilitation of people-to-people exchanges through educational, scientific and academiccontacts. Particular attention will also be given to bilateral cooperation in the fields of mutual recognition ofdiploma and mobility with countries such as Australia, South Korea and Japan. The envelope for 2011amounts to EUR 25,6 million.The Mid-Term Review of the external action financial instruments has identified an ‘eligibility gap’ for theso-called Non-ODA activities (non Official Development Assistance) in DCI countries and that normallyshould fall under the activities covered by the ICI instrument. The Commission has thus proposed43toextend the scope of the ICI instrument to the DCI countries in order to give a legislative follow up to thepreparatory actions (business and scientific exchanges with India, China and cooperation with MiddleIncome Countries in Asia and Latin America) and over actions formerly financed under DCI or frompreparatory actions. The new legal basis is expected to be adopted in 2010. The envelope linked to theextension of the ICI instrument amounts to EUR 45 million in 2011. The total amount of commitmentappropriations requested for 2011 is therefore set at EUR 70,6 million, including support expenditure.3.6.3.6. European Instrument for Democracy and Human Rights (EIDHR)Assistance under this instrument is meant to complement the various other tools for the implementation ofEU policies on democracy and human rights, which range from political dialogue and diplomatic efforts tovarious instruments of financial and technical cooperation, including both geographic and thematicprogrammes, as well as crisis-related interventions of the Instrument for Stability. This instrument reflectsthe high political profile and specific Treaty mandates relating to the development and consolidation ofdemocracy and the rule of law, and respect for human rights and fundamental freedoms. It addresses global,regional, national and local human rights and democratisation issues mainly in partnership with civil societyand independently from the consent of third countries' government and other public authorities. Thisindependence facilitates cooperation with civil society and interventions at international level which areneither geographically linked nor crisis related, and which require a trans-national approach.43
COM(2009)197, 22.4.2009.
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The funding for democracy and human rights measures included under this activity will contribute toattaining three specific policy objectives, namely:1.2.3.to promote democracy and human rights through the support to civil society and to victims ofhuman rights abuses;to promote democracy and human rights through support to multilateral action and existinginternational frameworks, and;to build confidence in and to enhance the reliability and transparency of democratic electoralprocesses through deployment of European Union Election Observation Missions (EU EOMs).Specific instruments responding to crises
The requested level of commitment appropriations for 2011 is set at EUR 163,1 million.3.6.4.3.6.4.1. The Instrument for Stability (IfS) and Instrument for Nuclear Safety Cooperation (INSC)The Instrument for Stability (IfS) consists of two components: while the first part is intended to provideadequate response to instability and crisis, the second part is planned to address longer term challenges withstability or security aspects.The geographical distribution of IfS support for crises (first part of IfS) in 2011 will likely remain similar tothe first three years of implementation, during which a total amount of around EUR 350 million has beenmobilised for nearly 100 individual actions worldwide. The main share of support was provided in Africa(mainly Democratic Republic of Congo, Central African Republic, Chad, Zimbabwe, Somalia – around25 %), followed by actions in Asia (mainly Pakistan, Sri Lanka, Nepal – around 20 %), the Middle East(Lebanon, Palestine, refugees in Syria – 18 %), Kosovo and Georgia. Apart from crisis response, the firstpart of IfS will also support measures aiming at increasing crisis preparedness, the so-called Peace-buildingPartnership. The Commission will also continue to be active in the Kimberley Process, addressing the issueof conflict resources such as diamonds.In the context of stable conditions, the second part of IfS will continue financing the Expert Support Facility(ESF) and providing support for tackling trafficking of firearms, light arms as well as drugs, fight againstorganised crime and counter-terrorism. It will also continue providing support to alternative employment offormer weapon scientists and engineers through International Science and Technology Centres in Moscow,Russia (ISTC) and the Science and Technology Centre in Kiev, Ukraine (STCU). Strengthening of civiliancapabilities and exchange of information to fight illicit trafficking of chemical, biological, radiological andnuclear (CBRN) materials and export controls of dual-use goods will also maintain on the list of long-termpriorities. In addition, it is foreseen to establish CBRN Centres of Excellence in ASEAN and Middle Eastregions and potentially in Sub-Saharan Africa, depending on the assessment of needs.At the centre of intervention of the Instrument for Nuclear Safety Cooperation (INSC) in 2011 will remainthe promotion of an effective nuclear safety culture. The support for regulatory bodies and to the effectivesafety culture in nuclear operations as well as safe treatment and disposal of spent nuclear fuel andradioactive waste will be key components of the EU action in partner countries (the major beneficiaries sofar have been Russia and Ukraine and to a lesser extent Kazakhstan and Armenia). Another importantactivity remains development and implementation of strategies for decommissioning of existing installationsand the remediation of former nuclear sites. In 2009 exploratory missions have been conducted in newcountries and regions (e.g. Brazil, Argentina and South East Asia), which might lead to new projects in2011. In addition to these activities, around 30 % of the INSC appropriations will be allocated to theChernobyl Shelter Fund (CSF). The EU is a major donor to the CSF, with a contribution of someEUR 250 million since 1997. Taking into account the rising needs for continuation, the EU will have toassume its role in the future with additional funds above the average of the previous years.The requested funding in 2011 amounts to EUR 290,2 million for the Instrument for Stability andEUR 75,8 million for the Instrument for Nuclear Safety Cooperation. These amounts are broken down bycomponents and programmes as follows (in million EUR, at current prices):Crisis response and preparedness203
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Actions in the area of non-proliferation of weapons of mass destructionTrans-regional actions in the areas of organised crime, trafficking, protection of critical infrastructure and threats topublic health and fight against terrorismAssistance in the nuclear sectorSupport expenditureTOTAL
4930759366
3.6.4.2. The Humanitarian Aid Instrument and the Civil Protection Financial Instrument (CPFI)In 2011 humanitarian aid activities will continue to fund assistance in forgotten and complex crisissituations in the most vulnerable countries (especially in Africa), as well as to provide aid to regionsaffected by the consequences of natural disasters such as cyclones/hurricanes, droughts, earthquakes, floodsor extreme cold. Based on the evaluation of needs by experts in the field and taking into account the figuresof the Global Needs Assessment, around 85 % of the funding is planned to be allocated to the high priorityareas (such as Sudan, Chad and other countries of Central Africa and Horn of Africa as well as number ofcountries from Asia, Latin America, Pacific and Caribbean regions). Around 12 % will be traditionallyallocated to forgotten crises, where the media and donor attention is lacking and where the EU remains themost important, if not the only donor. Part of the budget will continue being allocated to efforts in the areaof disaster preparedness and response capacity of the countries and regions vulnerable to natural disasterssuch as floods/landslides, drought, earthquakes, tsunamis, cyclones and forest fires. Ensuring a rapid,efficient and effective delivery of humanitarian food will continue being crucial for saving and preservinglives of most severely affected populations, especially since the consequences of the food crisis that had itspeak in 2008 will have an impact on those populations for a number of years. Only in 2009, additionalEUR 95 million had to be mobilised from the Emergency Aid Reserve (EAR) in order to respond to a verycritical situation in Horn of Africa and in Pakistan.The proposed level of commitments in 2011 is set at EUR 824,7 million.The Civil Protection Financial Instrument (CPFI) aims at helping Member States to ensure a rapid, cost-effective and efficient mobilisation of European civil protection assistance in any type of major emergencyin third countries. In 2009 the EU provided civil protection assistance in 14 third countries mostly affectedby natural disasters (e.g. Fiji, Namibia, Tajikistan, Benin, Indonesia). However, compared to the initialamount of appropriations, the implementation rate remained very low (similarly to previous 2 years) andtherefore the Commission proposes to adapt the foreseen amount for 2011 to a level corresponding to theimplementation rate. In case of need, the Commission will endeavour to identify all the possibilitiesavailable for additional funding.The proposed level of commitments in 2011 is set at EUR 4,0 million.3.6.4.3. Macro Financial AssistanceMacro Financial Assistanceis an instrument for economic stabilisation and a driver for structural reformsin the beneficiary third countries. The speeding up of reforms in neighbouring countries in line with theneighbourhood policy, and the adjustment and reform efforts of candidate and potential candidate countriesduring the pre-accession period will entail financial implications for these countries. The consequences ofthe global financial and economic crisis are expected to continue to foster requests by third countries formacro-economic assistance, as was the case in 2009. In 2009, EUR 35 million were provided to Armeniaand EUR 46 million to Georgia under the grant component.The proposed level of commitments in 2011 is set at EUR 114,9 million.3.6.5.Common Foreign and Security Policy (CFSP)Activities in the area ofCommon Foreign and Security Policy(CFSP) will continue with an increasedbudget in line with the financial framework 2007-2013. The bulk of the 2011 resources is expected to beused to finance the European Security and Defence Policy (ESDP) operation EULEX in Kosovo, which isnow established with around 3 000 staff and fully operational. In line with the EU political and securitypriorities, the police mission in Afghanistan (EUPOL) will aim at increasing the number of staff (from 270up to 400) in order to continue to be active in the capital and in a number of provinces (training and
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coaching Afghan police forces). The budget allocated to this mission will need to be increasedproportionally to the increase of staff (to EUR 48 million). Following the successful deployment of the EUMonitoring Mission (EUMM) in Georgia, it is foreseen to continue at its current strength with an amountcomparable to 2010 (EUR 30 million). The EU will still have to assure its international role in conflictresolution and stabilisation activities in Middle East, Africa and other difficult regions of the globe, as wellas play its active role in the area of non-proliferation of weapons of mass destruction (WMD) and smallarms and light weapons (SALW).The proposed level of commitment appropriations in 2011 is EUR 327,4 million, an increase of nearlyEUR 46 million compared to budget 2010, in line with the financial programming.3.6.6.Guarantee Fund for External ActionsUnder the current financial framework, the resources for the provisioning of the Guarantee Fund forExternal Actions are budgeted directly under Heading 4 in the regular annual budget procedure. Followingthe adoption of the new provisioning mechanism, a provisioning of EUR 138,9 million is requested for2011.3.6.7.Emergency Aid Reserve (EAR)The Emergency Aid Reserve is financed outside of the multiannual financial framework and will be calledon to provide a rapid response to specific aid requirements of non-member countries following unforeseenevents only if the need arises during the year. It will be made available, first and foremost for humanitarianpurposes, but also for civil crisis management and protection where circumstances so require. In the lastthree years the request of budgetary reinforcement for humanitarian and crisis purposes has been on averagearound EUR 125 million per year (excluding the effect of the ‘Food Facility’). Most of the mobilisedamounts (EUR 272 million) have been used for financing Humanitarian and Food Aid in the most affectedcountries following the food crisis starting in 2008 and continuing in 2009. An extremely serioushumanitarian situation following the earthquake that struck Haiti in early 2010 required an extraordinaryeffort (EUR 112 million).The proposed level of EAR commitment appropriations for 2011 is EUR 253,9 million. Taking into accountthe unpredictability of the crises and at the same time to ensure the Commission's capacity to respondrapidly to any urgent crisis a sufficient level of payment appropriations needs to be assured. Given that theCommission in general makes a pre-financing payment of around 80 % at the start of the humanitarianoperations, it is proposed to set the level of payment appropriations at 80 % of the level of commitmentappropriations.
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3.7.3.7.1.
Administration: heading 5Summary table
Total expenditure for administration for all Institutions in 2011 is estimated at EUR 8 266,6 million, leavinga margin of EUR 149,4 million.(in million EUR, at current prices)Budget2010AppropriationsCommissionOther institutionsPensions (all institutions)European schoolsTotal expenditure heading 53 604,62 957,41 192,8154,27 909,08 334Margin = 149,4FF2011AppropriationsDraft budget2011Appropriations3 709,03 109,11 275,0173,58 266,6Difference2011-2010Appropriations104,4151,882,219,3357,7%2,9 %5,1 %6,9 %12,5 %4,5 %
The calculation of the margin includes an amount of EUR 82 million related to staff contributions to thepension scheme44.The share of the estimated expenditure is the following:
European schools2,1%Pensions (allinst it ut ions)15,4%
Commission44,8%
Ot her institutions37,7%
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Footnote (1) in the multiannual financial framework 2007-13 table annexed to the Interinstitutional Agreement of 17May 2006 on budgetary discipline and sound financial management, OJ C 139 of 14.6.2006, states that: "Theexpenditure on pensions included under the ceiling for heading 5 is calculated net of the staff contributions to therelevant scheme, within the limit of EUR 500 million at 2004 prices for the period 2007-13".
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Heading 5: Administration(commitment appropriations)CommissionOther institutionsPensions (all institutions)European schoolsTotal
Draft budget2011EUR3 709 15 0003 109 135 9291 274 979 000173 514 000%44,9 %37,6 %15,4 %2,1 %
8 266 156 929 8 266 644 929
3.7.2.
Specificities of heading 5
Heading 5 covers the administrative expenditure of all Institutions. The total level of appropriations requiredfor 2011 as calculated above is based on the sum of the Institutions' individual draft statement of estimatesas they currently stand45. The individual draft estimates take into account the additional needs related withthe entry into force of the Lisbon Treaty, notably as regards the Parliament, the Council, the EuropeanEconomic and Social Committee and the Committee of the Regions. The additional needs for theseInstitutions for 2011 build on the needs that have already been identified for the 2010 financial year, inAmending Letter 3/2010 (Council), Draft Amending Budget 1/2010 (Parliament) and Draft AmendingBudget 2/2010 (European Economic and Social Committee and Committee of the Regions), respectively.The margin left under the ceiling is expected to be sufficient to cover the foreseen needs for 2011. It isimportant to emphasise that an adequate margin is necessary to cater for possible variations of the annualpay and pension adaptations and deviations from the fixed 2 % deflator, as explained in more detail below.This section presents the expenditure requests for which the Commission is directly responsible(Commission, Offices, pensions and European schools). Explanations for the requests of the otherInstitutions are provided directly by the Institutions concerned, in their respective draft statements ofestimates.As a specific case at this point in time, the Commission's Draft Budget has been drawn up without prejudiceto the creation of the European External Action Service (EEAS). In other words, the Commissionappropriations and personnel which will become part of the EEAS are included in the Commission request.At a later stage, once the EEAS is established and the relevant budget section is created, the relevant postsand appropriations are expected to be transferred from the Commission's and Council's through anAmending Letter to the 2011 Draft Budget. As the creation of the EEAS may not be entirely budgetaryneutral, a sufficient margin under this heading is required.3.7.3.Main factors explaining the evolution of heading 5The main drivers for the evolution of administrative expenditure are the number of posts and the adjustmentof remunerations and pensions.As explained in more detail in section 3.7.4 below, for 2011 the Commission does not request any newadditional posts. This means that all Commission needs, including those related to new priorities and to theentry into force of the Lisbon Treaty, will be met by internal redeployment of existing human resources.As regards the adjustment of salaries and pensions, the 2011 Draft Budget is built on the increase asproposed by the Commission in November 2009 for the 2009 adjustment (3,7 %).In December 2009 the Council adopted Regulation (EU, Euratom) No 1296/2009 which limited theadjustment of remuneration and pensions to half the rate proposed by the Commission, i.e. to 1,85 %. Therate of the 2009 adjustment used for the 2011 Draft Budget (3,7 %) is 1,6 % higher than the rate used whenthe 2010 Budget was drawn up (2,1 %). The 2011 Draft Budget is based on the expected salary adjustmentof 2,2 % at the end of 2010, and 1,3 % for 2011.
45
At the time of writing, the draft estimates of Parliament and Council still had to be formally approved in accordance withtheir respective internal procedures.
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Some additional expenditure is linked to the growing security requirements in Delegations and atHeadquarters. Furthermore, some costs are not under the control of the Institution, such as higher price forenergy and the maintenance of buildings.However, through a thorough review of each expenditure item and reprioritisations the Commission hascontained theincrease in administrative appropriations to only 2,9 %,excluding Pensions and Europeanschools (which are of an interinstitutional nature).More details on the Commission's request for administrative appropriations, including for Pensions andEuropean schools, are given under section 3.7.5 below.3.7.4.Human resourcesThe new Commission's ambition is to address the challenges of the 21stcentury by using the new tools andprocedures offered by the Lisbon Treaty and to deliver on the targets of theEurope 2020 strategy forsmart, sustainable and inclusive growthby implementing the seven flagship initiatives identifiedtherein46: this high ambition requires a major reorganisation of the Commission's services with theredeployment ofsome 2 200 staffdesigned to meet identified needs.Under the working hypothesis of a stable linguistic regime for 2011, and without prejudice to the creation ofthe EEAS,the Commission remains, however, committed to meeting all staffing needs up to 2013under constant resources,as announced in the 'screening' of human resources exercise47.The identified needs will be served through the following mechanisms:–In order to serve these priorities under constant resources, the ongoingreorganisationofCommission services to adjust to political priorities (creation of new Directorates-General, transferof responsibilities, redesign of portfolios, etc.)affects some 1 730 posts.In addition, the Commission willredeployalmost150 posts between Directorates-General(DGs), in order to reinforce policy making profiles (67 % of this redeployment) and law makingprofiles (20 %).Finally, individualDGs intend to redeploy internally almost 300 postsin the course of 2011, toreinforce operational activities, essentially with policy making profiles as illustrated in the tablebelow.
–
–
46
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‘Innovation Union’, ‘Youth on the move’, ‘A digital agenda for Europe’, ‘Resources efficient Europe’, ‘An industrialpolicy for the globalisation era’, ‘An agenda for new skills and jobs’ and ‘European Platform against poverty’ as set outin the Communication of 3.3.2010 "Europe2020 – A strategy for smart, sustainable and inclusive growth"(COM(2010)2020)."Planning& optimising Commission human resources to serve EU priorities",(SEC(2007)530) of 24.4.2007), expresslyestablished under the baseline scenario of a stable financial framework, a stable linguistic regime and stablecompetencies for the Commission.
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Internal redeployment within individual DGsEstablishment Plan PostsAdmin SupportGeneral coordinationBudgetary management & antifraudLaw making, monitoring and enforcementLinguisticProgramme managementPolicy making and coordinationCommunicationTotals DGsWork profiles affected-57-14-48-22-26-67-48-9-291Work profiles reinforced301047242959911291Net result-27-4-123-843-80
This cumulated effort enables theCommission to present a 2011 Draft Budget which, for the secondyear in a row, requests no new postsand a stable level of establishment plan posts. This result derivesfrom: the return of former D-posts as they become vacant (to be converted into appropriations for contractagents as agreed in the framework of the reform of the Staff Regulations), the gradual return of posts agreedat the creation of the administrative offices (also to be converted into contract agents) and a request totransform a limited number of appropriations for contract agents into posts to ensure the required stability ofstaff in representation offices, external aid action and audit.Operating budget (heading 5)Commission operating budgetOPOCEOLAFEPSO (including EAS)OIB *OILPMOTotal-8-1-1-19-2-15-5047Movements betweenestablishment plans+8Transformation of posts intoappropriations-14Transformation ofappropriations into posts47
* 1 AST post returns to the Council establishment plan (end of management of the Council Crèche by OIB)
On the basis of the existing stock of establishment plan posts, the 2007 screening exercise revealed apotential mismatch between the existing structure of staff and future needs. In particular, the screeningreport pointed to the desirable gradual reduction of clerical tasks as a result of IT developments and thegrowing need for administrators. The 2011 Draft Budget follows up on the trend agreed by the budgetaryauthority in the last budgetary procedures and requests the followingbudgetary neutral upgradingof theexisting establishment plans in order to allow the Commission to serve its political priorities in an optimalmanner:–––The transformation of 186 AST6 into 186 AD5 posts on the Commission establishment plan,The transformations of 5 AST6 posts into 5 AD5 posts on the research establishment plan,A limited transformation in the establishment plans of the Offices: 4 AST6 posts into 4 AD5 postsfor OIB, 1 AST6 post into 1 AD5 post for OIL and 1 AST6 post into 1 AD5 post for EPSO.Finally, a limited non budget neutral upgrading is requested for OLAF (10 posts) in line with theagreed rebalancing of its establishment plan between temporary and permanent staff.
As a general rule, the Commission will continue toallocate staff temporarilyto serve time-limitedactivities. This mechanism has proved a dynamic and flexible way to allow adequate staffing to face peaksin workload and to return posts when the peak is over, contributing to dynamic human resourcesmanagement over time.Moreover, as announced in the 2007 screening report, the Commission continues to explore and encourageall flexible arrangements. The mechanism ofpooling expertise for specific time-bound tasksis still beingused to allow temporary posting of officials within services facing a huge and unexpected workload linkedto the financial crisis (notably DG COMP, ECFIN and MARKT), but is also more and more resorted to
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within individual services in order to temporarily reprioritise and strictly adjust to higher peaks and relativetroughs of workload to make the most of existing resources.Economies of scale are further derived from thepooling of support infrastructuresbetween Directorates-General and the creation of shared resource directorates in the case of the two newly created DGs (a SingleResources Directorate serving DG Transport and DG Energy and a Single Resources Directorate servingDG Environment and DG Climate Action).Finally, regardinggeographical balance,the Commission had set itself the objective of recruiting at leastan overall number of nationals from the new Member States similar to the overall number of new postsgranted for enlargement and has been successful so far in meeting this target. The Commission intends toproceed with its close and regular monitoring of recruitment of nationals from the new Member States toensure respect of recruitment targets as well as a balanced representation of EU-2 and EU-10 nationals ineach function group.3.7.5.Financial resourcesType of expenditureMembersStaffMembers (excl. pensions)Members (pensions)Remuneration and normal entitlementRecruitment costsTermination of service (‘dégagement’)Training costsSocialExternalExternal staff (CEOS)Other external (END, Agency staff)IT servicesLinguistic external staffRent, purchase andlinked to buildingsRents and purchasesExpenditure linked to buildingsSecurityMeeting peopleInformationMission and representationMeetings, committees, conferencesOfficial JournalPublicationsAcquisition of informationStudies & investigationsGeneral administrativeGeneral equipment, vehicle, furnitureexpenditureIT hardware and information systemsOther administrative expenditureMobilitySpecificEuropean schoolsStaff PensionsTotalBudget201013 665 0009 209 0002 149 807 00038 395 00012 094 00031 186 00030 088 000165 863 00086 123 00049 496 00041 796 000363 191 000113 268 00088 069 00084 203 00053 563 00013 520 00021 331 0006 731 00019 870 00026 775 000114 056 00069 213 0003 110 000154 212 0441 192 789 0004 951 623 044DB201113 954 0008 096 0002 257 461 00034 396 0008 710 00031 536 00031 679 000164 820 00089 226 00052 042 00039 303 000367 023 000120 548 00091 609 00085 049 00052 839 00012 178 00019 665 0006 541 00018 930 00025 625 000115 491 00058 960 0003 202 000173 514 0001 274 979 0005 157 508 000Difference2011 - 20102,1 %-12,1 %5,0 %-10,4 %-28,0 %1,1 %5,3 %-0,6 %3,6 %5,1 %-6,0 %1,1 %6,4 %4,0 %1,0 %-1,4 %-9,9 %-7,9 %-2,8 %-4,7 %-4,3 %1,3 %-14,8 %3,0 %12,6 %6,9 %4,2 %289 000-1 113 000107 654 000-3 999 000-3 384 000350 0001 591 000-1 043 0003 103 0002 546 000-2 493 0003 832 0007 280 0003 540 000846 000-724 000-1 342 000-1 686 000-190 000-940 000-1 150 0001 435 000-10 253 00092 00019 301 95682 190 000205 884 956
The following table shows the evolution by nature of the administrative expenditure for the Commission:
As explained in section 3.7.3 above, the main elements that influence the evolution of remuneration for staffand external staff are the evolution of the basic salary in 2009 in coherence with Commission's proposal (i.e.3,7 %), and the expected adjustment of the salaries and pensions at the end of 2010 (2,2 %) and 2011(1,3 %).Including the impact of the higher than expected salary increase in 2009, the 2011 increase of expenditurecompared to the 2010 Budget is 2,9 %, excluding Pensions and the European Schools.For Staff Pensions, the increase of appropriations (5,1 %, when excluding the impact of the 2009 salaryincrease), which also results from the growing number of pensioners, is not higher than in the 2010 Budget.
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The relatively moderate overall increase for the Commission is the net result of savings and additionalneeds, as set out below.Substantial reductions of expenditure are proposed for Recruitment costs, Termination of service, Linguisticexternal staff, Meetings of committees, Official Journal, Publications, Acquisition of information, Studiesand investigations, General equipment and Other administrative expenditure. These savings result from athorough review of the items of expenditure and taking into account, amongst others, the decreasing costs ofsome goods, the phasing in of renegotiated contracts with better terms and the consequences of policyreorientations. As a specific case, the decrease in Member Pensions is due to the change of Commission in2010.The expected evolution of inflation (1,4 % in Brussels and 1,6 % in Luxembourg) has an impact on indexedcontracts. The increasing cost of energy and maintenance of the buildings and the works for a secondchildcare facility are the main factors for the evolution of expenditure linked to buildings. However,expenditure for Rents remains under the level of the inflation rate thanks to the contractual reduction of theexpenditure for the Jean Monnet building in Luxembourg, a favourable evolution of indexations in 2009,and the termination of rental parking places related with the Staff Mobility Plan, for which the level ofappropriations coordinated between all Institutions is maintained.The Commission needs to be present in politically important but risky zones. This entails substantialsecurity costs in delegations. Security measures are being taken at headquarters as well. In addition, the willto automate and streamline procedures, in order to achieve the productivity gains necessary to allow staffredeployments, explains the increase of expenditure for IT services. Expenditure for Missions andrepresentation, on the other hand, remains more or less stable in real terms.The growing number of external staff in childcare facilities influences the evolution of this type ofappropriations. The accomplishment of the plan for transformation of establishment plan posts into externalstaff in the administrative offices, which generates savings on remunerations, is spread over asupplementary four years period which takes into account the real possibilities.Apart from the normal adaptations, the increase in appropriations for European schools matches theexpected growth of the number of pupils, the increasing share of pupils not paying a fee (so-called‘Category I’ pupils, i.e. children of EU statutory staff), the evolution of staff salaries under the samecircumstances as the Institutions, and a new contribution to national schools in Member States which offerEU curriculum sections equivalent to European schools (so-called ‘Type 2’ European schools).There are various European offices included in the budget of the Commission. The evolution of the budgetfor each office is the following:(in EUR, at current prices)Of which for the officesOPOCEOLAFEPSOPMOOIBOILTotalBudget201084 082 00057 145 00030 993 00033 728 00067 343 00024 430 000297 721 000DB201185 330 00058 933 00026 973 00035 523 00069 911 00025 371 000302 054 000Difference2011 - 20101,5 %3,1 %-13,0 %5,3 %3,8 %3,9 %1,5 %1 248 0001 788 000-4 020 0001 795 0002 568 000941 0004 333 000
A large number of promotions of staff recruited from new Member States after enlargement and a higheroccupancy rate for their establishment plans explain the increase for offices of the Commission, in additionto the above-mentioned higher than expected salary increase in 2009.For OIB, the recruitment of external staff for the new childcare facilities also explains the level of therequested appropriations. The important decrease of the EPSO budget is linked to the expected occupationof a new building with no budgetary impact in 2011, and a lower level of expenditure for competitionsfollowing the new system proposed in the EPSO Development Programme adopted in 2009.The development for delegations and representations is the following:(in EUR, at current prices)Of whichBudgetDBDifference
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2010Delegations (RELEX-SEU)Representation offices (external + infrastructure)Total418 132 00041 455 000459 587 000
2011433 918 00041 020 000474 938 000
2011 - 20103,8 %-1,0 %3,3 %15 786 000-435 00015 351 000
The limited decrease for the Representation Offices is the result of a continued rationalisation effort. Theincrease for Delegations, on the other hand, is mainly due to the impact of the remuneration adjustments, toa higher occupancy rate for its establishment plan, to buildings expenditure (start of the construction of theTokyo Delegation and the reconstruction of the Haiti Delegation), as well as to security needs.
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4.––
HORIZONTAL ISSUESBodies set up by the European Union and having legal personality: decentralised agencies, jointundertakings, EIT and executive agencies;Administrative expenditure outside heading 5: budget lines for technical and administrativeassistance, including the so-called ‘former BA-lines’ and administrative expenditure under theResearch budget;The Financial Regulation and actions without legal bases: this concerns notably programmes,activities and decentralised agencies for which the legal base is currently outstanding, pilot projectsand preparatory actions, and actions financed under the prerogatives of the Commission.Bodies set up by the European Union and having legal personality
This section presents some major horizontal issues for the 2011 Draft Budget, as follows:
–
4.1.
Key budgetary information for all EU bodies (decentralised agencies, executive agencies, joint undertakingsand EIT) is provided in Annex IV. Furthermore, a dedicated Working Document III accompanying the 2011DB presents very detailed information on ‘agencies’, so as to respond in a coherent manner to repeatedrequests of the Budgetary Authority for more information and transparency with regard to revenue,expenditure and staff levels of various Union bodies.4.1.1.Decentralised agenciesIn the 2011 Draft Budget, the Commission confirms its policy with regard to the assigned revenue ofdecentralised agencies, which was introduced in the 2009 PDB: assigned revenues stemming from therecovery of decentralised agency surpluses for the year 2009 have been deducted from the 2011 EUcontribution to the agencies in question48, so as to reduce the need for ‘fresh appropriations’ entered in the2011 DB. As a consequence, the level of appropriations to be entered in the budget is typically below theamount foreseen in the financial programming for 2011.Moreover, when assessing the decentralised agency's needs for the financial year 2011, the Commission hastaken into account the relative size of the agency surplus for the year 2009 (as compared to agency revenuereceived in 2009). In doing so, the Commission responds to the new requirements of the FrameworkFinancial Regulation, Regulation (EC, Euratom) No 2343/200249, as revised in July 200850.As shown in the decentralised agency overview table (annex IV.1), the total foreseen EU contribution to thedecentralised agencies amounts to EUR 705,9 million. This overall amount is composed of the amountsentered in the 2011 DB (EUR 679,2 million) and the assigned revenues stemming from the recovery of the2009 surplus (EUR 26,6 million).This represents a marginal decrease of the total EU contribution as compared to the 2010 budget of someEUR 0,8 million, or - 0,1 %. However, this marginal decrease is the net result of:––the additional needs related to the financing of the ‘to be created’51and ‘start-up phase’52agencies,and;the fact that the European Chemicals Agency (ECHA) in 2011 will have become fully self-financed (on a temporary basis) for its chemicals activities under heading 1a53, which means thatAccount has been taken, however, of the need to make a technical adjustment in this regard for theGalileo SupervisoryAuthority(GSA) in 2010.OJ L 357, 31.12.2002, p. 72.OJ L 181, 10.7.2008, p. 23.European Banking Authority(EBA),European Insurance and Occupational Pensions Authority(EIOPA),EuropeanSecurities and Markets Authority(ESMA),European Asylum Support Office(EASO) and theAgency for the operationalmanagement of large-scale JLS IT systems.Gender Institute,European Agency for the Cooperation of Energy Regulators(ACER) and theOffice of the Body ofEuropean Regulators for Electronic Communications(BEREC – Office).
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no EU contribution will be required, contrary to 2010 when EUR 43,9 million is foreseen to bemade available to ECHA.As regards staffing of the decentralised agencies, the increase of 258 posts foreseen for 2011 relates largelyto the ‘to be created’ and ‘start-up phase’ agencies, for which 231 posts are requested.The total number of posts, as shown in Annex IV.1, includes both posts financed from the EU contributionto the agencies as well as posts financed by other agency revenue, such as fees from industry.4.1.2.Joint undertakingsAnnex IV.2 presents an overview table for the current 7 joint undertakings.Compared to the 2010 budget, the total EU contribution to the joint undertakings increases by 10 % toEUR 1 010,3 million, which is funded from the Research Framework Programmes (EC, Euratom) and theTrans-European Networks (for SESAR, specifically). However, the staffing of the joint undertakingsremains broadly stable, with a foreseen increase of six posts, to 357 posts in 2011.The actual EU contribution is somewhat below the financial programming for the ARTEMIS (-EUR 34,8 million) and the ENIAC joint undertakings (- EUR 44,5 million), due to the lower than expectedcontribution from industry. In addition, the needs for administrative expenditure for FCH areEUR 2,2 million lower than previously foreseen. On the other hand, the actual EU contribution isEUR 20,6 million above the financial programming for the Clean Sky joint undertaking, in order to catch upwith the overall aircraft evolution cycle. The above-mentioned adjustments compared to the financialprogramming have been offset with corresponding changes to the operational FP7 budget lines concerned.4.1.3.European Institute of Innovation and Technology (EIT)Annex IV.3 presents an overview table for EIT. Reflecting its start-up phase and in line with the financialprogramming, the foreseen EU contribution to EIT increases from EUR 30,2 million to EUR 62,8 million,with 28 posts requested, as compared to 20 posts authorised under the 2010 budget.The significant increase of the EU contribution to the EIT relates by and large to the planned reinforcementof operational expenditure (Title 3), principally through the Knowledge and Innovation Communities(KICs), which are meant to promote and integrate higher education, research and innovation of the higheststandards.4.1.4.Executive agenciesWhen preparing the 2011 DB, the Commission has again made a careful assessment of needs for theexecutive agencies. As last year, this has resulted in a reduction of appropriations for the executive agenciesas compared to the 2011 amount foreseen in the indicative financial statement accompanying the creation orlatest mandate extension of the agency in question. The reductions of appropriations compared to thefinancial programming amount to EUR 21,0 million.The increase of the overall EU contribution foreseen for the executive agencies (from EUR 143,1 million inthe 2010 budget to EUR 152,1 million in the 2011 DB) in practice relates to the ongoing phasing-in of theresearch executive agencies (ERCEA and REA), and is due to the progressive recruitment of personnel asforeseen when setting up the agencies. The increase for the four ‘cruising speed’ executive agencies (EACI,EACEA, EAHC and TEN-T EA, from EUR 79,0 million in the 2010 budget to EUR 79,3 million in the2011 DB) remains well below inflation correction.Within this overall attempt to further consolidate the budgetary needs of the executive agencies, theCommission proposes to allow the research executive agencies to recruit the temporary agents and externalpersonnel needed for the management of the programmes delegated to the agencies, as planned whencreating the agencies. Similarly, the Commission proposes to allow EACI and EACEA to recruit four
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In addition to ECHA's currently self-financed chemicals activities, the Commission proposes to extend this agency'smandate to activities in the field of biocides legislation, under heading 2. For 2011, only a token entry (‘p.m.’) isforeseen in this regard (see section 3.3.6 above, for more details).
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additional contract agents. EAHC and TEN-T EA, on the other hand, have already reached their foreseenstaffing levels, and remain stable.Annex IV.4 presents an overview for the executive agencies, both for the EU contribution to the agenciesfrom operational programmes managed, and for the establishment plans and external personnel.4.2.4.2.1.Administrative expenditure outside heading 5Summary tableBudget2010Technical and administrative support lines (ex-BA lines)Executive agencies (outside research agencies)Sub Total Administrative expenditure outside research and heading 5(2)Research establishment plan postsExternal personnelOther administrative expenditureExecutive agencies for ResearchSub Total Administrative expenditure direct and indirect research(3)(1)
The table below presents a summary overview of administrative expenditure outside heading 5.Draft budget2011363 863 20079 398 000443 261 200385 213 00090 155 000181 745 00072 717 000729 830 0001 173 091 200Difference2011 / 20106,5 %0,5 %5,4 %1,6 %-4,5 %16,4 %13,4 %5,2 %5,2 %341 672 50078 972 500420 645 000379 315 00094 423 000156 180 00064 103 000694 021 0001 114 666 000
TOTAL ADMINISTRATIVE EXPENDITURE OUTSIDE HEADING 5
(1) Budget 2010 includes Draft Amending Budgets 1 to 4.(2) XX 01 04 excluding research executive agencies and ITER administrative management expenditure.(3) Financed under the administrative ceiling of the research framework programmes (XX 01 05, Joint Research Centre and researchexecutive agencies).
The sections below explain the purpose of technical and administrative support expenditure which isdirectly linked to operational programmes, for the so-called ‘former BA lines’ (section 4.2.2) and for theresearch administrative expenditure (section 4.2.3).The executive agencies (see section 4.1.4 above for more details) are included in this summary table as well,as they are a more cost-effective alternative to ‘in-house’ management by the Commission services, asdemonstrated in a cost-benefit analysis carried out before delegating the management of (part of) theoperational programme concerned to the executive agency. This goes both for the research executiveagencies (ERCEA and REA) financed from the Research budget, as well as for those financed from otherprogrammes (EACI, EACEA, EAHC and TEN-T EA).4.2.2.Technical and administrative support expenditureMany EU multi-annual programmes foresee amounts for technical and administrative support expenditure,directly linked to the implementation of the operational programmes and financed from the financialenvelopes for the programme. This technical and administrative support expenditure is clearly identified inthe EU budget, on dedicated budget lines (XX 01 04 lines, without executive agencies, also known as‘former BA lines’).The appropriations for technical and administrative support are used to carry out activities such asevaluation of calls for proposals, studies, expert meetings and audits, which are key to achieving value formoney and ensuring sound financial management. Furthermore, in delegations and on a limited number ofpre-identified budget lines, support staff can be financed within the limits of a ceiling defined in the budget.Whereas it is true that amounts spent on administrative support, which are taken from the financial envelopeof the programme, cannot be used as operational expenditure, it is equally true that proper implementationof programmes comes at a cost. The practice of taking administrative support appropriations directly fromthe operational programme makes the cost of managing programmes more transparent.The Commission has taken careful note of the choices that the budgetary authority made in the 2010budgetary procedure. Accordingly, the Commission has taken the budget 2010 appropriations foradministrative support as a starting point for the 2011 Draft Budget. On that basis, the Commission hastaken into account both execution 2009 and the growth of the 2011 programmes to be managed. In doing so,the Commission has arrived at an increase of 1 % compared to the overall PDB 2010 amount, leading to aforeseen overall amount for 2011 of EUR 364,1 million. This represents a substantial growth over the
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amounts budgeted for 2010. However, the overall amount remains well below the multi-annual financialprogramming for this type of expenditure, and the Commission considers the requested increase necessaryto ensure proper implementation of operational programmes, as set out below.This increase compared to the 2010 budget centres around the support lines for a limited number of keyprogrammes, in particular in the field of environment and climate action (heading 2, + EUR 2,6 million) andexternal relations (heading 4, + EUR 16,2 million).For environment and climate action, this reflects the importance attached to this policy area, further to theCopenhagen Accord of December 2009 (see also section 3.3.6 above). However, the increase remains belowthe level of appropriations foreseen for this budget line in the financial programming for 2011. For the EUas a Global Player, the increase is in particular due to higher security costs in delegations, especially inhigh-risk areas, and an increase in the number of contract agents (as opposed to local agents) to manage the‘deconcentrated’ external aid action in delegations that is gradually increasing over the period 2007-2013.This possibility was one of the conditions under which the Commission committed in the 2007 ‘screening’of Commission human resources54to meet staffing needs through redeployment up to 2013. The ongoing‘deconcentration’ of external action in turn leads to reduced management at headquarters, which forinstance is shown in the decreasing payments for outstanding commitments for pre-accession aid toBulgaria and Romania, now that these programmes have reached the closure phase.The increase foreseen for heading 4 for 2011 relates mostly to the growing level of commitmentappropriations, to be managed in delegations, for the major instruments in the field ofDevelopmentCooperation(DCI, both for policy area 19 (external relations), + EUR 4,3 million, and for policy area 21(development and relations with ACP states), + EUR 8,7 million, which is largely due to the high number ofsmall grants involved, whereas the management of the outstanding commitments for theFood Facilityisstill ongoing),Pre-Accession Assistance(IPA, + EUR 5,1 million, due for instance to the absorption of tasksfrom the European Agency for Reconstruction (EAR), the increase in assistance to Kosovo and the need toreinforce delegations in candidate countries),Neighbourhood and Partnership(ENPI, + EUR 2,3 million,which is due to the large increase in appropriations as well as the Eastern Partnership), theInstrument forStability(IfS, + EUR 2,3 million, idem), and theEuropean Instrument for Democracy and Human Rights(EIDHR, + EUR 0,7 million, due to the large number of NGOs involved).Detailed information on technical and administrative support expenditure which is directly linked to themanagement of EU programmes is provided as part of Working Document II (‘Commission HumanResources and administrative expenditure’) accompanying the 2011 DB.4.2.3.Administrative expenditure under the Research budgetAs shown in the summary table 4.2.1, administrative expenditure financed under the Research budgetincludes:–––––Indirect research expenditure related to staff (XX 01 05 01);Indirect research expenditure related to external personnel (XX 01 05 02);Indirect research other management expenditure (XX 01 05 03);Direct research (Joint Research Centre, 10 01 05);Research executive agencies (ERCEA and REA).
As regards indirect research expenditure related to staff (XX 01 05 01), detailed information on (theoccupation of) research establishment plan posts on the Research budget is provided as part of WorkingDocument II (‘Commission Human Resources and administrative expenditure’) accompanying the 2011DB. As explained in section 3.7.4 above, the Commission does not request new posts for 2011. Nonetheless,the redeployment of posts also affects the allocation of indirect research posts, whereas the Commission
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also requests a budgetary neutral upgrading of the research establishment plan, similar to the upgrading ofposts requested for the Commission's establishment plan.A substantial decrease in appropriations for indirect research expenditure related to external personnel(XX 01 05 02) is foreseen for 2011, which should also be seen in the context of the progressive build-up ofthe research executive agencies, as set out in section 4.1.4 above.As regards direct research, no substantial changes are foreseen for the 2011 establishment plan of the JRC,whereas JRC appropriations for external personnel remain fairly stable.The appropriations for other management expenditure for research were significantly reduced in the 2010budget, as compared to both the level proposed in the 2010 PDB and the actual execution in 2009. Thesubstantial increase proposed for the 2011 DB should therefore also be seen in this light, as well as in regardto the sharp increase in the level of operational credits to be managed for FP7, towards the end of theprogramming period. The level of appropriations proposed for 2011 remains below both the financialprogramming and the ceilings foreseen for this type of expenditure in the legal bases. In turn, this has led toan increase in operational expenditure as compared to the financial programming.The appropriations for other management expenditure are used to finance actions which are key to properimplementation, such as external audits, workshops, communication activities, IT systems and evaluationsof proposals, across the Framework Programmes.4.3.The Financial Regulation and actions without legal baseArticle 49 of the Financial Regulation55states that, ‘a basic act shall first be adopted before theappropriations entered in the budget for any action by the European Union may be used.’ However, theFinancial Regulation also provides for five exceptions to this rule: 1) pilot schemes; 2) preparatory actions;3) preparatory measures in the field of Title V of the Treaty on European Union (concerning CFSP), 4)actions undertaken on the basis of the institutional prerogatives and specific powers conferred on theCommission by the Treaties; and 5) operations of each institution arising from its administrative autonomy.4.3.1.Programmes, activities and decentralised agencies for which the legal base is outstandingAs set out above, appropriations are to be entered into the reserve until such time as the legal base isadopted by the legislative authority. Accordingly, commitment and payment appropriations for thefollowing programmes, activities and decentralised agencies have been entered into the reserve, for a totalamount of EUR 252,1 million (in commitment appropriations):––––––––––European Earth observation programme (GMES), EUR 10 million;International fisheries agreements, EUR 52 million;European Banking Authority (EBA), EUR 5,0 million;European Insurance and Occupational Pensions Authority (EIOPA), EUR 5,2 million;European Securities and Markets Authority (ESMA), EUR 5,7 million;Schengen evaluation, EUR 0,6 million;Agency for the operational management of large-scale JLS IT systems, EUR 10,6 million;Cooperation activities other than Official Development Assistance (ICI+, Latin America, Asia,Central Asia, Iraq, Iran and Yemen, South Africa), EUR 45 million;Banana Accompanying Measures (BAM), EUR 43 million;Nuclear safety – Transitional measures (decommissioning for Kozloduy), EUR 75 million.
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Council Regulation (EC, Euratom) No 1995/2006 of 13 December 2006 amending Regulation (EC, Euratom) No1605/2002 on the Financial Regulation applicable to the general budget of the European Communities (OJ L 390,30.12.2006, p. 1).
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More detailed information on these new initiatives is given under the corresponding headings of thefinancial framework (see section 3 – key aspects of DB 2011 by financial framework headings).4.3.2.Pilot projects and preparatory actionsIn the 2011 DB, the Commission has included the following proposals for preparatory actions, for a totalamount of EUR 18 million (in commitment appropriations):––––––Preparatory action Erasmus for Young Entrepreneurs (third year), EUR 2 million;Preparatory action on Environmental monitoring of the Black sea basin (second year),EUR 1 million;Preparatory action on Mainstreaming climate action and adaptation (new), EUR 5 million;Preparatory action in the field of Sport (third year), EUR 1 million;European year of Volunteering (building on the 2010 preparatory action), EUR 8 million;Preparatory action for the setting up of a European Voluntary Humanitarian Aid Corps (new),EUR 1 million.
Furthermore, the Commission proposes to continue the pilot project to cover costs of studies for studentsfrom the ENP countries and for related academic activities, for an amount of EUR 1,5 million (both incommitment and payment appropriations).Detailed information on pilot projects and preparatory actions is presented in Working Document IVaccompanying the 2011 DB.4.3.3.Actions financed under the prerogatives of the CommissionIn the 2011 Draft Budget, the actions financed under the prerogatives of the Commission amount to EUR268,3 million. This overall amount represents a decrease compared to both the 2010 budget (EUR 276,8million) and the financial programming for 2011 as updated in January 2010, which stood at EUR 273,3million. The Commission has made significant efforts in order to arrive at this result; the correspondingreductions in appropriations mainly concentrate on budget lines under headings 1a (Competitiveness), 3b(Citizenship) and 4 (EU as a global player). More details on the actions financed under the Commission'sprerogatives can be found in the financial programming 2011 – 2013, table 9.12.
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5.5.1.
ANNEX— DETAILED FIGURESAnnex I — Multiannual financial framework 2007-2013, at current prices
160.000
140.000
120.000
100.000
80.000
60.000
40.000
20.000
02007200820092010201120122013
(in million EUR, at current prices)APPROPRIATIONS FOR COMMITMENTS1. SUSTAINABLE GROWTHCompetitiveness for growth and employmentCohesion for growth and employment2. PRESERVATION AND MANAGEMENTOF NATURAL RESOURCESOf which: Market related expenditure and directpayments (1)3. CITIZENSHIP, FREEDOM, SECURITYAND JUSTICEFreedom, security and justiceCitizenship4. EU AS A GLOBAL PLAYER5. ADMINISTRATION (2)6. COMPENSATIONTOTAL COMMITMENTS APPROPRIATIONSas a percentage of GNI (3)TOTAL PAYMENTS APPROPRIATIONSas a percentage of GNI (3)Margin availableOwn resources ceiling as a percentage of GNI200753 9798 91845 06155 14345 7591 2736376366 5787 039445124 4571,02 %122 1901,00 %0,24%1,24 %200857 65310 38647 26759 19346 2171 3627476157 0027 380207132 7971,08 %129 6811,05 %0,19 %1,24 %200961 69613 26948 42756 33346 6791 5188676517 4407 525210134 7221,16 %120 4451,04 %0,20 %1,24 %140 9781,18 %134 2891,12 %0,11 %1,23 %142 9651,16 %134 2801,09 %0,14 %1,23 %147 5461,15 %141 3601,10 %0,13 %1,23 %152 3121,14 %143 3311,07 %0,16 %1,23 %201063 55514 16749 38859 95547 1461 6931 0256687 8937 882201163 97412 98750 98763 33847 6171 8891 2066838 4308 334201266 96714 20352 76160 81048 0932 1051 4066998 9978 670201369 95715 43354 52461 28948 5742 3761 6617159 5959 095Total2007-2013437 77889 363348 415413 061330 08512 2167 5494 66755 93555 925862975 7771,13 %925 5761,07 %0,16 %1,23 %
(1) This amount is before taking account of modulation and other transfers to rural development.(2) The expenditure on pensions included under the ceiling for this heading is calculated net of the staff contributions to the relevant scheme, within the limit ofEUR 500 million at 2004 prices for the period 2007-2013.(3) The figures are based on the technical adjustment of the financial framework for 2010 in line with movements in GNI, adopted by the Commission on 16 April2010 (COM(2010)160).
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5.2.5.2.1.
Annex II — 2011 Draft Budget by financial framework headings2011 Draft Budget by financial framework headings (aggregate)Budget2010(1)EURCA1. SUSTAINABLE GROWTH(2)Excluding energy projects to aid economic recoveryMargin— Competitiveness for growth and employment(2)(1)
Financial framework2011(2)EURPACA63 974 000 000PACA
Draft budget2011(3)EURPA54 650 510 910
Difference2011 / 2010(3 / 1)%CA0,2%3,4%PA14,5%14,7%CA
Difference2011 – 2010(3 – 1)EURPA6 923 355 107157 500 709
64 249 445 345
47 727 155 803
64 406 946 054
67 053 94614 862 853 25311 343 270 80312 987 000 00013 436 852 27050 147 73049 386 592 09236 383 885 00058 135 640 80943 701 207 58650 987 000 00060 338 000 00047 617 000 00050 970 093 78416 906 21659 498 833 30243 819 801 76859 486 248 38943 747 401 900851 751 611719 188 1001 674 487 3701 397 957 8701 889 000 0001 803 069 74085 930 2601 006 487 370738 570 370659 387 5007 787 695 1831 206 000 000683 000 0008 430 000 0001 135 252 74070 747 260668 000 000667 817 00015 183 0008 160 182 0008 613 529 37770 330 6237 908 983 4237 908 478 4238 334 000 0008 266 204 929149 795 071141 491 931 440 122 956 928 088 142 965 000 000134 280 000 000 142 575 998 489 130 146 772 7421 224 861 5114 418 227 2580,8%2,2%5,8%5,8%1 084 067 0497 189 844 6548 267 259 9294,5%4,5%357 221 506358 781 5067 601 763 8675,6%-2,4%453 347 377-185 931 316638 979 000-0,0%-3,1%-183 000-20 408 500852 573 74012,8%15,4%128 765 370114 003 3701 491 552 7407,7%6,7%128 582 37093 594 87058 135 685 29643 656 761 358-0,0%-0,2%0,0%-0,1%-12 584 913-72 399 86844 487-44 446 22842 540 796 7403,2%16,9% 1 583 501 6926 156 911 74012 109 714 170-9,6%4,4%6,8% -1 426 000 9837,0%766 443 367
Excluding energy projects to aid economic recoveryMargin— Cohesion for growth and employmentMargin2. PRESERVATION ANDNATURAL RESOURCESMANAGEMENTOF
Of which: Market related expenditure and direct paymentsMarginOf which: Market related expenditure and direct payments3. CITIZENSHIP,JUSTICEFREEDOM,SECURITY(3)
ANDMargin
— Freedom, security and justiceMargin— CitizenshipMargin4. EU AS A GLOBAL PLAYER(4)
Margin5. ADMINISTRATION(5)MarginTotalExcluding energy projects to aid economic recoveryMargin(6, 7)
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Budget2010(1)EURCAAppropriations as % of GNI(8)(1)
Financial framework2011(2)EURPACA1,02%1,15%PA1,08%CA
Draft budget2011(3)EURPA1,15%1,05%
Difference2011 / 2010(3 / 1)%CAPACA
Difference2011 – 2010(3 – 1)EURPA
1,18%
(1) Budget 2010 includes draft amending budgets 1 to 4.(2) The margin for heading 1a does not take into account the appropriations related to the European Globalisation adjustment Fund (EUR 500 million).(3) After the transfer from modulation to Rural Development and from cotton and wine for restructuring in the respective regions (EUR 3 150,4 million).(4) The margin for heading 4 does not take into account the appropriations related to the Emergency Aid Reserve (EUR 253,9 million).(5) For calculating the margin under the ceiling for heading 5, account is taken of the footnote (1) of the financial framework 2007-2013 for an amount of EUR 82 million for the staff contributions to the pensions scheme.(6) The global margin for the commitments does not take into account the appropriations related to the European Globalisation adjustment Fund (EUR 500 million), the Emergency Aid Reserve (EUR 253,9 million) and to the staff contributionsto the pensions scheme (EUR 82 million).(7) The global margin for the payments does not take into account the appropriations related to the Emergency Aid Reserve (EUR 203 million) and to the staff contributions to the pensions scheme (EUR 82 million).(8) The Draft Budget is based on the April 2010 forecast of GNI. A new forecast will be issued on 18 May 2010 after the Advisory Committee on Own Resources (ACOR) meeting.
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2010 Budget and 2011 Draft Budget by financial framework headings, in commitment appropriations (aggregate)
Sustainable growth45,2%
Administration5,8%
Natural resources: Marketrelated expenditure anddirect aids30,7%
Natural resources overall41,7%
Natural resources: Ruraldevelopment, Environmentand Fisheries11,0%
EU as a global player6,0%
Citizenship, Freedom,security and justice1,3%
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5.2.2.
2011 Draft Budget by financial framework headings (detailed)Budget2010(1)EURCAPA47 727 155 803CA63 974 000 000(1)
Financial framework2011(2)EURPACA
Draft budget2011(3)EURPA54 650 510 910
Difference2011 / 2010(3 / 1)%CA0,2%3,4%PA14,5%14,7%CA
Difference2011 – 2010(3 – 1)EURPA6 923 355 107157 500 709
1. SUSTAINABLE GROWTH
(2)
64 249 445 345Margin
64 406 946 05467 053 946
Excluding energy projects to aid economic recovery1a. Competitiveness for growth and employment(2)
14 862 853 253Margin
11 343 270 803
12 987 000 000
13 436 852 27050 147 730
12 109 714 170
-9,6%4,4%
6,8% -1 426 000 9837,0%10,1% 1 044 242 00013,3%-19,8%11,8%-7,0%3,1%75,9%17,1%-9,1%0,4%-0,0%21,4%22,2%-8,2%0,0%-11,1%-17,9%-76,4%85,5%8,7%64 605 992-31 182 889726 682 00011 421 00012 287 000221 205 00039 223 897-630 000182 250 000178 960 0003 290 000-698 458 2001 925 00028 346 50022 936 00013 931 0004 000 0009 931 0008 200 000
766 443 367
Excluding energy projects to aid economic recovery— Seventh Research framework programme (includingcompletion of sixth Research framework programme)— 02 – Enterprise— 06 – Mobility and transport— 08 – Research— 09 – Information society and media— 10 – Direct research— 15 – Education and culture— 32 – Energy— Decommissioning (10 – Direct research)— Ten— 06 – Mobility and transport— 32 – Energy— Energy projects to aid economic recovery (32 – Energy)— EGNOS and Galileo (02 – Entreprise)— Marco Polo (06 – Mobility and transport)— Lifelong Learning and Erasmus Mundus (15 – Education andculture)— Competitiveness and innovation framework programme (CIP)— CIP – Entrepreneurship and innovation——01 – Economic and financial affairs02 –Enterprise7 542 425 000476 333 008101 687 8894 595 576 0001 328 764 000356 421 000536 202 000147 441 10326 900 0001 083 900 0001 062 440 00021 460 0001 980 000 000894 400 00063 940 0001 107 288 500525 708 000302 113 000161 000 000141 113 000112 400 0006 373 875 000376 078 66295 117 2353 840 460 0001 290 436 000358 547 000286 012 000127 224 10333 000 000931 794 000913 594 00018 200 0001 027 482 000453 500 00036 675 0001 075 812 000359 685 500198 622 200126 900 00071 722 20095 160 0008 586 667 000540 939 00070 505 0005 322 258 0001 340 185 000368 708 000757 407 000186 665 00026 270 0001 266 150 0001 241 400 00024 750 000p.m.195 941 80065 865 0001 135 635 000548 644 000316 044 000165 000 000151 044 000120 600 0007 018 286 100426 155 00076 285 0004 294 252 0001 199 926 100369 638 000503 000 000149 030 00030 000 000935 300 000913 200 00022 100 0001 074 766 600554 000 00033 665 0001 076 240 000319 770 000163 069 00030 000 000133 069 000103 400 000
13,8%13,6%-30,7%15,8%0,9%3,4%41,3%26,6%-2,3%16,8%16,8%15,3%-100,0%-78,1%3,0%2,6%4,4%4,6%2,5%7,0%7,3%
644 411 10050 076 338-18 832 235453 792 000-90 509 90011 091 000216 988 00021 805 897-3 000 0003 506 000-394 0003 900 00047 284 600100 500 000-3 010 000428 000-39 915 500-35 553 200-96 900 00061 346 8008 240 000
4,6% -1 980 000 000
— CIP – ICT policy support (09 – Information society and
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Budget2010(1)EURCAmedia)— CIP – Intelligent energy (32 – Energy)— Social policy agenda (04 – Employment and social affairs)— Customs 2013 and Fiscalis 2013 (14 – Taxation and customsunion)— Nuclear decommissioning (32 – Energy)— European Globalisation adjustment Fund— 04 – Employment and social affairs— 40 – Reserve— Other actions and programmes— 01 – Economic and financial affairs— 02 – Enterprise— 04 – Employment and social affairs— 06 – Mobility and transport— 08 – Research— 09 – Information society and media— 12 – Internal market— 13 – Regional policy— 14 – Taxation and customs union— 15 – Education and culture— 17 – Health and consumer protection— 24 – Fight against fraud— 26 – Commission’s administration— 29 – Statistics— 32 – Energy— Decentralised agencies1b. Cohesion for growth and employmentMargin— Structural Funds— Convergence objective— 04 – Employment and social affairs39 191 847 21230 255 996 9997 473 667 21729 521 935 00022 519 800 0005 540 500 000111 195 000214 550 00075 450 000255 000 000500 000 000p.m.500 000 000342 210 00022 000 00058 040 0007 500 00019 201 000p.m.13 970 00015 500 00015 000 0002 600 00032 700 0001 000 00020 500 00038 200 00065 174 00030 825 000251 081 75349 386 592 09265 903 300180 510 00047 432 000220 000 000p.m.p.m.p.m.356 107 50022 045 00056 770 0008 400 00022 211 2801 500 00046 387 00014 300 00015 000 0002 600 00029 900 0001 600 00016 200 00038 100 00044 750 00036 344 220247 397 80336 383 885 000PA(1)
Financial framework2011(2)EURCAPACA
Draft budget2011(3)EURPA53 301 000175 110 00058 932 000200 000 00050 000 00050 000 000p.m.345 650 0007 000 00055 520 0005 450 00021 540 000500 00031 190 00016 850 00015 000 0002 620 00052 940 000300 00018 100 00039 350 00051 380 00027 910 000237 994 47042 540 796 74034 780 000 00025 831 400 0005 992 500 000
Difference2011 / 2010(3 / 1)%CA0,7%-10,8%8,6%1,2%0,0%0,0%0,0%0,1%-70,5%-1,5%-100,0%0,2%0,0%29,3%8,7%-100,0%20,0%96,6%-100,0%3,4%6,3%4,3%-11,0%-5,2%3,2%1,8%3,8%3,7%PA-19,1%-3,0%24,2%-9,1%100,0%100,0%0,0%-2,9%-68,2%-2,2%-35,1%-3,0%-66,7%-32,8%17,8%0,0%0,8%77,1%-81,2%11,7%3,3%14,8%-23,2%-3,8%16,9%17,8%8,2%CA
Difference2011 – 2010(3 – 1)EURPA-12 602 300-5 400 00011 500 000-20 000 00050 000 00050 000 000213 000-15 500 000-880 000-7 500 00044 0004 090 0001 350 000-15 000 000520 00031 600 000-1 000 000700 0002 400 0002 776 000-3 387 000-13 087 2831 583 501 692699 650 379275 180 14420 00023 040 000-1 300 0001 900 0001 250 0006 630 000-8 434 220-9 403 3336 156 911 7405 258 065 0003 311 600 000452 000 000-10 457 500-15 045 000-1 250 000-2 950 000-671 280-1 000 000-15 197 0002 550 000
112 000 000191 330 00081 932 000258 000 000500 000 000p.m.500 000 000342 423 0006 500 00057 160 000019 245 000p.m.18 060 00016 850 000p.m.3 120 00064 300 000p.m.21 200 00040 600 00067 950 00027 438 000237 994 47050 987 000 00050 970 093 78416 906 21639 891 497 59131 406 373 0767 748 847 361
805 000-23 220 0006 482 0003 000 000
14,7% 1 150 376 077
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Budget2010(1)EURCA— 13 – Regional policy— Regional competitiveness and employment objective— 04 – Employment and social affairs— 13 – Regional policy— European territorial cooperation objective— 13 – Regional policy— 19 – External relations— Technical assistance— 04 – Employment and social affairs— 13 – Regional policy— Other actions and programmes (13 – Regional policy)— Cohesion Fund (13 – Regional policy)2. PRESERVATION AND MANAGEMENT OF NATURALRESOURCESOf which: Market related expenditure and direct paymentsMarginOf which: Market related expenditure and direct payments— Market related expenditure and direct aids— Agriculture markets (05 – Agriculture and ruraldevelopment)— Fisheries market (11 – Maritime affairs and Fisheries)— Animal and plant health (17 – Health and consumerprotection)— Rural development (05 – Agriculture and rural development)— European Fisheries Fund (11 – Maritime affairs andFisheries)— Fisheries governance and international agreements (11 –Maritime affairs and Fisheries)— Life+ (07 – Environment and Climate Action)— Other actions and programmes— 05 – Agriculture and rural development— 07 – Environment and Climate Action(3)(1)
Financial framework2011(2)EURPACAPACA
Draft budget2011(3)EURPA19 838 900 0007 835 400 0003 007 400 0004 828 000 0001 040 300 000954 300 00086 000 00072 900 00024 000 00048 900 0008 046 7407 752 750 00058 135 685 29643 656 761 358
Difference2011 / 2010(3 / 1)%CA3,8%-6,8%-4,2%-8,9%5,6%3,8%28,2%-0,0%-1,7%0,8%-100,0%8,7%-0,0%-0,2%PA16,8%28,5%13,0%40,6%27,1%26,4%36,3%-17,2%-22,6%-14,3%15,0%13,1%0,0%-0,1%CA
Difference2011 – 2010(3 – 1)EURPA2 859 600 0001 739 500 000346 000 0001 393 500 000222 100 000199 200 00022 900 000-15 135 000-7 000 000-8 135 0001 046 740897 800 00044 487-44 446 228875 195 933-520 009 038-138 859 700-381 149 33869 289 79443 687 46125 602 333-6 454-471 454465 000-4 500 000888 351 313-12 584 913-72 399 868
22 782 329 7827 604 832 1463 343 826 3114 261 005 8351 242 911 6131 152 279 16790 632 44688 106 45426 971 45461 135 0004 500 00010 190 244 88059 498 833 30243 819 801 768
16 979 300 0006 095 900 0002 661 400 0003 434 500 000818 200 000755 100 00063 100 00088 035 00031 000 00057 035 0007 000 0006 854 950 00058 135 640 80943 701 207 58660 338 000 00047 617 000 000
23 657 525 7157 084 823 1083 204 966 6113 879 856 4971 312 201 4071 195 966 628116 234 77988 100 00026 500 00061 600 000p.m.11 078 596 19359 486 248 38943 747 401 900851 751 611719 188 100
43 819 801 76843 417 420 00030 496 768371 885 00014 363 564 633644 028 678277 530 000306 855 00044 100 0004 500 00024 500 000
43 701 207 58643 416 522 58631 000 000253 685 00013 399 280 000481 080 000252 460 000215 820 00042 680 0004 500 00016 980 000
43 747 401 90043 374 505 13229 996 768342 900 00014 436 116 552658 285 042262 175 000333 500 0005 000 000p.m.5 000 000
43 656 761 35843 376 461 35827 500 000252 800 00013 404 365 000488 822 859250 473 000268 225 00023 268 184p.m.7 620 000
-0,2%-0,1%-1,6%-7,8%0,5%2,2%-5,5%8,7%-88,7%-100,0%-79,6%
-0,1%-0,1%-11,3%-0,3%0,0%1,6%-0,8%24,3%-45,5%-100,0%-55,1%
-72 399 868-42 914 868-500 000-28 985 00072 551 91914 256 364-15 355 00026 645 000-39 100 000-4 500 000-19 500 000
-44 446 228-40 061 228-3 500 000-885 0005 085 0007 742 859-1 987 00052 405 000-19 411 816-4 500 000-9 360 000
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Budget2010(1)EURCA— 11 – Maritime affairs and Fisheries— 15 – Education and culture— 17 – Health and consumer protection— 23 – Humanitarian aid— Decentralised agencies3. CITIZENSHIP, FREEDOM, SECURITY AND JUSTICEMargin3a. Freedom, security and justiceMargin— Solidarity and management of migration flows— Security and safeguarding liberties— Fundamental rights and justice— Other actions and programmes— Decentralised agencies3b. CitizenshipMargin— Public health and consumer protection programme (17 –Health and consumer protection)— Culture 2007 – 2013 (15 – Education and culture)— Youth in action (15 – Education and culture)— Media 2007 (15 – Education and culture)— Europe for Citizens (16 – Communication)— Civil protection Financial instrument (23 – Humanitarian aid)— Communication actions (16 – Communication)— European Solidarity Fund (13 – Regional policy)— Other actions and programmes— 04 – Employment and social affairs— 09 – Information society and media— 15 – Education and culture— 16 – Communication— 17 – Health and consumer protection73 290 00054 165 000124 886 000102 078 50032 505 00018 450 00095 280 000p.m.42 049 500p.m.1 500 00028 639 5009 410 0001 000 00063 300 00044 529 000122 380 00093 500 00023 365 00012 450 00086 540 000p.m.96 766 500150 0001 750 00030 549 5009 320 0001 347 000517 150 000106 900 00077 500 00065 100 000239 837 370668 000 000349 290 00073 729 00058 690 00043 024 000213 837 370659 387 5001 006 487 370738 570 3702 000 0007 500 00042 953 2231 674 487 3703 000 0007 000 00043 113 2231 397 957 8705 600 000PA11 200 000(1)
Financial framework2011(2)EURCAPACA
Draft budget2011(3)EURPAp.m.p.m.p.m.43 769 8957 148 1843 500 0005 000 00043 769 8951 491 552 740852 573 740431 110 00066 700 00064 920 00048 706 000241 137 740638 979 00073 850 00049 550 000118 280 000101 210 00021 700 00018 350 00086 400 000p.m.44 334 000p.m.1 350 00021 134 00014 220 0001 247 000
Difference2011 / 2010(3 / 1)%CA-100,0%-100,0%-100,0%1,9%7,7%12,8%18,5%24,4%0,6%-9,1%5,3%-0,0%2,8%6,3%1,6%7,8%-12,2%-0,5%-1,7%0,0%-23,2%0,0%-33,3%-41,9%55,8%-100,0%PA-36,2%16,7%-28,6%1,5%6,7%15,4%23,4%-9,5%10,6%13,2%12,8%-3,1%16,7%11,3%-3,4%8,2%-7,1%47,4%-0,2%0,0%-54,2%-100,0%-22,9%-30,8%52,6%-7,4%CA
Difference2011 – 2010(3 – 1)EURPA-4 051 816500 000-2 000 000656 67293 594 870114 003 37081 820 000-7 029 0006 230 0005 682 00027 300 370-20 408 50010 550 0005 021 000-4 100 0007 710 000-1 665 0005 900 000-140 000-52 432 500-150 000-500 000-11 995 5005 250 000-1 000 000-400 000-9 415 5004 900 000-100 000-5 600 000-2 000 000-7 500 000816 672128 582 370128 765 37095 440 00026 100 000500 000-5 900 00012 625 370-183 0002 060 0003 407 0002 002 0007 956 500-3 975 000-100 000-1 595 000-9 745 500
1 889 000 0001 206 000 000
1 803 069 74085 930 2601 135 252 74070 747 260612 590 000133 000 00078 000 00059 200 000252 462 740
683 000 000
667 817 00015 183 00075 350 00057 572 000126 888 000110 035 00028 530 00018 350 00093 685 000p.m.32 304 000p.m.1 000 00016 644 00014 660 000p.m.
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Budget2010(1)EURCA— 18 – Area of freedom, security and justice— 22 – Enlargement— 23 – Humanitarian aid— Decentralised agencies4. EU AS A GLOBAL PLAYER(4)(1)
Financial framework2011(2)EURPA1 500 00049 900 0002 250 000116 557 0007 787 695 1831 782 174 40030 810 000131 700 000596 625 0001 019 851 1503 188 2501 359 833 0002 061 364 3011 000 0001 170 439 871888 924 4301 000 00017 063 0009 500 000157 974 00061 800 000191 405 160800 518 00090 000 000225 650 00093 810 0008 430 000 000CAPACA
Draft budget2011(3)EURPAp.m.0p.m.125 103 0008 613 529 37770 330 6231 796 793 000103 798 000215 220 000431 421 1411 043 414 8562 939 0031 726 993 0002 612 193 24001 351 832 2401 260 361 000025 121 00045 000 000163 113 00075 813 000290 188 000824 693 000114 868 567327 374 000138 880 000p.m.6 383 000p.m.125 305 0007 601 763 8671 513 666 15764 398 00075 120 000451 277 154919 932 0002 939 0031 348 092 6002 255 997 488250 0001 215 145 5001 040 501 988100 00020 100 0007 060 000148 673 00071 268 300207 088 000824 693 000103 500 000286 036 000138 880 000
Difference2011 / 2010(3 / 1)%CA-100,0%0,0%0,0%-0,2%5,6%13,2%17,3%26,6%19,1%8,3%-7,8%3,2%3,9%0,0%2,6%5,3%0,0%5,8%30,4%-0,7%7,6%32,2%3,0%16,0%16,3%48,0%-9,8%-7,8%-0,9%9,4%-75,0%3,8%17,1%-90,0%17,8%-25,7%-5,9%15,3%8,2%3,0%15,0%26,8%48,0%PA-100,0%-87,2%-100,0%7,5%-2,4%-15,1%109,0%-43,0%CA
Difference2011 – 2010(3 – 1)EURPA-1 500 000-43 517 000-2 250 000-193 000453 347 377209 693 00015 323 00045 220 00069 288 06280 111 185-249 24754 125 37398 585 27134 848 74063 736 5311 381 00010 500 000-1 085 2005 360 11870 629 00024 175 00015 883 56745 833 00045 070 0008 748 000-185 931 316-268 508 24333 588 000-56 580 000-145 347 846-99 919 150-249 247-11 740 400194 633 187-750 00044 705 629151 577 558-900 0003 037 000-2 440 000-9 301 0009 468 30015 682 84024 175 00013 500 00060 386 00045 070 000-1 500 000
1 500 000—p.m.125 296 0008 160 182 000Margin1 587 100 00088 475 000170 000 000362 133 079963 303 6713 188 2501 672 867 6272 513 607 969—1 316 983 5001 196 624 469—23 740 00034 500 000164 198 20070 452 882219 559 000800 518 00098 985 000281 541 00093 810 000
— Instrument for Pre-Accession assistance (IPA)— 04 – Employment and social affairs— 05 – Agriculture and rural development— 13 – Regional policy— 22 – Enlargement— 32 – Energy— European Neighbourhood and Partnership Instrument (ENPI)(19 – External relations)— Development Cooperation Instrument (DCI)— 07 – Environment and Climate Action— 19 – External relations— 21 – Development and relations with ACP states— 32 – Energy— Industrialised Countries Instrument (19 – External relations)— Industrialised Countries Instrument (ICI+) (19 – Externalrelations)— Democracy and Human Rights (19 – External relations)— Instrument for Nuclear Safety Cooperation (19 – Externalrelations)— Instrument for Stability (19 – External relations)— Humanitarian aid (23 – Humanitarian aid)— Macro Financial Assistance (01 – Economic and financialaffairs)— Common and Foreign Security Policy (CFSP) (19 – Externalrelations)— EC guarantees for lending operations (01 – Economic and
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Budget2010(1)EURCAfinancial affairs)— Emergency aid reserve (40 – Reserve)— Other actions and programmes— 01 – Economic and financial affairs— 05 – Agriculture and rural development— 07 – Environment and Climate Action— 14 – Taxation and customs union— 15 – Education and culture— 17 – Health and consumer protection— 19 – External relations— 20 – Trade— 21 – Development and relations with ACP States— 22 – Enlargement— 23 – Humanitarian aid— Decentralised agencies5. ADMINISTRATION— Commission— Other institutions— Pensions (all institutions)— European schoolsTotalExcluding energy projects to aid economic recoveryMargin(6, 7)(8)(5)(1)
Financial framework2011(2)EURPA248 882 000669 439 322—6 275 3226 355 0002 000 0006 642 000400 00082 170 00016 930 000457 726 00084 941 0006 000 00018 282 0007 908 478 4233 604 117 0002 957 360 3791 192 789 000154 212 0448 334 000 000CAPACA
Draft budget2011(3)EURPA203 000 000453 859 3224 308 0006 360 0004 800 0001 300 0007 410 000200 00054 049 11213 930 000271 523 71085 478 5004 500 00019 850 0008 267 259 9293 709 631 0003 109 135 9291 274 979 000173 514 000
Difference2011 / 2010(3 / 1)%CA2,0%-40,1%100,0%1,3%13,2%-35,0%0,2%-50,0%-40,0%0,0%-74,0%192,7%-37,5%8,6%4,5%2,9%5,1%6,9%12,5%0,8%2,2%PA-18,4%-32,2%100,0%1,3%-24,5%-35,0%11,6%-50,0%-34,2%-17,7%-40,7%0,6%-25,0%8,6%4,5%2,9%5,1%6,9%12,5%5,8%5,8%CA
Difference2011 – 2010(3 – 1)EURPA-45 882 000-215 580 0004 308 00084 678-1 555 000-700 000768 000-200 000-28 120 888-3 000 000-159 163 00019 750 000-3 000 0001 568 000357 221 506103 954 000151 775 55082 190 00019 301 9561 084 067 049-186 202 290537 500-1 500 0001 568 000358 781 506105 514 000105 514 00082 190 00019 301 9567 189 844 654
248 882 000332 138 322—6 275 3223 800 0002 000 0009 662 000400 00062 820 00013 930 000215 001 00010 250 0008 000 00018 282 0007 908 983 423Margin3 604 622 0002 957 360 3791 192 789 000154 212 044
253 860 000198 789 57034 460 5706 360 0004 300 0001 300 0009 680 000200 00037 721 00013 930 00055 838 00030 000 0005 000 00019 850 0008 266 204 929149 795 0713 708 576 0003 109 135 9291 274 979 000173 514 000
4 978 000-133 348 75234 460 57084 678500 000-700 00018 000-200 000-25 099 000
141 491 931 440 122 956 928 088 142 965 000 000
134 280 000 000 142 575 998 489 130 146 772 7421 224 861 5114 418 227 2581,05%
Appropriations as % of GNI
1,18%
1,02%
1,15%
1,08%
1,15%
(1) Budget 2010 includes draft amending budgets 1 to 4.(2) The margin for heading 1a does not take into account the appropriations related to the European Globalisation adjustment Fund (EUR 500 million).(3) After the transfer from modulation to Rural Development and from cotton and wine for restructuring in the respective regions (EUR 3 150,4 million).(4) The margin for heading 4 does not take into account the appropriations related to the Emergency Aid Reserve (EUR 253,9 million).(5) For calculating the margin under the ceiling for heading 5, account is taken of the footnote (1) of the financial framework 2007-2013 for an amount of EUR 82 million for the staff contributions to the pensions scheme.(6) The global margin for the commitments does not take into account the appropriations related to the European Globalisation adjustment Fund (EUR 500 million), the Emergency Aid Reserve (EUR 253,9 million) and to the staff contributionsto the pensions scheme (EUR 82 million).
EN
65
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Budget2010(1)EUR(1)
Financial framework2011(2)EUR
Draft budget2011(3)EUR
Difference2011 / 2010(3 / 1)%
Difference2011 – 2010(3 – 1)EURPA
CAPACAPACAPACAPACA(7) The global margin for the payments does not take into account the appropriations related to the Emergency Aid Reserve (EUR 203 million) and to the staff contributions to the pensions scheme (EUR 82 million).(8) The Draft Budget is based on the April 2010 forecast of GNI. A new forecast will be issued on 18 May 2010 after the Advisory Committee on Own Resources (ACOR) meeting.
EN
66
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5.3.
Annex III — 2011 Draft Budget by policy area(Commitment appropriations, EUR million, post and/or person/years)Budget2010TitleCommitmentappropriations1448,671 696,1090,8111 273,7558 080,711 407,52445,414 605,881 516,31383,321 001,1973,9838 895,65135,182 104,85259,59707,951 067,614 250,3279,041 672,741 022,42854,3677,64187,901 013,7068,2510,62140,921 214,09388,922 610,30748,88138 534,572 957,36141 491,9336 812(1)
Draft budget2011Commitmentappropriations36129919078561 1335657031 9721 1482 7253706057575396431 0659396313 5156102 5459542714311 5763 82547810980503 940592036 812533,961 040,8095,0411 398,8058 154,421 555,38454,135 332,931 537,58394,98996,4993,0740 373,46142,632 388,68268,23684,661 200,604 482,4581,071 587,611 124,38873,5280,13194,981 045,0275,6511,58146,631 291,78399,02673,31753,86139 466,863 109,14142 576,—36 712Humanresources(2)46109908968551 1265837121 8261 1392 7203716067485356441 0759486343 8076082 3159592734351 5763 79151711180103 925576036 712
Difference2011-2010Commitmentappropriations3/119,01%-38,64%4,66%1,11%0,13%10,51%1,96%15,79%1,40%3,04%-0,47%25,80%3,80%5,51%13,48%3,33%-3,29%12,46%5,46%2,56%-5,09%9,97%2,24%3,20%3,77%3,09%10,85%9,12%4,05%6,40%2,60%-74,21%0,66%0,67%0,77%-100-100-15-16-34392-4Humanresources(2)4-2-2-1-11-1-7189-146-9-511-9-411093292-2-230524
Humanresources(2)2
01 Economic and financial affairs02 Enterprise(6)
03 Competition04 Employment and social affairs05 Agriculture and rural development06 Mobility and transport07 Environment and Climate Action08 Research09 Information society and Media10 Direct research11 Maritime affairs and Fisheries12 Internal market13 Regional policy14 Taxation and customs union15 Education and culture16 Communication17 Health and consumer protection18 Area of freedom, security and justice19 External relations20 Trade(3)(3)
21 Development and relations with African, Caribbean andPacific (ACP) States(3), (4) (7)22 Enlargement(3)23 Humanitarian aid24 Fight against fraud25 Commission's policy coordination and legal advice26 Commission’s administration27 Budget28 Audit29 Statistics30 Pensions and related expenditure31 Language services32 EnergyTotalOther institutions (excluding pensions)Grand total(8)(5)
40 Reserves
(1) Budget 2010 includes Draft Amending Budgets 1 to 4.(2) Covers both regular and support staff.(3) Includes appropriations for regular staff working in the European Commission delegations covered by the Policy Area.(4) Includes staff employed with the European Development Fund.(5) Human resources figures for Title 27 ‘Budget’ include staff (40 in 2011) currently not allocated to a specific policy area or awaiting reallocation, and attributed fortechnical reasons to the policy area ‘Budget’.(6) The reduction of commitment appropriations for this Title, as compared to 2010, is mainly due to Galileo, now that the temporary reinforcement (2008–2010, in thecontext of the revision of the multiannual financial framework of December 2007) of commitment appropriations for this programme has come to an end.(7) The reduction of commitment appropriations for this Title, as compared to 2010, mostly results from the phasing out of commitment appropriations for the FoodFacility (2008–2010, in the context of the revision of the multiannual financial framework of December 2008).(8) The reduction of commitment appropriations for this Title, as compared to 2010, is due to the fact that the additional commitment appropriations for the financingof energy projects under the European Economic Recovery Plan (2009–2010, in the context of the revision of the multiannual financial framework of December 2009)are no longer available.
EN
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5.4.5.4.1.
Annex IV — Bodies set up by the European Union and having legal personalityDecentralised agencies(in million EUR)Budget 2010(1)
5.4.1.1. Decentralised agencies of heading 1a – Competitiveness for growth and employment2011Foreseen EU contributionRevenues Of whichestimatedAgencyOf whichby thecontributio Total EU Of which assignedAgencyn request contribution DB 2011 revenues226,2004565,1352,7558,450316,9407,5302719,0670,76220,45010113,7430,50614,6664432,8791,316132,31457452,44920,50056,59823,00020823,2600,21427,7471487,2880,6408,113447,93226,97655,31123,00037,06014,54020,2107,5308,450p.m.p.m.4568,200297,5302720,21010114,5404434,40057454,93623,00020825,3031447,932447,1880,68424,3740,92950,69623,0004,24033,3161,08314,3150,22420,2107,5308,200p.m.VariationClassificationEUDB 2011 /DB 2011contributionBudget 20102011 / 2010-100,0%303,9%18,5%20,4%02,0%00,6%04,7%12,2%87,8%50,0%0-1,4%Cruising speed4,8%New tasks-3,3%12,2%New tasks1,3%Cruising speed4,2%Cruising speed6,0%8,5%Start-up phase59,7%New tasks-100,0%
Name of the decentralised agency
Budget line
Location
EU contributionYear ofTotalcreation revenues of Total EU Of which Of whichassignedthe Agency contribution Budget2010revenues200686,48242643,9174267,890286,9402520,13010114,2504434,19557052,44920,50020020023,4741397,9284435,1508,767
Chemicals Legislation and ChemicalsAgency (ECHA)Authorised establishment planEuropean(GNSS)Authority (GSA)Supervisory
02 03 03
Helsinki
Cruising speed
02 05 02
Brussels
2004
7,89028
Authorised establishment planInstitute for Gender EqualityAuthorised establishment planEuropeanFoundationfortheImprovement of Living and WorkingConditions (EUROFOUND)Authorised establishment planEuropean Agency for Safety andHealth at Work (EU-OSHA)Authorised establishment planEuropean Aviation Safety Agency(EASA)Authorised establishment planEuropean Maritime Safety Agency(EMSA)Authorised establishment planEuropean Railway Agency (ERA)Authorised establishment planEuropean Network and InformationSecurity Agency (ENISA)Authorised establishment plan09 02 03Heraklion200406 02 08LilleValenciennes200406 02 02Lisbon200206 02 01Köln200204 04 04Bilbao199404 04 03Dublin197504 04 02Vilnius2006
6,9402520,44010114,79044126,50357053,791
Cruising speed
Of which anti-pollution measures06 02 02 03
24,1471397,92844
EN
68
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EN
Budget 2010(1)Name of the decentralised agencyBudget lineLocationEU contributionYear ofTotalcreation revenues of Total EU Of which Of whichassignedthe Agency contribution Budget2010revenues20093,6701012 03 01Alicante1993347,03164412 04 01[Paris]20106443,470103,470
2011Foreseen EU contributionRevenues Of whichestimatedAgencyOf whichby thecontributio Total EU Of which assignedAgencyn request contribution DB 2011 revenues3,77912166,27362814,159435,664p.m.3,5793,57912p.m.6285,664435,0175,017404,2194,2194017,27017,27010147,0567,00061538,4204,9015675,0005,00040265,814252,220237,47814,6805,00032,9434,9015,47715,7421,5284,2195,0175,664p.m.p.m.3,579
VariationClassificationEUDB 2011 /DB 2011contributionBudget 20102011 / 2010
Body of European Regulators forElectronic Communications (BEREC)— OfficeAuthorised establishment planOffice for HarmonisationInternal Market (OHIM)inthe
09 02 04
—
3,1%20,0%-16100,0%43100,0%40100,0%402,1%03,5%8,9%0150,0%15-6,8%
3,1%
Start-up phase
0,0%
Cruising speed
Authorised establishment planEuropean Securities and MarketsAuthority (ESMA)Authorised establishment planEuropean Banking Authority (EBA)Authorised establishment planEuropeanOccupational(EIOPA)InsuranceandPensions Authority12 04 03[Frankfurt]201012 04 02[London]2010
100,0%
To be created
12,5434010,54740
100,0%
To be created
100,0%
To be created
Authorised establishment planEuropean Centre for the Developmentof Vocational Training (CEDEFOP)Authorised establishment planEuropean Medicines Agency (EMA)17 03 10London1993Of which special contribution for17 03 10 03orphan medicinal productsAuthorised establishment planEuropean Agency for the Cooperationof the Energy Regulators (ACER)Authorised establishment planTotal decentralised agencies - heading1aOf which special contribution for orphanmedicinal products and anti-pollutionmeasuresAuthorised establishment plan(1)
15 02 25
Thessaloniki
1975
17,436101198,187
16,92010137,1124,500
16,920
17,757101
-7,0%
Cruising speed
32,7804,500
4,332
218,934
0,5%8,9% Cruising speed
56732 04 10Ljubljana20092,00025917,235
5672,00025270,675251,08119,2922,000
5,12640951,186
150,0%
Start-up phase
-5,2%
25,0002 9242 924
25,0003 152
30,000
27,9013 098
27,901
11,6%174
11,6%
Budget 2010 includes Draft Amending Budgets 1 to 4.
EN
69
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5.4.1.2. Decentralised agencies of heading 2 – Preservation and management of natural resources(in million EUR)Budget 2010Name of the decentralised agencyBudget lineLocation(1)
2011Foreseen EU contributionRevenues Of whichestimatedAgencyOf whichby thecontributio Total EU Of which assignedAgencyn request contribution DB 2011 revenues41,28513435,95735,95713435,1050,852
VariationClassificationEUDB 2011 /DB 2011contributionBudget 20102011 / 20102,0%10,0%00,0%To be created-0,4%
EU contributionYear ofTotalcreation revenues of Total EU Of which Of whichassignedthe Agency contribution Budget2010revenues199050,48613335,25813335,258
European(EEA)
Environment
Agency
07 03 09
Copenhagen
Cruising speed
Authorised establishment planChemicals Legislation and ChemicalsAgency (ECHA) - Biocides activitiesAuthorised establishment planCommunity Fisheries Control Agency(CFCA)Authorised establishment planCommunity(CPVO)PlantVarietyOffice17 04 05Angers199411 08 05Vigo200507 03 60Helsinki2011
11,0135313,0374674,536232
8,41053
7,695
0,715
8,8505312,671
8,850
8,85053
8,665
0,185
5,2%00,0%
12,6%
Cruising speed
0,0%
Cruising speed
Authorised establishment planTotal decentralised agencies - heading2Authorised establishment plan(1)
4643,66823242,9530,715
4662,80623344,807
4644,80723343,7701,037
02,6%11,9%
Budget 2010 includes Draft Amending Budgets 1 to 4.
5.4.1.3. Decentralised agencies of heading 3a – Freedom, security and justice(in million EUR)Budget 2010Name of the decentralised agencyBudget lineLocation(1)
2011Foreseen EU contributionRevenues Of whichestimatedAgencyOf whichby thecontributio Total EU Of which assignedAgencyn request contribution DB 2011 revenues88,21017010,60010,60084,00081,00014310,60010,60078,0003,000
VariationClassificationEUDB 2011 /DB 2011contributionBudget 20102011 / 2010
EU contributionYear ofTotalcreation revenues of Total EU Of which Of whichassignedthe Agency contribution Budget2010revenues200487,91714385,55014383,0002,550
EuropeanAgencyfortheManagementofOperationalCooperation at the External Borders(FRONTEX)Authorised establishment planAgencyfortheoperationalmanagement of large scale JLS ITsystems
18 02 03
Warsaw
-5,3%0100,0%
-6,0%
Cruising speed
18 02 11
-
2010
100,0% To be created
EN
70
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EN
Budget 2010(1)Name of the decentralised agencyBudget lineLocationEU contributionYear ofTotalcreation revenues of Total EU Of which Of whichassignedthe Agency contribution Budget2010revenues
2011Foreseen EU contributionRevenues Of whichestimatedAgencyOf whichby thecontributio Total EU Of which assignedAgencyn request contribution DB 2011 revenues75758,0008,0003820,00020,0007282,9178,80031,73382,9174538,3412631,73318715,55015,40084261,600257,9911 078252,4625,52915,1700,23029,7751,9588,0000,34182,91720,0008,000
VariationClassificationEUDB 2011 /DB 2011contributionBudget 20102011 / 20107552,4%140,0%04,0%06,9%05,2%22,7%06,0%915,3%2,5%-1,3%2,6%4,0%Cruising speedCruising speedNew tasks4,7%Cruising speed52,4%To be created
Authorised establishment planEuropean Asylum Support Office(EASO)Authorised establishment planEuropeanUnionAgencyFundamental Rights (FRA)for18 04 05Vienna200718 03 14Valetta20105,2502420,0027218 05 0218 05 0518 06 04Authorised establishment planEuropean Monitoring Centre forDrugsandDrugAddiction(EMCDDA)Authorised establishment planTotal decentralised agencies - heading3aAuthorised establishment plan(1)
5,2502420,0007279,7244537,8002630,16318515,00084243,487987
5,250
8,00038
19,100
0,900
20,00072
Authorised establishment planEuropean Police Office (EUROPOL)Authorised establishment planEuropean Police College (CEPOL)Authorised establishment planEurojustThe Hague2002Bramshill2005The Hague1995
80,0684537,8002630,163185
79,7247,80030,163
83,65945328,0002831,733191
18 07 01
Lisbon
1993
15,99984247,199987
14,800
0,200
16,51486
Cruising speed
239,837
3,650
286,7161 113
Budget 2010 includes Draft Amending Budgets 1 to 4.
5.4.1.4. Decentralised agencies of heading 3b – Citizenship(in million EUR)Budget 2010Name of the decentralised agencyBudget lineLocation(1)
2011Foreseen EU contributionRevenues Of whichestimatedAgencyOf whichby thecontributio Total EU Of which assignedAgencyn request contribution DB 2011 revenues59,00020057,50055,40020084,07075,61072,3333,27752,7702,630
VariationClassificationEUPB 2011 /DB 2011contributionBudget 20102011 / 2010-1,8%03,6%4,8%Cruising speed-6,2%
EU contributionYear ofTotalcreation revenues of Total EU Of which Of whichassignedthe Agency contribution Budget2010revenues200457,90020056,40020072,99669,0413,95556,2550,145
EuropeanCentreforDiseasePrevention and Control (ECDC)Authorised establishment planEuropeanFoodSafetyAuthority
17 03 03
Stockholm
Cruising speed
17 03 07
Parma
2002
73,491
84,070
EN
71
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EN
Budget 2010(1)Name of the decentralised agencyBudget lineLocationEU contributionYear ofTotalcreation revenues of Total EU Of which Of whichassignedthe Agency contribution Budget2010revenues355131,391555355129,396555125,2964,100
2011Foreseen EU contributionRevenues Of whichestimatedAgencyOf whichby thecontributio Total EU Of which assignedAgencyn request contribution DB 2011 revenues365143,070565141,570355131,010555125,1035,907
VariationClassificationEUPB 2011 /DB 2011contributionBudget 20102011 / 2010
(EFSA)Authorised establishment planTotal decentralised agencies - heading3bAuthorised establishment plan(1)
01,2%0-0,2%
Budget 2010 includes Draft Amending Budgets 1 to 4.
5.4.1.5. Decentralised agency of heading 4 – EU as a global player(in million EUR)Budget 2010Name of the decentralised agencyBudget lineLocation(1)
2011Foreseen EU contributionRevenues Of whichestimatedAgencyOf whichby thecontributio Total EU Of which assignedAgencyn request contribution DB 2011 revenues20,9289620,92819,8509620,92819,8509619,85019,850
VariationClassificationEUDB 2011 /DB 2011contributionBudget 20102011 / 20102,0%02,0%08,6%8,6%Cruising speed
EU contributionYear ofTotalcreation revenues of Total EU Of which Of whichassignedthe Agency contribution Budget2010revenues199019,4609619,4609619,4609619,4609618,2821,17818,2821,178
European Training Foundation (ETF)Authorised establishment planTotal decentralised agencies - heading4Authorised establishment plan(1)
15 02 27
Turin
20,92896
Budget 2010 includes Draft Amending Budgets 1 to 4.
5.4.1.6. Decentralised agency of heading 5 – Administration(in million EUR)Budget 2010Name of the decentralised agencyBudget lineLocation(1)
2011Foreseen EU contributionRevenues Of whichestimatedAgencyOf whichby thecontributio Total EU Of which assignedAgencyn request contribution DB 2011 revenues49,310
VariationClassificationEUDB 2011 /DB 2011contributionBudget 20102011 / 20100,0%225-80,0%0,0%0,0%
EU contributionYear ofTotalcreation revenues of Total EU Of which Of whichassignedthe Agency contribution Budget2010revenues199448,11522548,115233
Translation Centre for the bodies of31 01 09the European UnionAuthorised establishment planTotal decentralised agencies - heading5
Luxembourg
Cruising speed
22549,310
EN
72
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Budget 2010(1)Name of the decentralised agencyBudget lineLocationEU contributionYear ofTotalcreation revenues of Total EU Of which Of whichassignedthe Agency contribution Budget2010revenues225233
2011Foreseen EU contributionRevenues Of whichestimatedAgencyOf whichby thecontributio Total EU Of which assignedAgencyn request contribution DB 2011 revenues225225
VariationClassificationEUDB 2011 /DB 2011contributionBudget 20102011 / 2010-8
Authorised establishment plan(1)
Budget 2010 includes Draft Amending Budgets 1 to 4.
5.4.1.7. Total of decentralised agencies(in million EUR)Budget 2010Name of the decentralised agenciesBudget lineLocation(1)
2011Foreseen EU contributionRevenues Of whichestimatedAgencyOf whichby thecontributio Total EU Of which assignedAgencyn request contribution DB 2011 revenues1 514,0165 384734,719705,8785 285679,17826,639
VariationClassificationEUDB 2011 /DB 2011contributionBudget 20102011 / 2010-0,1%2580,3%
EU contributionYear ofTotalcreation revenues of Total EU Of which Of whichassignedthe Agency contribution Budget2010revenues1 437,9365 019706,6865 027677,44928,935
Total decentralised agenciesAuthorised establishment planOf which decentralised agencies ‘to becreated’ and ‘start-up phase’Authorised establishment plan(1)
17,86084
17,66084
17,660
72,284315
49,609
49,609315
49,609
180,9%231
180,9%
Budget 2010 includes Draft Amending Budgets 1 to 4.
5.4.2.
European joint undertakings(in million EUR)Budget 2010Name of the European joint undertakingBudget lineLocationYear ofcreation200730,900413,240444,140234Brussels08 02 02200798,64596,220159,316155,400155,40061,5%30,900343,340374,24023435,900446,360482,26023935,900351,760387,66035,900351,760387,66023916,2%2,5%3,6%5Total revenuesof the JointUndertaking(2)(1)(2)
2011RevenuesOf which Jointestimated by theUndertakingJoint Undertaking contribution requestEUcontribution(DB 2011)
VariationEU contribution2011 / 2010
Of which EUcontribution
European Joint Undertaking for ITER – Fusion for Energy (F4E)European Joint Undertaking for ITER — Fusion for Energy (F4E) —08 01 04 40Expenditure on administrative managementEuratom — European Joint Undertaking for ITER — Fusion for Energy(F4E)Total European Joint Undertaking for ITER – Fusion for Energy (F4E)Authorised establishment planInnovative Medicines Initiative (IMI) Joint UndertakingCooperation — Health — Innovative Medicines Initiative (IMI) Joint08 20 02
Barcelona
EN
73
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Budget 2010(1)Name of the European joint undertakingUndertakingCooperation — Health — Support expenditure for Innovative MedicinesInitiative (IMI) Joint UndertakingTotal Innovative Medicines Initiative Joint Undertaking (IMI)Authorised establishment planClean Sky Joint UndertakingCooperation — Transport — Clean Sky Joint UndertakingCooperation — Transport — Support expenditure for Clean Sky JointUndertakingTotal Clean Sky Joint UndertakingAuthorised establishment planARTEMIS Joint UndertakingCooperation — Information and communication technologies — ARTEMIS09 04 01 02Joint UndertakingCooperation — Information and communication technologies — Support09 04 01 03expenditure for ARTEMIS Joint UndertakingTotal ARTEMIS Joint UndertakingAuthorised establishment planENIAC Joint UndertakingCooperation — Information and communication technologies — ENIAC09 04 01 04Joint UndertakingCooperation — Information and communication technologies — Support09 04 01 05expenditure for ENIAC Joint UndertakingTotal ENIAC Joint UndertakingAuthorised establishment planFuel Cells and Hydrogen (FCH) Joint UndertakingResearch related to transport (including Aeronautics) — Fuel Cells and06 06 02 02Hydrogen (FCH) Joint UndertakingCooperation — Nanosciences, nanotechnologies, materials and newproduction technologies — Fuel Cells and Hydrogen (FCH) JointUndertakingCooperation — Energy — FuelsUndertakingCellsandHydrogen(FCH)Joint08 04 0208 05 0208 05 0308 06 02Brussels20082,97353,3434,3569,8423,4862,90052,0323,4009,6003,4003,03555,5663,30010,4674,024Brussels200765,0352,27267,307663,4051,27264,677644,0842,83446,9176Brussels200755,1993,51158,710853,8161,76155,577844,0842,88846,971808 07 0208 07 03Brussels2007125,3765,065130,44117121,1393,625124,76417153,7715,160158,9311808 02 038,506107,151294,200100,420299,316168,63229Budget lineLocationYear ofcreationTotal revenuesof the JointUndertaking(2)(2)
2011RevenuesOf which Jointestimated by theUndertakingJoint Undertaking contribution request4,600160,000EUcontribution(DB 2011)4,600160,00029149,9912,517152,508149,9912,517152,50818
VariationEU contribution2011 / 2010
Of which EUcontribution
9,5%59,3%023,8%-30,6%22,2%1
43,0001,50044,500
43,0001,50044,5008
-20,1%-14,8%-19,9%0
43,0001,49644,496
43,0001,49644,4966
-32,2%17,6%-31,2%0
2,96054,2002,00010,2103,925
2,96054,2002,00010,2103,925
2,1%4,2%-41,2%6,4%15,4%
Support expenditure for Fuel Cells and Hydrogen (FCH) Joint UndertakingCooperation — Environment — Fuel Cells and Hydrogen (FCH) Joint
EN
74
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Budget 2010(1)Name of the European joint undertakingUndertakingCooperation — Transport — Fuel Cells and Hydrogen (FCH) JointUndertakingResearch related to energy — Fuel Cells and Hydrogen (FCH) JointUndertakingTotal Fuel Cells and Hydrogen (FCH) Joint UndertakingAuthorised establishment planSESAR Joint UndertakingSESAR Joint Undertaking –Financial support from projects of commoninterest from the Trans-European Transport Network - TEN06 03 05Brussels200750,00071,083121,083Authorised establishment planTotal joint undertakingsAuthorised establishment plan(1) Budget 2010 includes Draft Amending Budgets 1 to 4.(2) This amount may be increased by third party contributions and by the contributions from the private sector.(2) The EFTA contribution included for 2011 is calculated on the basis of the 2010 contribution, i.e. 2,52 %.391 027,43635150,00053,700103,70039918,71035150,00083,963133,963391 154,27435708 07 0432 06 024,92119,68498,605184,80019,20095,3321815,08125,128116,60018Budget lineLocationYear ofcreationTotal revenuesof the JointUndertaking(2)(2)
2011RevenuesOf which Jointestimated by theUndertakingJoint Undertaking contribution request14,71024,510112,515EUcontribution(DB 2011)14,71024,510112,51518
VariationEU contribution2011 / 2010
Of which EUcontribution
206,5%27,7%18,0%0
50,00058,600108,6001 010,2790
50,00058,600108,600391010,279357
0,0%9,1%4,7%010,0%6
SESAR Joint Undertaking –Financial support from Research related to06 06 02 03Transport (including Aeronautics) – FP7Total SESAR Joint Undertaking
5.4.3.
European Institute of Innovation and Technology(in million EUR)Budget 2010European Institute of Innovation and Technology (EIT)Budget lineLocationYear ofcreation2008Total revenues ofthe EIT30,9612030,96120(1)
2011Revenues estimatedOf which EITby the EITcontribution request64,3822864,3822862,80062,800EUcontribution(DB 2011)62,8002862,80028
VariationEU contribution2011 / 2010107,9%8107,9%8
Of which EUcontribution30,2002030,20020
European Institute of Innovation and TechnologyAuthorised establishment planTotal European Institute of Innovation and TechnologyAuthorised establishment plan(1) Budget 2010 includes Draft Amending Budgets 1 to 4.
15 02 11
Budapest
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5.4.4.
Executive agencies(in million EUR)Name of the executive agencyOperatingbudget lineLocationYear ofcreationEU contribution to theAgency's operatingbudgetBudget2010(1)DB 2011VariationAuthorised establishmentin %planDB 2011 /Budget2010DB 20112010(1)Staffing of the executive agencyContract agents(2)Budget2010(1)DB 2011Seconded nationalexperts(2)Budget2010(1)DB 2011Total staff(2)Budget2010(1)DB 2011
Executive agencyinnovation (EACI)
for
competitiveness
and02 01 04 30
Brussels
2004
Contribution from the Competitiveness and InnovationFramework programme – ‘Entrepreneurship andInnovation’ ProgrammeContribution from the Marco Polo II ProgrammeContribution from the Competitiveness and InnovationFramework programme – ‘Intelligent Energy – Europe’ProgrammeTotal EACIEducation, Audiovi s u a l and Culture ExecutiveAgency (EACEA)Contribution from programmes of Heading 1aContribution from programmes of Heading 3bContribution from programmes of Heading 4Contribution from programmes of Heading 3bContribution from External Relations programmesContribution from programmes of Heading 4 in theenlargement policy areaTotal EACEAExecutive agency for Health and Consumers(EAHC)Contribution from programmes of Heading 3bContribution from programmes of Heading 2Total EAHCTrans-European TransportAgency (TEN-T EA)Network ExecutiveTotal TEN-T EAEuropean Research Council Executive Agency(ERCEA)Total ERCEA
7,34206 01 04 3232 01 04 306,63315,400Brussels15 01 04 3015 01 04 3115 01 04 3216 01 04 3019 01 04 3022 01 04 30200521,19915,8390,5973,3704,3201,34346,668Luxemburg17 01 04 3017 01 04 3106 01 04 31Brussels200620056,0001,1007,1009,7949,79408 01 04 30Brussels200732,11032,1101,425
7,5441,5556,60115,700
2,8%9,1%-0,5%1,9%373711511900152156
21,44415,6440,6003,3704,6211,21946,898
1,2%-1,2%0,5%0,0%7,0%-9,2%0,5%10210231031400412416
5,8001,1006,9009,9009,90035,11535,115
-3,3%0,0%-2,8%1,1%1,1%9,4%9,4%1001002152531573303603333666600999912123838005050
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Name of the executive agency
Operatingbudget line
Location
Year ofcreation
EU contribution to theAgency's operatingbudgetBudget2010(1)31,99331,993143,065DB 201137,60237,602152,115
VariationAuthorised establishmentin %planDB 2011 /Budget2010DB 20112010(1)17,5%17,5%6,3%106390117401
Staffing of the executive agencyContract agents(2)Budget2010(1)3181062DB 2011Seconded nationalexperts(2)Budget2010(1)015DB 2011Total staff(2)Budget2010(1)074241467DB 2011
Research Executive Agency (REA)Total REATotal Executive agencies(1)(2)
08 01 04 31
Brussels
2007
3511141
4681549
Budget 2010 includes Draft Amending Budgets 1 to 4Estimate (full-time equivalents) estimated on the basis of average costs.
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5.5.5.5.1.
Annex V — Seventh Research Framework ProgrammeIntroduction
The purpose of the Seventh Framework Programme of the European Community for research, technologicaldevelopment and demonstration activities56, which covers the period between 2007 and 2013, is to pursue theobjectives laid down in Article 163 of the EC Treaty by contributing to a knowledge-based society based on aEuropean Research Area, i.e. supporting international cooperation at all levels throughout the EU, enhancingthe dynamism, creativity and excellence of European research at the frontier of knowledge, boosting both thequantity and quality of human research and technology potential in Europe as well as research and innovationcapacity throughout Europe, and ensuring optimal use is made of this.The EC Research Framework Programme is organised in specific programmes, corresponding to the four majorobjectives of European research policy: trans-national cooperation based around themes defined in relation topolicies (Cooperation), research proposed by researchers themselves (Ideas), support for individual researchers(People), and support for research capacities (Capacities).The Seventh Framework Programme of the European Atomic Energy Community for nuclear research andtraining activities (2007-2011)57, is set out in two specific programmes:––fusion energy research, with the objective of developing the technology for a safe, sustainable,environmentally responsible and economically viable energy;nuclear fission and radiation protection, with the objectives of enhancing in particular the safetyperformances, resource efficiency and cost effectiveness of nuclear fission and other uses of radiationin industry and medicine.
Direct actions are foreseen under both Framework Programmes.The Seventh Framework Programmes are both built on the achievements of its predecessors toward the creationof the European Research Area and carrying them further towards the development of a knowledge-basedeconomy and society in Europe.In 2011, the EC FP7 will have an operational budget of EUR 7 332 million for indirect actions, implementingfour objectives, each supported by its own programme:Cooperation (EUR 4 595 million)This part of the programme will cover the whole range of research activities performed in trans-nationalcooperation, from collaborative projects and networks to the coordination of national research programmes. In2011 the budget requested under this part of the programme will be devoted to the financing of collaborativeresearch on health, food, agriculture and biotechnology, information and communication technologies, nano-sciences, nano-technologies, materials and new production technologies, energy, environment (includingclimate change), transport (including aeronautics) as well as research on socio-economic sciences and thehumanities. Moreover, technological initiatives and actions focused on space and security will be implemented.In particular, research activities funded under the Environment (including Climate Change) as well as Food,Agriculture and Fisheries, and Biotechnology themes (Bio-energy Europe initiative) will contribute todeveloping ways and means to mitigate or adapt to climate change. Moreover, climate as a security threat willbe tackled by linking the socio-economic (with focus on conflicts), environmental and external relationsaspects.In the field of transport, the research initiatives aim at the development of the innovative systems for all themodes of surface transport (rail, roads and inland waterways) environmentally friendly and competitive andbetter integration of the various modes of transport. Priorities include the support of the European industry inthe aeronautical (technologies relating to the implementation of the Single Sky) and space field (GALILEO:
56
57
Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 (OJ L 412, 30.12.2006, p.1).Council Decision No 2006/970/Euratom of 18 December 2006 (OJ L 400, 30.12.2006, p. 60).
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research and continuous efforts of demonstration, in parallel with the Galileo programme financing thedeployment phases directly).In the field of energy, the research activities aim at supporting the current energy policy objectives, in particularthose of the European Strategic Energy Technology Plan (SET-Plan), through development and demonstrationof selected technology areas (including large scale demonstration programmes) which should producesignificant improvements in terms of potential market share for renewable energies (in particular through costreductions and service improvements), reduction of energy emissions (including greenhouse gas emissions),with a focus on "clean coal" aiming at "zero emission power generation" using CO2 capture and storagetechnologies as well as increase of energy efficiency and savings, to develop smart energy networks.The Cooperation Programme of FP7 foresees support for long-term public-private partnerships in the form ofJoint Technology Initiatives (JTIs). The JTIs will cover fields of major European public interest, focused onsubjects identified through dialogue with industry, in particular with the European Technology Platforms. Theywill combine private sector investment and national and European public funding, including grant funding fromthe framework. For the first time ever, these JTIs will pool industry, Member States and Commission resourcesinto targeted research programmes. They will create critical mass for European research and innovation,consolidate the European research community in key strategic areas and streamline project funding to bringresearch results on-stream quicker.In 2007-2008 the Commission proposed the setting up of 5 Joint Technology Initiatives (JTI) under Article 171of the EC Treaty:–Clean Sky - will seek to increase the competitiveness of the European aeronautics industry whilereducing the environmental burden of air transport, by reducing emissions and noise and improving thefuel economy of aircrafts;Innovative Medicines (IMI) - improving the efficiency and effectiveness of the drug developmentprocess with the long-term aim that the pharmaceutical sector will produce more effective and saferinnovative medicines;ARTEMIS (Embedded Computing Systems) - development of key technologies for EmbeddedComputing Systems across different application areas in order to strengthen European competitivenessand sustainability and allow the emergence of new markets and societal applications;ENIAC (European Technology Platform on Nanoelectronics) - development of key competences fornanoelectronics across different application areas in order to strengthen European competitiveness andsustainability and allow for the emergence of new markets and societal applications;Fuel Cells and Hydrogen (FCH) - will pursue market breakthrough of fuel cell and hydrogentechnologies and aim at placing Europe at the forefront of fuel cell and hydrogen technologiesworldwide, encouraging increased public and private research investment in fuel cells and hydrogentechnologies in the Members States and Associated countries.
–
–
–
–
The IMI, Clean Sky, ARTEMIS, and ENIAC JTIs were adopted by the Council in December 2007, whereas theCommission proposal for the FCH JTI was adopted in May 2008. At the end of 2009 the ARTEMIS, Clean Skyand IMI JTIs became autonomous. It is expected that the FCH and ENIAC JTIs will become autonomous inApril 2010.The SESAR Joint Undertaking, which has become a Union body as from 1 January 2009, is responsible for theSESAR (Single European Sky - Air Traffic Management Research) development phase ensuring themodernisation of the European air traffic management system by rationalising and concentrating public andprivate research and development efforts in air traffic management in the Union.Ideas (EUR 1 299 million)The operational budget requested by the Commission under this part of the programme will be devoted tointroducing a new dynamic in research, by putting a premium on excellence through competition and attractingthe best.
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The European Research Council (ERC) will be sustained to fund investigator-driven projects in all scientificand technological fields, including engineering, socio-economic sciences and the humanities. Theimplementation of the Ideas Programme is externalised to the ERC Executive Agency, which aims at designingand setting up ways to manage the ERC grants efficiently and effectively in a transparent and accountable way,building on existing good practice and simplifying practices where appropriate.People (EUR 754 million)This part of the programme is aimed to support researchers, focusing on key aspects of skills and careerdevelopment, increasing mobility between universities and industry, and strengthening links with nationalsystems.By outsourcing the management of the activities of the People Programme, as well as actions relating to SMEsunder the Capacities Programme to the Research Executive Agency, the Commission services are able toconcentrate on policy development. The management of the programmes is entrusted to a dedicated service,which can focus on and develop specific management and technical skills to improve the FP administration.This results in increased effectiveness and flexibility in programme implementation, simplification of theprocedures used, and increased proximity of the externalised action to the final beneficiaries by providing betterresponses to any information that (potential) beneficiaries might seek.Capacities (EUR 684 million)As in previous years, the operational budget proposed for 2011 will be devoted to ensuring optimal use anddevelopment of research infrastructures; supporting regional research-driven clusters; unleashing the fullresearch potential existing in the EU’s convergence regions and outermost regions; supporting research for thebenefit of SMEs; bringing science and society closer together; and developing and coordinating an internationalscience and technology co-operation policy. Through their combined impact, these programmes will allow forthe emergence and reinforcement of European poles of excellence in various fields.Euratom (Indirect Actions)For 2011, an amount of EUR 448 million is proposed for the operational expenditure related to indirect actionsfinanced by theEuratom 7thFramework Programmeof which EUR 396 million for the fusion energyprogramme. Fusion offers the prospect of an almost limitless supply of clean energy, with ITER being thecrucial next step in the progress towards this ultimate goal.
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Joint Research CentreDuring the 7thResearch Framework Programmes, theJoint Research Centre(JRC) will continue to balance itsactivities between research and support to the policies of the European Union. The year 2011 will present acontinuation and consolidation of the activities initiated in 2007 and implemented during 2008-2010. A totalamount of EUR 368,7 million is proposed for the JRC in 2011.For the European Communitynon-nuclear activities(EUR 258,2 million) the JRC will continue to serve theobjectives of growth, sustainable development and security through a series of actions dedicated to thedevelopment and provision of scientific and technical support to the relevant policy items. For theEuratomactivities(EUR 110,5 million), the JRC will continue and expand its activities in three main areas: themanagement of nuclear waste and its impact on the environment, nuclear safety and nuclear security.The budgetary proposals for 2011 for the specific programmes topics and research activities are listed in thetable below:
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5.5.2.
Summary table – Seventh Research Framework Programme – 2011 Draft Budget by policy area(in million EUR, at current prices)Draft Budget 2011HeadingPolicy AreaJRC258,227110,481368,708(*)830,789267,892(*)1 170,285(*)452,444(*)157,410(*)252,505(*)414,35184,366232,981225,69862,605200,0002 659,7571 298,731754,407156,304221,09918,85663,80244,79828,26550,0009,804592,9284 551,416(**)249,9584 801,37444,330351,76052,000448,09072,794520,8845 322,258368,7085 322,258757,407757,4071 340,1851 340,18570,50570,505186,665186,665540,939540,939754,4073,000757,40790,9701 261,25578,9301 340,18561,5608,94570,505182,1554,510186,665521,28419,655540,93990,9701 170,28561,560182,155521,284(*)61,560(*)182,155RTDEACINFSOMOVEENERENTRTotal258,227110,481368,708830,789267,8921 170,285452,444339,565252,505475,91184,366232,981225,69862,605200,0004 595,0411 298,731754,407247,274221,09918,85663,80244,79828,26550,0009,804683,8987 332,077364,9987 697,07544,330351,76052,000448,09072,794520,8848 217,9598 586,667
Direct actions ECDirect actions EuratomTotal Direct actionsHealthFood, Agriculture and Fisheries, and BiotechnologyInformation and Communication Technologies (ICT)Nanosciences, Nanotechnologies, Materials and newProduction TechnologiesEnergyEnvironment (including Climate Change)Transport (including Aeronautics)Socio-economic sciences and the humanitiesSpace ResearchSecurity ResearchGalileoRisk Sharing Finance FacilitySubtotal CooperationSubtotal IdeasSubtotal PeopleResearch InfrastructuresResearch for the benefit of SMEsRegions of KnowledgeResearch PotentialScience in SocietyActivities of International Co-operationRisk Sharing Finance FacilitySupport for Coherent Development of research policiesSubtotal CapacitiesIndirect actions operational expenditure ECIndirect actions administrative expenditure ECTotal Indirect actions ECFusion energyJoint Undertaking ITERNuclear Fission and radiation protectionIndirect actions operational expenditure EuratomIndirect actions administrative expenditure EuratomIndirect actions EuratomTotal Indirect actionsGRAND TOTAL
(*) including Joint Undertaking / Joint Technology Initiative(**) including Executive Agencies
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5.5.3.
Summary table – Seventh Research Framework Programme – Operational and administrative expenditureCommitment appropriations 2011HeadingOperationalexpenditure‘Research’staffExternalpersonnelOthermanagementexpenditure58,69935,32894,0270,000OtheradministrativeexpenditureTotalOperationalexpenditure‘Research’staffPayment appropriations 2011ExternalpersonnelOthermanagementexpenditure58,69935,32894,0270,000OtheradministrativeexpenditureTotal
Direct actionsEC specific programmeEuratom specific programmeCompletion of previous actionsDirect actions — TotalIndirect actionsEC programmeSpecific programme ‘Cooperation’Specific programme ‘Ideas’Specific programme ‘People’Specific programme ‘Capacities’EC programme, indirect actions — TotalEuratom programmeCompletion of previous actionsIndirect actions — TotalResearch — Grand total EU-277 780,1677 820,937192,900385,21348,55790,15587,718181,745108,617108,6178 217,9598 586,6674 595,0411 298,731754,407683,8987 332,077448,090149,6820,8254,71313,429168,65024,25041,4410,2101,4034,00847,0621,49567,6450,4151,7376,77376,56911,14912,06035,11519,1436,39972,71735,9004 865,8691 335,296781,403714,5077 697,075520,8843 568,470750,000500,000668,1865 486,656272,400452,3006 211,3566 253,056192,900385,21348,55790,15587,718181,745108,617108,617149,6820,8254,71313,429168,65024,25041,4410,2101,4034,00847,0621,49567,6450,4151,7376,77376,56911,14912,06035,11519,1436,39972,71735,9003 839,298786,565526,996698,7955 851,654345,194452,3006 649,1487 018,78640,770192,31341,598368,70831,2269,544136,90655,40731,39610,202258,227110,48132,0009,5000,20041,700192,31341,598136,90655,40731,39610,202259,001110,4370,200369,638
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HeadingDirect actionsEC specific programmeAppropriations for staff and resourcesOperating appropriationsEC specific programme — TotalEuratom specific programmeAppropriations for staff and resourcesOperating appropriationsEuratom specific programme — TotalDirect actions — TotalIndirect actionsEC specific programmeAdministrative appropriationsSpecific programme ‘Cooperation’Specific programme ‘Ideas’Specific programme ‘People’Specific programme ‘Capacities’Administrative appropriationsspecific programme — SubtotalOperational appropriationsSpecific programme ‘Cooperation’Specific programme ‘Ideas’Specific programme ‘People’Specific programme ‘Capacities’—EC
Commitment appropriations2007200820092010201120122013Total200720082009
Payment appropriations20102011 +5820122013 +Total
196,18328,847225,03087,6248,81896,442321,472
203,48129,425232,90690,8228,99499,816332,722
207,71430,000237,71492,3268,200100,526338,240
218,88230,613249,49597,5689,358106,926356,421
227,00131,226258,227100,9379,544
235,41631,849267,265
244,11432,898277,012
1 532,791214,8581 747,649469,27744,914514,1912 261,840
196,18311,539207,72287,6244,40992,033299,755
203,48126,828230,30990,8228,92499,746330,055
207,71429,120236,83492,3269,060101,386338,220
218,88232,000250,88297,5689,300106,868357,750
227,00132,000259,001100,93713,221114,158373,159
235,41631,446266,862
244,11451,925296,039
1 532,791214,8581 747,649469,27744,914514,191
110,481 114,54359118,67360368,708267,265277,012
266,862
296,039
2 261,840
194,21139,47924,21723,884281,791
203,51430,70323,83022,986281,033
233,59829,74422,45030,419316,211
241,64639,25827,23232,307340,443
270,82836,56526,99630,609364,998
293,81747,37434,33729,838405,365
304,94048,05937,85131,487422,336
1 742,553271,182196,913201,5292 412,177
194,21139,47924,21723,884281,791
203,51430,70323,83022,986281,033
233,59829,74422,45030,419316,211
241,64639,25827,23232,307340,443
270,82836,56526,99630,609364,998
293,81747,37434,33729,838405,365
304,94048,05937,85131,487422,336
1 742,553271,182196,913201,5292 412,177
3 476,434 3 613,837 3 770,544 4 087,509 4 595,041 5 213,900 5 946,154 30 703,419260,843430,179407,730516,123471,887478,490778,926 1 098,000 1 298,731 1 575,082 1 707,111503,034546,164534,190623,301754,407683,898900,644549,692964,252608,1527 234,8164 558,5933 897,427
499,631 2 292,631 2 630,619 3 236,803 3 568,470 5 103,521 13 371,743 30 703,4192,0006,00099,697318,308232,731340,860219,787393,004488,020536,009284,000383,959750,000 1 445,490 3 963,222500,000668,186811,679 2 331,179637,713 1 278,9917 234,8164 558,5933 897,427
Operational appropriations — EC specificprogramme — Subtotal4 575,186 5 080,337 5 598,668 6 343,000 7 332,077 8 239,318 9 225,669 46 394,255EC specific programmes — Total4 856,977 5 361,370 5 914,879 6 683,443 7 697,075 8 644,683 9 648,005 48 806,432
607,328 3 184,530 3 731,430 4 440,771 5 486,656 7 998,404 20 945,135 46 394,255889,119 3 465,563 4 047,641 4 781,214 5 851,654 8 403,769 21 367,471 48 806,432
585960
For Euratom.The amount is indicated only for information and it is not comprised in the total.The amount is indicated only for information and it is not comprised in the total.
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HeadingEuratom programmeAdministrative appropriationsOperational appropriationsEuratom programme —Total
Commitment appropriations200744,870262,881307,751200869,510326,660396,170200970,621428,143498,764201068,028434,533502,561201172,794448,090520,884 507,43361519,6216220122013Total325,8231 900,3072 226,130200744,87078,000122,870200869,510271,000340,5102009
Payment appropriations201068,0282011 +5872,79420122013 +Total325,8231 900,3072 226,130
70,621266,500337,121
253,935 1 030,872321,963 1 103,666
Indirect actions — Total 5 164,728 5 757,540 6 413,643 7 186,004 8 217,959 8 644,683 9 648,005 51 032,562 1 011,989 3 806,073 4 384,762 5 103,177 6 955,320 8 403,769 21 367,471 51 032,562Research — Grand total 5 486,200 6 090,262 6 751,883 7 542,425 8 586,667 8 911,948 9 925,017 53 294,402 1 311,744 4 136,128 4 722,982 5 460,927 7 328,479 8 670,631 21 663,510 53 294,402
6162
The amount is indicated only for information and it is not comprised in the total.The amount is indicated only for information and it is not comprised in the total.
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5.6.
Annex VI – Competitiveness and innovation framework programme (CIP)(in million EUR, rounded)Summary table – Competitiveness and innovation framework programme (CIP)Draft Budget 2011CIP specific programmesPolicy areaECFIN (*)165,0ENTR (*)151,1120,6112,0165,0151,1112,063120,6ENERINFSOTotal316,1120,6112,0548,7
Entrepreneurship and innovation programme(*) including Eco-innovation (ENV)ICT policy support programmeIntelligent energy – Europe II programmeTotal
The Competitiveness and Innovation Framework Programme (CIP) contributes to the enhancement ofcompetitiveness and innovation capacity throughout the European Union, the advancement of theknowledge society and sustainable development based on balanced economic growth.The CIP has an envelope of around EUR 3,6 billion for the period 2007-2013 and, in an effort to take dueaccount of its multiple objectives, it is organised around three multi-annual specific programmes:1)The Entrepreneurship and Innovation Programme (EIP);2)The Information and Communication Technologies Policy Support Programme (ICT-PSP);3)The Intelligent Energy Europe II Programme (IEE II)5.6.1.The Entrepreneurship and Innovation Programme (EIP)The specific Entrepreneurship and Innovation Programme (EIP) aims at supporting enterprises, particularlysmall and medium-sized enterprises, innovation (including eco-innovation) and industrial competitiveness.The EIP facilitates access to finance for the start-up and growth of SMEs and investment in innovationactivities, provides business services such as information on EU legislation, supports an environmentsuitable for business and innovation by promoting the exchange of best practices between Member Statesand strives for the optimisation of environmental technologies.It has been allocated with around 60 % of the programme's overall envelope (around EUR 2,17 billion), onefifth of which (EUR 430 million) is devoted to the promotion of eco-innovation.5.6.2.The Information and Communication Technologies Policy Support Programme (ICT-PSP)The Information and Communication Technologies Policy Support Programme (ICT PSP) aims to stimulateinnovation and competitiveness through the wider uptake and best use of ICT by citizens, governments andbusinesses, in particular SMEs.The ICT PSP programme has been allocated with a total budget of EUR 730 million for the period from2007 to 2013.The programme contributes to a better environment for developing ICT based services and helps overcomehurdles such as the lack of interoperability and market fragmentation.Focus is placed on driving this uptake in areas of public interest while addressing EU challenges such asmoving towards a low carbon economy or coping with an ageing society.The ICT-PSP programme supports among others:–pilot actions, involving both public and private organisations, for validating in real settings,innovative and interoperable ICT based services in areas such as health, ageing and inclusion,Digital Libraries, improved public services, energy efficiency and smart mobility;Multilingual web and Internet evolution;
–
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–
Networking actions for sharing experiences and preparing the deployment of innovative ICT basedsolutions in such areas are also supported, as well as the monitoring of the Information Societythrough benchmarking, analyses and awareness raising actions.Intelligent Energy – Europe II Programme (IEE II)
5.6.3.
The ‘Intelligent Energy – Europe II’ Programme contributes to achieving the objectives of the EU energypolicy and meeting the target of clean and efficient energy.With about EUR 730 million of funds available between 2007 and 2013, the IEE II Programme helpsdeliver on the ambitious climate change and energy targets that the EU has set for itself.The European Union has committed itself to the ‘20-20-20’ initiative:–––reducing greenhouse gas emissions by 20 % up to 30 % if the conditions are right),increasing the use of renewable energy sources to 20 %,and improving energy efficiency by 20 %, all by 2020.
The objective of the programme is to contribute to secure, sustainable and competitively priced energy forEurope, by providing for action:–––to foster energy efficiency and the rational use of energy resources;to promote new and renewable energy sources and to support energy diversification;to promote energy efficiency and the use of new and renewable energy sources in transport.
The programme also supports the implementation of energy-specific legislation.
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5.7.5.7.1.
Annex VII — Structural Funds and Cohesion FundCommitment appropriations for the 2011 Draft Budget(in EUR)Policy AreaFundEMPLESF7 748 847 3613 204 966 611ERDF3 879 856 4971 111 613 32332 737 54251 615 763116 234 77910 000 00016 500 000Total10 980 313 97250 000 00011 600 00018 440 0874 950 000116 234 77978 440 08733 050 00050 970 093 784REGIOCF23 657 525 715 11 055 206 106AIDCOERDFTOTAL42 461 579 1827 084 823 1081 312 201 407
Convergence ObjectiveRegional Competitiveness ObjectiveTerritorial Cooperation Objective- European Territorial Cooperation- PEACE programme- IPA CBC contribution- ENPI contributionTechnical Assistance- Operational TA- Administrative managementESF - European Social Fund
28 794 948 840 11 078 596 193
ERDF - European Regional Development FundCF - Cohesion FundIPA - Instrument for Pre-Accession AssistanceENPI - European Neighbourhood and Partnership InstrumentCBC – Cross-border cooperation
All figures for the Structural and the Cohesion Funds are derived from the envelopesdecided in the legal basis and are fully consistent with the ceilings of theInterinstitutional Agreement (IIA) of 17 May 2006, taking into consideration theimpact of point 17 of this IIA.Annual allocations in current prices for the Structural and Cohesion Funds areobtained by indexing the amounts defined in 2004 prices at a flat rate of 2 % per year.Technical Assistance represents 0,25 % of the overall total, subtracted pro-rata fromeach objective.The technical adjustment of the financial framework for 201164includes theadjustment of amounts allocated from funds supporting cohesion to the MemberStates concerned by divergence between estimated and actual GDP for the period2007-2009 (point 17 of the IIA). This adjustment involves additional commitmentappropriations, in 2011, totalling EUR 335,7 million. Of this amount,EUR 332,9 million is allocated to the Convergence objective (of whichEUR 121,6 million under the Cohesion Fund) and EUR 2,8 million to the RegionalCompetitiveness and Employment objective.Typically, the Structural and Cohesion Funds entirely exhaust the resources availablewithin the Heading, and there will therefore be no margin available within sub-heading 1b, save for some EUR 17 million mostly from the non programmableenvelope (technical assistance).The Cohesion Fund does not have a separate line for Operational TechnicalAssistance. The amount entered above is calculated on the basis of the globalTechnical Assistance envelope of EUR 27,5 million for the Cohesion Fund and thatEUR 4,95 million is allocated to Administrative expenditure. The amount for theOperational Technical Assistance amounts to EUR 18,44 million. This leaves amargin of EUR 4,1 million.64
COM(2010) xxx, 14.4.2010.
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Only one budget line of heading 1b falls outside the policy areas ‘Regional policy’and ‘Employment and social affairs’. This is the budget line for the EuropeanNeighbourhood and Partnership Instrument (ENPI), ‘Cross-border cooperation(CBC), contribution from heading 1b’, which is in the policy area ‘ExternalRelations’.5.7.2.Payment appropriations for the 2011 Draft Budget(in million EUR)Policy AreaFund2007-13 programming periodConvergence ObjectiveRegional Competitiveness ObjectiveTerritorial Cooperation Objective- European Territorial Cooperation- PEACE programme- IPA CBC contribution- ENPI contributionTechnical Assistance- Operational TA- Administrative managementPilot Projects / Preparatory ActionsSub-total (2007-13)Pre-2007 programming periodCohesion FundObjective 1- Main programme- PEACE programmeObjective 2Objective 3Community Initiatives- EQUAL- URBAN- INTERREG IIITechnical AssistancePre-2000 programmesSub-total (Pre-2007)Grand total0,06,01 073,59 023,92 402,125 678,11 500,07 752,80,086,072,015,1108,72,32,36,04 975,642 540,8550,89,748,0387,01 838,40,0437,6485,6387,0195,81 500,01500,02398,97 950,47,516,535,011,68,023 276,06 252,886,05,042,533,18,037 565,2790,327,213,086,05 430,02 496,418 000,54 390,46 247,829678,36886,8916,5EMPLESFERDFREGIOCFAIDCOERDFTOTAL
The overall payments budget is largely comprised of two components:––Interim payments for the 2007-2013 programmes, which is the largestcomponent,and reimbursements to clear the outstanding commitments of 2000-2006programmes and projects.
There is also a very small residual amount for some remaining pre-2000 programmes.2007-13 programmesPayment appropriations relating to the Structural Funds (ERDF and ESF) have beencalculated on the basis of the historical payment rates against the correspondingcommitment tranches of the 2000-2006 programming period. This is based on the
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assumption that the share of an equivalent commitment tranche paid in a given yeardoes not change significantly between two programming periods.For the ERDF and ESF, this involves examining the payment rates of the 2000-06commitment tranches for the EU-15 (as this gives the longest time series). Bysubtracting any pre-payments made in both periods, a series of percentages can beobtained showing how each commitment tranche was paid out over the succeedingyears.Typically, because of the ‘n+2’ constraint, almost all payments made are over a rangeof three years. For example, the ERDF commitment tranche of 2004 was paid out asfollows:2004 (year n):2005 (n+1):2006 (n+2):2007 (n+3):5%23 %38 %31 %
The data from the 2000-2006 period can then be extracted and applied to the relevantyear in the 2007-2013 data. Hence, in order to forecast payments for 2011, a series ofpercentages are applied to the 2007, 2008, 2009, 2010 and 2011 commitmenttranches, the percentages relating to the corresponding commitment tranches in theprevious period (2000 for 2007, 2001 and 2008, and so on).For the n+2 countries, this means applying the following percentages for the ERDFand ESF in order to arrive at estimated payments for 2011:ESFCA tranche (n+2 MSs)20072008200920102011% to be applied to CA tranche0%12 %32 %29 %4%ERDF% to be applied to CA tranche0%14 %41 %28 %5%
For the new programming period, the ‘n+2’ rule is replaced by ‘n+3’ for a number ofMember States. Therefore, two models are built for each Fund to take into account thefact that the likeliest effect of the extra year will be spreading out the rate of paymentsover time. This is built into the model by simply elongating the percentages used forthe ‘n+2’ countries and distributing them proportionally to take account the extrayear.ESFCA tranche (n+3 MSs)20072008200920102011% to be applied to CA tranche8%19 %26 %16 %4%ERDF% to be applied to CA tranche6%29 %25 %16 %5%
For the 2011 commitment tranche, the applicable percentages are identical for the n+2and n+3 countries, given that the n+3 rule applies only to the 2007 to 2010commitment tranches. For subsequent tranches the n+2 rule is applicable for allMember States.For the Cohesion Fund, there is no comparable data from the previous programmingperiod as the ‘n+2’ / ‘n+3’ rule is a new feature for the Cohesion Fund in 2007-2013(previous Cohesion Fund projects were subject to separate rules and regulations).Therefore, for the new programming period, it was decided to apply the samepercentage figures used for the ERDF to the Cohesion Fund commitments. As withthe ERDF and ESF, there is also a separation between ‘n+2’ and ‘n+3’ Member States
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to take into account the fact that Spain is the only country eligible for the CohesionFund not in the ‘n+3’ group.An additional factor to take into account is the amount that has not been paid due tothe slower than expected implementation of the new programmes, due to the need forprior approval of Management and Control Systems in order to receive interimpayments. Given therefore that a certain amount of payments expected in 2008 and2009 have not materialised, this results in a shortfall in the model as total paymentsthroughout the programming period will not be completely accounted for. Thisshortfall is therefore distributed throughout the forthcoming years, as a ratio ofexpected payments in future years.One final adjustment was made to the figures, where the resulting initial estimateshave been adjusted to take into account the potential impact of the Major Projects onthe ERDF and CF, with the possible effect that this may have on interim payments, aswell as the slower than expected implementation of ESF programmes. In order tofactor in the effect of these, the forecasts for the ESF, ERDF and CF have beenreduced by 5 %, 7,5 % and 10 %, respectively. The table below shows the results forthe ERDF.Commitment yearN+2N+3N+2N+3N+2N+3N+2N+3N+2N+3N+2TotalN+3All MSInitial amount(in EURmillion)11,96315,25812,14416,23912,05716,19211,91516,37111,78316,90059,86280,960Amount lessEstimatedPercentages (basedEstimatedShortfall ofadvancepayments withon 2000-2006) payments needs 2008 and 2009paymentsshortfall5,8545,73912,02515,69312,05716,19211,91516,37111,78316,90053,63370,8950%6%14%29%41%25%28%16%5%5%03441,6834,4734,9444,0083,3362,53858984510,55212,20722,7591,6766692,34512,22812,87625,1047.5%7.5%11,31111,91023,221Reduction forMajor projects
20072008200920102011
When the amounts for the Technical Assistance and the contribution to Cross-borderCooperation ENPI are added, the total amounts for ERDF expenditure for 2007-2013are obtained, as can be seen in the following table. A similar logic to that outlinedabove for the ERDF has also been applied to the ESF and Cohesion Fund.ERDFERDF from modelAdministrative managementOperational technical assistanceCBC ENPITotal ERDFOf whichAIDCOREGIO8623,26823,22112358623,354
2000-2006 programmesAs most programmes are coming towards closure, forecasts are no longer based onthe model used in previous years and as described above, but rather by consideringthe outstanding commitments in more detail, and expected closure patterns.For the Structural Funds, it is assumed that the 2000-2006 programmes will, for theprincipal budget lines, have reached the 95 % threshold for advance and interim
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payments by the beginning of 2011. As far as the remaining 5 % is concerned,payment of the final balance can only be made after the Member States send to theCommission the closure documents required for each programme, and once theCommission has carried out the necessary evaluations and audit controls. Paymentsfor 2011 have thus been estimated on the basis of a 40 % closure rate.As far as the Cohesion Fund is concerned, the RAL at the end of 2010 is estimated tobe approximately EUR 4,7 billion. The assumption made is that the equivalent ofapproximately one third of the expected remaining RAL would be paid in 2011,amounting to some EUR 1,5 billion.
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