EN    EN  COMMISSION OF THE E UROPEAN COMMUNITIES 
Brussels, 29.9.2004 
COM(2004) 629 final 
2004/0220 (COD)   
Proposal for a 
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 
establishing a financing instrument fo r development cooperation and economic 
cooperation 
(presented by the Commission) 
 
EN 2   EN EXPLANATORY MEMORANDUM  
The new structuring of Community instruments to implement external assistance under the 
2007-2013 financial perspectives has largel y been explained in the Commission's 
communications to the Council and the Eur opean Parliament on the subject of the 
perspectives1 and in the introductory communicati on on the Basic Regulations. Further 
information on the general objectives, the spec ific objectives and th e conditions governing 
implementation of the financial instrument  for development cooperation and economic 
cooperation are given in the fina ncial statement annexed to th e Regulation. This Explanatory 
Memo therefore covers only the ma in provisions of the Regulation. 
1. O BJECTIVES AND PRINCIPLES (TITLE I) 
1.1. General objectives and areas of cooperation (Article 1) 
Article 1 lays down the countries, territories and regions eligible for assistance under the 
Regulation (paragraph 1), the general objectives (paragraph 1) and the areas of Community 
cooperation (paragraph 2). 
The Regulation covers all the world's c ountries, territories and regions except: 
– the Member States of the Community; 
– the Overseas Countries and Territories asso ciated with the Community under Articles 182 
to 188 of the Treaty establis hing the European Community; 
– the countries eligible for the pre-accessi on instrument (Albania, Former Yugoslav 
Republic of Macedonia, Bosnia-Herzegovina , Croatia, Serbia and Montenegro and 
Turkey); 
– the countries eligible for the new Europ ean Neighbourhood and Partnership Instrument 
(Algeria, Armenia, the Palestinian Author ity of the West Bank and the Gaza Strip, 
Azerbaijan, Byelorussia, Egypt, the Russian Federation, Georgia, Israel, Jordan, Lebanon, 
Libya, Morocco, Moldavia, Syri a, Tunisia and Ukraine). 
The Regulation covers the general objectives de fined in Title XX (Dev elopment Cooperation) 
and Title XXI (Economic, financial and techni cal cooperation with third countries) of the 
Treaty establishing the European Communit y. It therefore provides support for both 
development policy2 and all forms of cooperation with developing countries, countries in 
transition and industrialised countries. In acco rdance with the communica tion on the financial 
                                                 
1 COM(2004) 101 of 10 February 2004 and COM(2004) 487 of 14 July 2004. 
2 Under Article 177 of the Treaty the Community's development policy is intended to foster “the 
sustainable economic and social development of the developing countries, and more particularly the 
most disadvantaged among them, the smooth and gradual integration of the developing countries into 
the world economy and the campaign against poverty in the developing countries”. In addition, “Community policy in this area shall contribute to the general objective of developing and 
consolidating democracy and the rule  of law, and to that of respecting human rights and fundamental 
freedoms”. 
 
EN 3   EN perspectives,3 the Regulation is also the new consolid ated legal basis for pursuing internal 
policy objectives at international, multilateral and global levels. 
It does not impose any restrictions regard ing the areas of Comm unity cooperation or 
intervention. Any listing of such areas is purely illustrative. Areas may be chosen because they are pertinent to achieving the aims la id down in the Treaty, to the Community's 
international obligations and commitments (e.g. th e Millennium Development Goals) or to the 
specific objectives provided for in the partne rship and cooperation agreements with partner 
countries and regions. Nevert heless, areas in which cooper ation is proposed should be 
selected with reference to the Community's guidelines on concentrating assistance,
4 with a 
view to ensuring that the Community's polic y and the policies of the Member States 
complement each other as require d under Article 177 of the Treaty5 and in the light of the 
Commission's communica tions and the appropriate Counc il and Parliament resolutions.6 
1.2. General Principles (Article 2) 
Article 2 sets out the five main principles that  are to govern implementa tion of the Regulation: 
– consistency between the different areas of ex ternal activity, with other Community policies 
(as required under Articles 6 and 178 of the Treaty)7 and with Commission 
communications and Council resolutions;8 
– coordination of cooperation policies and me asures between Member States, between 
Member States and the Commission (as required under Article 180 of the Treaty9) and with 
Commission communications and Council resolutions;10 
                                                 
3 COM(2004) 487 of 14.7.2004, section 3.4.3. 
4 The European Community's Development Policy - Statement by the Council and the Commission 
(1348/00) of 10 November 2000. 
5 “Community policy in the sphere of development cooperation, which shall be complementary to the 
policies pursued by the Member States […]” (Article 177). 
6 - Communication from the Commission to the Council and the European Parliament on 
complementarity between Community and Member  State policies on development cooperation 
(COM(1999) 218 of 6 May 1999). 
 - Development Council Resolution (8435/99) of 21 May 1999 on complementarity between European 
Community and Member States' development cooperation policies. 
 - European Parliament resolution on the Commission communication on complementarity between 
Community and Member State policies on development cooperation (A5-0227/2000 - 21 September 2000). 
7 "Environmental protection requirements must be integrated into the definition and implementation of 
the Community policies and activities referred to in Ar ticle 3, in particular with a view to promoting 
sustainable development." (Article 6).  
“The Community shall take account of  the objectives referred to in Ar ticle 177 in the policies that it 
implements which are likely to affect developing countries” (Article 178). 
8 - Development Council Resolution of 5 June 1997 on the coherence between the development co-
operation policy and the other Community policies. 
 - Communication from the Commission to the Council and the European Parliament “Towards 
improved coherence between the Community development policy and other Community policies” 
(COM(2000) 254 of 18 April 2000)  
9 “The Community and the Member States shall coordinate their policies on development cooperation 
and shall consult each other on their aid programm es, including in interna tional organisations and 
during international conferences. They may undertake joint action. Member States shall contribute if 
necessary to the implementation of Commun ity assistance programm es.” (Article 180). 
 
EN 4   EN – coordination with other bilateral or multilateral donors in purs uit of the overall objective of 
EU external action of promoting a multilateral approach to resolution of international 
problems; 
– redirection of Community assi stance towards forms of sectoral and budgetary support 
aimed in particular at conso lidating national development stra tegies and reform policies, 
making Community assistance more effective,  promoting ownership, enhancing local 
capacity and encouraging coordination and complementarity between donors; 
– respect for human rights and fundamental freedom s, democratic principles and the rule of 
law. The procedure for suspendi ng aid where a partne r country fails to co mply with one of 
these essential elements is described in Article 23. 
2. P ROGRAMMING AND ALLOCATION OF FUNDS (TITLE II) 
2.1. General framework for programming and allocation of funds (Article 3), 
multiannual programming of geographi cal programmes (Article 4) and 
multiannual programming of them atic programmes (Article 5) 
Article 3 describes the general framework for delivering external Community assistance. This 
is based on experience and adheres to the guidelines laid down in the reform of the 
management of the Community's external assistance,11 and incorporates the main innovations 
introduced in the Regulations most recently adopted by the Community.12 The Community's 
external assistance will be delivered via large- scale geographical progra mmes. A sum has also 
been earmarked for mounting thematic programme s aimed at financing global and horizontal 
initiatives, in particular multilateral or global initiatives that will prom ote the EU's internal 
policies abroad, and for a specif ic thematic programme of c ooperation with industrialised 
countries (see also points 6.1.1 a nd 5.2 of the financial statement). 
Articles 4 and 5 lay down the procedures for multiannual geographical programming (strategy 
papers and multiannual indicative programmes) and thematic programmes (thematic strategy 
                                                                                                                                                         
10 - “Guidelines for strengthening operational coordination between the Community, represented by the 
Commission, and the Member States in the field of  external assistance.” (A dopted by the General 
Affairs Council of January 2001 at the time of the discussions on the direction to be taken by the 
European Union’s ex ternal measures.) 
 - The European Union decided its contribution to the process of financing for development (see 
Monterrey Conference of 18 to 22 March 2002) on 14 March 2002 at the Barcelona Council meeting where it undertook, inter alia, to “improve ai d effectiveness through closer coordination and 
harmonisation, and take concrete steps to this effect before 2004”.  
- Communication from the Commission to the Council and the European Parliament: “Translating the Monterrey Consensus into practice; the contribution by the European Union (COM(2004) 150 of 5 
March 2004). 
11 Communication SEC(2000) 814 of 16 May 2000 presented by Members of the Commission, Mr Patten 
(External Relations), Mr Nielson (Development and Humanitarian Aid), Mr Verheugen (Enlargement), 
Mr Lamy (Trade) and Mr Solbes Mira (Economic and Monetary Affairs). 
12 And in particular (a) Council Regulation (EC, Eura tom) No 99/2000 of 29 December 1999 concerning 
the provision of assistance to the partner States in Eastern Europe and Central Asia, (b) Council 
Regulation (EC) No 2698/2000 of 27 November 2000 amending Regulation (EC) No 1488/96 on 
financial and technical measures to accompany (MEDA)  the reform of economic and social structures 
in the framework of the Euro-Mediterranean partnership, (c) Council Regulation (EC) No 2666/2000 of 
5 December 2000 on assistance for Albania, Bosnia  and Herzegovina, Croatia, the Federal Republic of 
Yugoslavia and the Former Yugoslav Republic of Macedonia. 
 
EN 5   EN papers) in line with the reforms that have been introduced and the principles drawn up in 
close cooperation with the Member States si nce 2000. The structure of strategy documents 
and multiannual indicative programme drawn up  for each partner coun try and region will 
adhere to the requiremen ts of the Framework fo r Country Strategy Papers13 adjusted, where 
appropriate, to take account of experience gained since the reform process started. Similarly, 
the thematic strategy papers must be drawn up in line with the working paper on a common 
framework and procedure for programmi ng thematic and horizontal budget lines.14 This will 
ensure better and more uniform programming whic h reflects the objectives and priorities of 
EU policies. Strategic priori ties will be enshrined in st rategy papers, whilst multiannual 
programming will produce the most appropriate policy-mix for each partner country or region 
by combining external assistance instrument s and other Community instruments (trade, 
CFSP), and by taking into account the Union' s regional priorities, any synergies and 
complementarity between and with the Member  States and other bilateral and multilateral 
donors, the macroeconomic situation in each c ountry and the policy dialogues with partner 
countries. Geographical strategy pa pers will be drafted in the course of dialogue by partner 
countries and regions and multiannual indicati ve programmes will be concluded with those 
countries and regions. To ensure consistency between Community measures and those of the 
Member States, the Member States will be fully involved in the programming process, initially through close local c oordination between the represen tatives of the Commission and 
the Member States, and then in Brussels through the committee procedure. 
2.2. Adoption of multiannual programming papers (Article 6) 
Article 6 provides that multiannual programmi ng papers (i.e. strategy papers, multiannual 
indicative programmes for partner countries and regions, and thema tic strategy papers) will be 
adopted by the Commission in accordance with the procedure described in Article 4 of 
Decision 1999/468/CE, in other words after obtaining the opinion of a management 
committee made up of representatives of th e Member States and chaired by a Commission 
representative (the committee being established under Article 21 of this Regulation). The 
committee's opinion must be obtained by the majo rity prescribed in Article 205(2) of the 
Treaty for decisions that the Counc il adopts upon a Commission proposal. 
3. I
MPLEMENTATION (TITLE III) 
3.1. Adoption of action programmes (Article 7) 
Article 7 provides that financin g decisions taken by the Commission are to be in the form of 
annual action programmes, one per country or region. This is in line with the new principles 
introduced in the most recent regulations adopted by the Community.15 As these are 
Commission decisions based on multiannual programming papers  (i.e. strategy papers, 
multiannual indicative programmes and thematic strategy papers for the different partner 
countries and regions) approved by the Member  States, it is not proposed to put action 
programmes through the committee procedure.  The Commission will forward an action 
programme to the Member States within one mo nth of taking its decision. Where appropriate, 
                                                 
13 Commission working paper (SEC(2000) 1049) approved by the Development Council on 10 November 
2000. 
14 Commission working paper approved by the Directors-General for External affairs, Development and 
the EuropeAid Cooperation Office in December 2003. 
15 See footnote on page 11. 
 
EN 6   EN particularly in the case of  geographical programmes, fina ncing agreements for action 
programmes will be signed with the partner countries and regions. The Commission has the 
powers to adjust action program mes where necessary. Article 7 provides that measures may 
exceptionally be adopted outside  the action-programme framework with the same procedures. 
This may prove useful should the Commission wi sh to mobilise financing speedily before an 
action programme has been fully finalised. 
3.2. Adoption of special measures not provided for in strategy papers and 
multiannual indicative pr ogrammes (Article 8) 
Article 8 provides for the possibil ity of adopting special measures  not provided for in strategy 
papers or multiannual indicativ e programmes in case of need or unforeseen circumstances. 
This will enable the Community to react mo re quickly and allow greater flexibility in 
implementing external assistance efficiently, espe cially in emergencies. As these Commission 
decisions will be taken outside the proce dure for Member State approval of multiannual 
programming, there is provision to submit these decisions to the committee procedure where 
the financing exceeds €15 million. So any special measures not covered by strategy papers or multiannual indicative programmes will be adopted  by the Commission in accordance with 
the procedure laid down in Ar ticle 3 of Decision 1999/468/CE, i. e. after obtaining the opinion 
of an advisory committee made up of representa tives of the Member St ates and chaired by a 
Commission representative (the committee is  set up under Article 21). The committee will 
issue its opinion on the special m easures and the Commission must take the fullest account of 
the opinion and inform the committee of what  it has done to do so. The Commission may 
adjust special measures by the same pro cedure but no committee opi nion is required for 
adjustments deemed to be minor, as defined in Article 8(4). 
3.3. Eligibility (Article 9) 
Article 9 lists all the bodies, au thorities and instituti ons eligible under the Regulation. In line 
with current practice, the eligibility provision s are broad. EU institutions and bodies are 
eligible, but only in connec tion with implementing support measures (see Article 11). 
Concerning eligibility for Community grants, Articl e 9 has to be read in the light of Article 16 
which sets out the rules for public procurement and grant award procedures. 
3.4. Types of measures (Article 10) and support measures (Article 11) 
Without being exhaustive, Article 10 cites the type of measure that may be financed under 
this Regulation on the ba sis of current practice.
16 
Under Article 11 the Community may finance any support measure that is necessary for 
implementing the Regulation. Where support m easures are not fina nced directly under 
multiannual programmes or action programmes, point 6.1.2 of the financial statement makes 
provision for specific envelopes (equivalent to the current BA lines), whilst Article 11(3) 
provides that the procedures fo r the adoption of special measur es not covered in strategy 
papers or multiannual programmes must be used  to adopt support measures (see Article 8). 
                                                 
16 See, for instance, Article 61  of the Cotonou Agreement. 
 
EN 7   EN 3.5. Joint financing (Article 12) and ma nagement procedures (Article 13) 
In line with current practice and donors' e fforts to encourage the greatest possible 
coordination of cooperation measures, Article 12 confirms that, where it has been agreed to 
finance a measure, this may be done by cofina ncing (joint financing,  parallel financing). 
Paragraph 3 states that the Commission may be  required to receive and manage funds from 
the Member States (particularly from thei r public and parastatal bodies), from other 
non-Community donors or from international or  regional organisati ons. This allow the 
Commission to act on an equal footing with other donors.  
Article 13 describes the procedures the Comm ission may use to manage implementation of 
measures financed under the Regulation, namely: 
– centralised, direct or indirect, management by Community agencies or bodies established 
by the Communities (paragraph 2); 
– centralised, indirect management by Member State bodies (paragraph 3), in accordance 
with Article 54(2)(c)(i) of the Financial Re gulation which allows this method provided the 
basic act so provides. In this case the article lays down that the Commission must take its 
decision by the procedure provided for in Article 4 of Decision 1999/468/EC, in other 
words after obtaining the opinion of a manage ment committee made up of representatives 
of the Member States (see procedures in point 2.2). 
3.6. Budget commitments (Article 14) 
Article 14 provides that budgetary commitments must be made on the basis of decisions taken 
by the Commission under action programmes (Artic le 7), special measures not covered in 
strategy papers, multiannual i ndicative programmes (Article  8) and support measures 
(Article 11). 
3.7. Protection of the Community's fi nancial interests (Article 15) 
Article 15 lays down measures to protect th e Community's financial interests, and in 
particular to enable it to ca rry out all the necessary check s on the measures implemented. 
3.8. Participation in public tenders, obtainin g grants, rules of origin (Article 16) 
Article 16 lays down the conditions governin g access to public procurement and grants 
awarded for the purposes of implementing the Regulation. At present the provisions proposed 
comply with the proposal for a Regulation of th e European Parliament and of the Council on 
access to Community external assistance,17 which provides for amendment of the basic 
regulations governing the Community's main ai d instruments with a view to untying aid 
further. Article 16(2) provides that, if a third country opens up its public procurement and 
grant procedures to the Member States of the Community, the Comm ission may decide to 
authorise that third country to participat e in the corresponding Community procedures, 
subject to a favourable opinion first being obtained from a management committee made up 
of Member State representatives (the proced ure provided for in Article 4 of Decision 
1999/468/EC - see procedures in point 2.2). Articl e 16 may be amended to take into account 
the Council's and Parliament's conclusions when they examine the above Regulation. 
                                                 
17 COM(2004) 313 of 26.4.2004. 
 
EN 8   EN 3.9. Prefinancing (Article 17) and funds ma de available to the European Investment 
Bank or other financial in termediaries (Article 18) 
Articles 17 and 18 flesh out t echnical points concerning implementation of some of the 
measures provided for in Article 10. 
Article 17 specifies that the interest generate d by prefinancing is deducted from the final 
payment. 
Article 18 specifies the kind of provisions the Commission must adopt in specific cases if it 
decides to make funds available to the Euro pean Investment Bank or other financial 
intermediaries. 
3.10. Evaluation (Article 19) 
Article 19 commits the Commission to regular ev aluation of the outcomes of the geographical 
and thematic policies and programmes, sect oral policies and the effectiveness of 
programming. 
4. F INAL PROVISION (TITLE IV) 
4.1. Annual report (Article 20) 
In line with the decisions implemented since 200 1 with a view to simplifying and reducing the 
number of reports forwarded to the Counc il and Parliament, Article 20 maintains the 
status quo and provides for an annual Commis sion report to these bodies. The report must 
take account of the experien ce gained since 2001 and, in particular, of the Council's and 
Parliament's annual observations on the form and content of the report.18 
4.2. Committee procedures (Article 21) 
Article 21 establishes the Member State comm ittee. The committee's prerogatives are set out 
in points 2.2, 3.2, 3.5 and 3.8. If the Committee is examining external measures designed to 
project internal policies abroad, the Comm ittee may be co-chaired by the relevant 
Commission department. 
4.3. Participation by a third country not elig ible under this Regulation (Article 22) 
To make Community assistance more effective, and in particular to avoid programmes being 
split up among several different instruments, Arti cle 22 extends the list of countries eligible 
under this Regulation to include the Overseas Countries and Terri tories, the countries eligible 
for the pre-accession instrument and those el igible for the European Neighbourhood and 
Partnership Instrument. This provision will be us ed for projects and programmes of a global, 
regional or crossborder nature. 
                                                 
18 The last report sent is the “Annual report fr om the Commission to the Council and the European 
Parliament on European Community development policy and the implementation of external assistance 
in 2002” (COM(2003) 527 of 3 September 2003). 
 
EN 9   EN 4.4. Suspending assistance (Article 23) 
Article 23 lays down the procedure to be appl ied in the event of non-compliance with the 
principles set out in Title I. It applies where there is no part nership and cooperation agreement 
with a partner country or where such an agr eement does not lay down procedures for essential 
elements clauses. 
4.5. Financial provisions (Article 24) 
Article 24 sets the financial reference amount for the implementation of the Regulation and 
the envelope for cooperation with the African, Caribbean and Pacifi c countries, as  required by 
the Communication from the Commission to the Council and the European Parliament 
"Towards the full integrati on of co-operation with ACP countries in the EU budget".19 
4.6. Reviewing the Regulation (Article 25) 
Article 25 provides for review of  the Regulation at 31 December 2011. 
                                                 
19 COM(2003) 590 of 8 October 2003. 
 
EN 10   EN 2004/0220 (COD) 
Proposal for a 
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 
establishing a financing instrument fo r development cooperation and economic 
cooperation 
THE EUROPEAN PARLIAMENT AND THE CO UNCIL OF THE EUROPEAN UNION, 
Having regard to the Treaty establishing the Eu ropean Community, and in particular Articles 
179(1) and 181a(2) thereof, 
Having regard to the proposal from the Commission,20 
Acting in accordance with the procedure re ferred to in Article 251 of the Treaty, 
Whereas: (1) A new framework for planning and deliverin g assistance is proposed in order to make 
the Community's external assi stance more effective. Counc il Regulation (EC) No [.] of 
[ ] establishes an Instrument for Pre-Acces sion (IPA) for Community assistance to 
candidate and potential candidate countries.
21 Regulation (EC) No [.] of the European 
Parliament and of the Council of [.] establishes a European Neighbourhood and 
Partnership Instrument (ENPI).22 This Regulation is the third general instrument 
providing direct support for the Euro pean Union’s external policies. 
(2) The pursuit and deepening of bilateral re lations between the European Community and 
the industrialised countries and consolidati on of multilateral instit utions are important 
factors in strengthening the European Union' s role and place in the world, and make a 
significant contribution to  balancing and developing the world economy. 
(3) In accordance with the principles enshri ned in agreements, action plans and jointly 
adopted declarations, the Community im plements a cooperation policy with the 
industrialised countries aimed at creating an environment conduc ive to pursuing and 
developing its relations with those count ries. Cooperation policy helps to create 
conditions likely to strengthen the European  presence in these countries and encourage 
economic, commercial, academic, cultural and other exchanges. 
(4) The Community pursues a development cooperation policy particularly aimed at 
achieving the objectives of poverty reducti on, sustainable economic and social 
                                                 
20 OJ C […] of […], p. […]. 
21 OJ L […] of […], p. […]. 
22 OJ L […] of […], p. […]. 
 
EN 11   EN development and the smooth and gradual inte gration of developing countries into the 
world economy. 
(5) The Community's development cooperation policy and inte rnational action are guided 
by the Millennium Development Goals such as  the eradication of extreme poverty and 
hunger, adopted by the UN General Assembly in 2000, and the main development objectives and principles agr eed at various UN conferences. 
(6) A political environment which guarantees pe ace, security and stability, respect of 
human rights, fundamental freedoms, democr atic principles, the rule of law and good 
governance is fundamental to long-term development. 
(7) Sound and sustainable economic policies are a pre-requisite for development. 
(8) The statement of 10 November 20 00 by the Council and the Commission on the 
European Community's development policy provides the general framework for action by the Community on development matters. 
(9) The Community and its Member States have concluded partne rship and cooperation 
agreements aimed at making a significant c ontribution to the long-term development 
of the partner countries and the wellbeing of their people. 
(10) The essential elements on which these partnership and cooperation agreements are 
based are the common and universal values  of respect for and promotion of human 
rights, fundamental freedoms, democratic  principles and the rule of law. 
(11) In implementing the Community's devel opment policy, a crucial objective is to make 
aid more effective, greater complementar ity and more streamlining, uniformity and 
coordination of procedures, both within th e European Union and in relations with 
other donors and development actors, are es sential to ensuring the consistency and 
relevance of aid whilst at the same time re ducing the costs borne by partner countries. 
(12) The key to the success of development po licies is whether the pa rtner countries take 
ownership of the development strategies, and, to this end, the greatest possible 
involvement of all sections of society shoul d be encouraged. With a view to ensuring 
efficiency and transparency and encourag ing countries to ta ke ownership, donors' 
cooperation strategies and implementation procedures should where possible, be 
aligned on those of th e partner countries. 
(13) Consistency must be guaranteed between  the different areas of the Community's 
external action, and exte rnal Community policies must be compatible with  its internal 
policies. 
(14) The Commission has adopt ed two communications on Link ing Relief Reconstruction 
and Development (COM(1996) 153 and CO M(2001) 153), followed up by resolutions 
of the European Parliament and conclusions  of the Council, emphasising the need to 
ensure effective bridging between operati ons financed from different European 
Community financing instruments. 
(15) The adoption of thematic programmes is an essential tool for projecting internal 
policies outside the EU; such programmes must balance the need for sectoral 
 
EN 12   EN consistency and thematic visibility for internal policies with the need for overall 
consistency in external relations. 
(16) Untying aid to an appropr iate extent is a key factor in adding value to aid and in 
building local capacity. 
(17) This Regulation establishes a financia l allocation for the period 2007-2013 which will 
be the special reference, within the mean ing of Point 33 of the Interinstitutional 
Agreement of 6 May 1999 between the Euro pean Parliament, the Council and the 
Commission on budgetary discipline and impr ovement of the budgetary procedure. 
(18) Measures should be adopted for implemen tation of this Regulation in accordance with 
Council Decision 1999/468/EC of  28 June 1999 laying down the procedures for the 
exercise of implementing power s conferred on the Commission.23 Multiannual 
programming documents and some specifi c implementation measures should be 
adopted by the management committee proce dure. Other measures not provided for in 
the programming papers should be adopted  by the advisory committee procedure. 
(19) The objectives of the proposed action, namely support for development cooperation, 
economic cooperation, financial cooperation, sc ientific and technical cooperation and 
any form of cooperation with countries, territories and regi ons that are not Community 
Member States and are not eligible for Community aid under the IPA or the ENPI 
instruments, cannot be sufficiently achieved  by the Member States and can, by reason 
of the scale of the action, be better ac hieved by the Community. The Community may 
therefore adopt measures in accordance with th e principle of subsidiarity enshrined in 
Article 5 of the Treaty. In accordance with  the principle of proportionality laid down 
in that Article, this Regulation does not go beyond what is necessary to achieve these 
objectives. 
(20) This Regulation makes it necessary to re peal the following Regulations: (a) Regulation 
No 1568/2003 of the European Parliament and of the Council of 15 July 2003 on aid 
to fight poverty diseases (HIV/AIDS, tube rculosis and malari a) in developing 
countries, (b) Regulation No 1567/2003 of the European Parliament and of the 
Council of 15 July 2003 on aid for policies and actions on repr oductive and sexual 
health and rights in developing countries,  (c) Regulation (EC) No 2493/2000 of the 
European Parliament and of the Council of  7 November 2000 on measures to promote 
the full integration of the environmental dimension in the development process of 
developing countries, (d) Regul ation (EC) No 2494/2000 of the European Parliament 
and of the Council of 7 November 2000 on m easures to promote the conservation and 
sustainable management of tropical forests and other forests in developing countries, 
(e) Council Regulation (EC) No 975/1999 of 29 April 1999 laying down the requirements for the implementation of deve lopment cooperation wh ich contribute to 
the general objective of developing and cons olidating democracy and the rule of law 
and to that of respecting human rights and fundamental freedoms, (f) Regulation (EC) 
No 806/2004 of the European Parliament and of the Council of 21 April 2004 on promoting gender equality in developmen t cooperation, (g) Council Regulation (EC) 
No 1659/98 of 17 July 1998 on decentralised cooperation, amended and extended by Regulations (EC) Nos 995/2002 and 625/20 04, (h) Council Regulation (EC) No 
                                                
 
23 OJ L 184, 17.7.1999, p. 23. 
 
EN 13   EN 1658/98 of 17 July 1998 on co-financing operati ons with European non-governmental 
organisations (NGOs) in fields of interest  to the developing countries, (i) Council 
Regulation (EC) No°1292/96 of 27 June  1996 on food-aid policy and food-aid 
management and special operations in support of food security, amended by 
Regulation (EC) No 1726/2001 of the Europ ean Parliament and of the Council of 
23 July 2001 amending Article 21 of C ouncil Regulation (EC) No 1292/96 on food-
aid policy and food-aid management and special operations in  support of food 
security, (j) Council Regulation (EC) No  382/2001 of 26 February 2001 concerning 
the implementation of projects promoti ng cooperation and commercial relations 
between the European Union and the industr ialised countries of North America, the 
Far East and Australasia and repealing Regulation (EC) No 1035/1999, (k) Regulation 
(EC) No 1726/2000 of the European Parliame nt and of the Council of 29 June 2000 on 
development cooperation with South Africa,  (l) Council Regulation (EEC) No 443/92 
of 25 February 1992 (ALA) on financial an d technical assistance to, and economic 
cooperation with, the developi ng countries in Asia and Latin America, (m) Council 
Regulation (EC) No 2258/96 of 22 No vember 1996 on rehabilitation and 
reconstruction operations in developing c ountries, (n) Regulati on (EC) No 2130/2001 
of the European Parliament and of the Council of 29 October 2001 on operations to 
aid uprooted people in Asian and Latin Am erican developing countries, (o) Council 
Regulation (EC) No 550/97 of 24 March 1997 on HIV/AIDS-related operations in 
developing countries and (p) Council Re gulation (EC) No 1484/97 of 22 July 1997 on 
aid for population policies and progra mmes in the developing countries, 
HAVE ADOPTED THIS REGULATION: 
TITLE I 
OBJECTIVES AND PRINCIPLES 
Article 1 
Purpose and scope 
(1) In accordance with Articles 179 and 181a of the Treaty, the Co mmunity shall finance 
measures aimed at supporting cooperation with countries, terr itories and regions 
(hereinafter referred to as “partner countries and regi ons”) which are not Member 
States of the Community or Overseas C ountries and Territories, or eligible for 
Community assistance under the pre-acce ssion instrument or the European 
Neighbourhood and Partnership Instrument , and international measures in 
multilateral frameworks. 
(2) In accordance with Articles 179 and 181a of the Treaty, Community assistance shall 
support inter alia  development cooperation, economic, financial, scientific and 
technical cooperation and all other forms of  cooperation with partner countries and 
regions, and international measures to prom ote the objectives of the EU's internal 
policies abroad. Such cooperation shall be  implemented in a ccordance with the 
principles and objectives of th e Community's external action. 
 
EN 14   EN (3) Measures financed under this Regula tion shall cover all areas of cooperation 
pertinent to achieving the objectives of Ar ticles 177 to 181a of the Treaty and to 
fulfilling the Community's international obligations and commitments. It shall also be used for areas of cooperation covered by partnership and cooperation agreements 
and other bilateral instruments concluded with partner countries and regions or 
specified in declarations jointly approved with such countries and regions, and for 
pursuing the objectives of internal policies at  international level. The measures shall 
relate inter alia to: 
(a) human and social development, in cluding health and population issues; 
(b) promoting gender equality; (c) rural development, food aid and food security; (d) urban development; (e) environmental protection; (f) sustainable developmen t of natural resources; 
(g) infrastructure (particularly transp ort, water, power, environmental and 
telecommunications infrastructure), in cluding the management systems and 
safety and security of power and tran sport infrastructure and operations, and 
energy saving measures; 
(h) the private sector, productive s ectors and economic infrastructure; 
(i) trade and investment; (j) jobs, social cohesion and social protection; 
(k) upholding fundamental social rights , including core labour standards; 
(l) customs and tax; (m) macroeconomic and structural reform; (n) sectoral reform; 
(o) basic, secondary and higher education, and vocational training; 
(p) research, cooperation on and developmen t of scientific and technical capacity; 
and scientific mobility; 
(q) cultural cooperation and academic and cultural exchanges; (r) mutual understanding between the Co mmunity and the partner countries and 
regions; 
 
EN 15   EN (s) developing civil societ y, dialogue with non-governme nt actors, particularly 
associations, non-governmental organi sations, the media and the social 
partners; 
(t) support for institutions aimed, for instance, at promoting good governance, 
strengthening the rule of law, building up the capacity of administrations and 
local authorities, making public services more effective and aligning institutional and regulatory frameworks; 
(u) policy dialogue; (v) promoting and defending human rights and fundamental freedoms, and support 
for the process of democratisation in cluding electoral assistance and election 
observers; 
(w) regional cooperation and integration, including cooperation between industrial 
partners; 
(x) crossborder cooperation; (y) justice, plus judicial, police, tax, financial and customs cooperation; 
(z) all aspects of asylum and (legal or illegal) migration including border controls, 
readmission and return, and international protection; 
(aa) aid for refugees, and displaced or uprooted persons; (bb) conflict prevention, management and resolution; (cc) the transition from emer gency aid to rehabilitation and long-term development, 
reconstruction and post-emergency rehabilitation; 
(dd) preventing natural disasters; (ee) any other area appropriate for achie ving the objectives laid down in Articles 
177 to 181a of the Treaty. 
Article 2 
General principles 
(1) For all measures financed under, and all areas of coopera tion covered by, this 
Regulation the Community shall aim to ensure consistency between the different areas of external action and with other Community policies. Such consistency shall 
be ensured in formulating policy, st rategic planning and the programming and 
implementation of measures. 
(2) In the interests of better policy coor dination and harmonisation of the programming 
process and procedures, the Commission and the Member States shall coordinate 
amongst each other and ensure that their measures are complementary for all measures financed and cooperation areas covered under this Regulation. 
 
EN 16   EN  Coordination shall involve regular and fr equent exchanges of information between 
Member States, and between them and th e Commission, on their respective analyses 
of the situation in the partner countries and regions and on cooperation strategies, 
priority sectors, current and future  cooperation measures and evaluations. 
 Such coordination shall be promoted above all at local level in the partner countries 
and regions. 
 The Member States and the Community shall use the results of the regular 
coordination exercises as essential in puts for their programming processes. 
(3) To promote a multilateral approach to solving international problems the 
Commission, in consultation wi th the Member States, shal l take whatever steps are 
necessary to ensure coordi nation and cooperation with multilateral and regional 
organisations and bodies such as international financial institutions, United Nations 
agencies, funds and programmes, and b ilateral donors other th an those of the 
Community. 
(4) The Community's cooperation activities shall foster and encourage support for 
national development strategies, reform policies and sectoral approaches and 
programmes making use of the most suitabl e instruments, particularly budgetary 
support. 
(5) The Union is founded on the values of respect for human dignity, liberty, democracy, 
equality, the rule of law and respect for human rights and seeks to promote 
commitment to these values in partner countries through dialo gue and cooperation. 
TITLE II 
PROGRAMMING AND ALLOCATION OF FUNDS 
Article 3 
General framework for programming and allocating funds 
(1) Measures shall be financed under geogra phical or thematic programmes, or in the 
context of globa l initiatives. 
 A geographical programme shall encompass cooperation in all appropriate areas of 
activity with partner countr ies and regions determined on a geographical basis.  
 A thematic programme shall encompass a sp ecific area of activity of interest to a 
group of partner countries not determin ed by geography, or cooperation activities 
addressed to various regions or groups of partner countries, or an international 
operation that is not geographically specific, including multilateral or global initiatives to promote the Union's internal policies abroad. 
 The Commission shall draw up the geogr aphical and thematic programmes and 
specify their geographical scope 
 
EN 17   EN (2) In the case of geographical programmes,  the Commission shall draw up a strategy 
paper and a multiannual indica tive programme for each partner country or region, as 
provided for in Article 4, and adopt an ac tion programme for each partner country or 
region, as provided for in Article 7. 
 In the case of thematic programmes, the Commission shall draw up thematic strategy 
papers, as provided for in Article 5, and a dopt action programmes, as provided for in 
Article 7. 
 In exceptional circumstances, Community s upport may also take the form of special 
measures not covered in strategy papers  or multiannual indicative programmes, as 
provided for in Article 8. 
(3) For a geographical programme, the Commission shall determine the multiannual 
indicative fund allocation to be used for financing cooperation with each partner 
country or region. The criteria for establis hing the allocation shall be based on the 
needs and performance of the country or  region concerned in respect of the 
Community's cooperation policies and st rategies, without prejudice to any 
exceptional circumstances or internati onal commitments of the Community. The 
Commission may include a specific fi nancial allocation for the purpose of 
strengthening cooperation be tween the EU's outermos t regions and neighbouring 
partner countries and regions. 
Article 4 
Strategy papers and multiannual progra mming of geographical programmes 
(1) Strategy papers for partner countries a nd regions shall cover no more than seven 
years in order to provide a coherent framework for coordination between the 
Community and the partner country or regi on concerned. They provide the basis for 
drafting multiannual programmes. 
 Strategy papers shall be reviewed at mid- term, or ad hoc if necessary, in accordance 
where appropriate with the principles and procedures laid down  in the partnership 
and cooperation agreements concluded w ith the partner countries and regions. 
(2) Strategy papers shall be ba sed as far as possible on dial ogue with the partner country 
or region which involves civil society, so as  to ensure that the county or region 
concerned takes sufficient ownership of the process and to encourage support for 
national development strategies, part icularly those for reducing poverty. 
(3) Multiannual indicative programmes shall be drawn up on the basi s of the strategy 
papers for each partner count ry or region. They shall be the subject of an agreement 
with the country or region where possible. 
 Multiannual indicative programmes shall se t out the priority areas selected for 
Community financing, the specific objec tives, the expected results and the 
performance indicators. 
 The programmes shall also set out the i ndicative financial allocation, both overall 
and per priority area, this may be given in the form of a range, where appropriate. 
 
EN 18   EN  Such programmes shall be adjusted where necessary, taking into account any mid-
term or ad hoc reviews of strategy papers. 
 In exceptional circumstances a multiannual indicative allocation may be increased or 
decreased, particularly in the light of speci al needs such as those of a post-crisis 
situation, or where performa nce has been exceptional. 
(4) In circumstances such as crises, post-conf lict situations or threats to democracy, the 
rule of law, human rights or fundamental  freedoms, a special emergency procedure 
may be used to conduct an ad hoc review of the country's or region's cooperation strategy. Such reviews may propose a country  or region strategy to make the 
transition to long-term cooperation and development. The strategy shall ensure that measures taken under this Regulation ar e consistent with other Community 
instruments, in particular the stability  instrument and humanitarian aid. Where 
partner countries or groups of  partner countries are direct ly involved in, or affected 
by, a crisis or post-crisis situation, multiannual programming shall place special emphasis on stepping up coordination between  relief, rehabilitation and development 
to help them make the transition from an  emergency situation to the development 
phase; programmes for countries and regions  regularly subject to  natural disasters 
shall provide for disaster preparedness and prevention. 
(5) The Commission and the Member States sh all consult each other in order to ensure 
that their cooperation activities comp lement each other. Other donors and 
development actors, including those of civi l society, shall be associated in this 
process as early as appropriate. 
Article 5 
Strategy papers and multiannual programming of thematic programmes 
(1) Thematic strategy papers shall cover no more  than seven years. They shall set out the 
Community's strategy for the theme con cerned, the Community's priorities, the 
international situation and the activities of the main partners. 
 The Commission shall ensure consiste ncy between thematic and geographical 
programmes by checking that  the operations implemented through thematic 
programmes are consistent with the strategy papers and multiannual indicative programmes drawn up for the partner countries or regions. 
 Thematic strategy papers shall set out the priority areas selected for financing by the 
Community, the specific objectives, the expected results and the performance 
indicators. 
 The thematic strategy papers shall also gi ve the indicative fina ncial allocation, both 
overall and per priority area; this may be given in the form of a range, where 
appropriate. 
 Strategy papers shall be reviewed at  mid-term, or ad hoc if necessary. 
 
EN 19   EN (2) The Commission and the Member States sh all consult each other in order to ensure 
that their cooperation activities compleme nt each other. Othe r donors and actors, 
including those of civil society, shall be associated in this process as early as appropriate. 
(3) Resources and intervention priorities shall be laid dow n for participation in global 
initiatives. 
Article 6 
Adoption of multiannual programming papers 
The strategy papers and multia nnual indicative programmes referre d to in Articles 4 and 5, 
and any reviews thereof referred to in Article 4( 1) and (3) and Article 5(1), shall be adopted 
by the Commission in accordance with the manage ment procedure set out in Article 21(2). 
TITLE III 
IMPLEMENTATION 
Article 7 
Adoption of action programmes 
(1) The Commission shall adopt annual acti on programmes based on the strategy papers 
and multiannual indicative programmes referred to in Articles 4 and 5. 
 Exceptionally, for instance where an action programme has not ye t been adopted, the 
Commission may, on the basis of the stra tegy papers and multiannual indicative 
programmes referred to in Articles 4 and 5, adopt measures not provided for in an 
action programme under the same rules and procedures as for action programmes. 
(2) Action programmes shall specify the object ives pursued, the fields of intervention, 
the expected results, the management pr ocedures and total amount of financing 
planned. They shall contain a description of the operations to be financed, an 
indication of the amounts allocated fo r each operation and an indicative 
implementation timetable. 
(3) The Commission shall send action progra mmes to the Member States for their 
information within one month of adopting its decision. 
 
EN 20   EN Article 8 
Adoption of special measures not provided for in the strategy papers or multiannual indicative 
programmes 
(1) In the event of unforeseen needs or circumstances, the Commission shall adopt 
special measures not provided for in the strategy papers or multiannual indicative programmes (hereinafter referred to as “special measures”). 
 Special measures may also be used to fund measures to ease the transition from 
emergency aid to long-term development operations, including those to better prepare people to deal with recurring crises. 
(2) Where the cost of such measures exceeds EUR 15 million, the Commission shall 
adopt them under the consultation pro cedure referred to in Article 21(3). 
(3) Special measures shall specify the object ives pursued, the intervention areas, the 
expected results, the management procedures  and the total amount of financing. They 
shall contain a description of the operations  to be financed, an indication of the 
amounts allocated for each operation and the indicative timetable for their implementation. 
(4) The Commission shall send the special meas ures to the Member States for their 
information within one month of adopting its decision. 
(5) The procedure laid down in Article 21(3) ne ed not be used for amendments to special 
measures, such as those making technical adjustments, extending the implementation 
period, reassigning funds within the forecas t budget, or increasing or reducing the 
size of the budget by less than 20% of the initial budget, provided these amendments 
do not affect the initial objectives  set out in the Commission decision. 
Article 9 
Eligibility 
(1) The following, inter alia, shall be eligible for funding under this Regulation for the 
purposes of implementing the action programme s referred to in Article 7 or specific 
measures of the kind refe rred to in Article 8: 
(a) partner countries and regi ons, and their institutions; 
(b) decentralised bodies in the partner c ountries, such as regions, departments, 
provinces and municipalities; 
(c) joint bodies set up by the partner coun tries and regions with the Community; 
(d) international organisations, includ ing regional organi sations, UN bodies, 
departments and missions, international financial institutions and development banks, in so far as they contribute to the objectives of this Regulation; 
 
EN 21   EN (e) Community institutions  and bodies, but only for th e purposes of implementing 
support measures of the type referred to in Article 11; 
(f) European Union agencies; (g) The following entities and bodies of the Member States, partner countries and 
regions and any other third country comp lying with the rules on access to the 
Community's external assi stance set out in Article 16, insofar as they are 
helping to achieve the object ives of this Regulation: 
i. public or parastatal bodies, loca l authorities and consortia thereof; 
ii. companies, firms and other priv ate organisations and businesses; 
iii. financial institutions that grant, promote and finance private investment 
in partner countries and regions; 
iv. non-state actors as defined in paragraph 2; v. natural persons. 
(2) The non-state actors eligible for financ ial support under this  Regulation include: 
non-governmental organisations, organisatio ns representing indigenous peoples, 
local traders' associations and citi zens' groups, cooperatives, trade unions, 
organisations representing economic and so cial interests, local organisations 
(including networks) involved in decentralis ed regional cooperation and integration, 
consumer organisations, women's and youth organisations, teaching, cultural, 
research and scientific organisations, univers ities, churches and re ligious associations 
and communities, the media and any non-govern mental associations and independent 
foundations likely to contribute to developmen t or the external dimension of internal 
policies. 
Article 10 
Types of financing 
Financing for the implementation of action programmes and special measures may in 
particular take the following forms: 
(a) projects and programmes; (b) sectoral or general budge t support if the partner coun try's management of public 
spending is sufficiently transparent, reliable  and effective, and where it has put in 
place properly formulated sectoral or macroeconomic policies approved by its 
principal donors, including, where relevant, the international financial institutions; 
(c) sectoral support; (d) in exceptional cases, sectoral and gene ral import programmes, which may take the 
form of (a) sectoral import programmes in kind, (b) sectoral import programmes 
providing foreign exchange to finance impor ts for the sector in question or (c) 
 
EN 22   EN general import programmes providing foreign exchange to finance general imports of 
a wide range of products; 
(e) funds made available to the Europ ean Investment Bank or other financial 
intermediaries on the basis of Commissi on programmes for the purpose of providing 
loans (in particular to support investment in  and development of the private sector), 
risk capital (in the form of subordinated or conditional loans) or other temporary 
minority holdings in business capital, a nd contributions to guarantee funds in 
accordance with Article 18; 
(f) interest-rate subsidies, especially for environment-related loans; (g) debt-relief programmes; (h) grants to finance projects submitted by entiti es of the type listed in Article 9(1)(b), 
(c), (d), (f) and (g)(i) to (v); 
(i) grants to finance the operating costs of en tities of the type listed in Article 9(1)(b), 
(c), (d), (f) and (g)(i), (iii) and (iv); 
(j) funding for twinning programmes between public institutions, national public bodies 
or private-law entities entrusted with pub lic service tasks of a Member State and 
those of a partner country or region; 
(k) contributions to international funds, su ch as those managed by international or 
regional organisations; 
(l) contributions to national funds set up by pa rtner countries and regions to attract joint 
financing from a number of donors, or cont ributions to funds set up by one or more 
donors for the purpose of the joint implementation of projects; 
(m) capital investments in international financial institutions and regional development 
banks; 
(n) human and material resour ces required for effective administration and supervision 
of projects and programmes by pa rtner countries and regions. 
Article 11 
Support measures 
(1) Community financing may cover expenditu re associated with the preparation, 
follow-up, monitoring, audit and evaluation activities directly necessary for the 
implementation of this Regulation and the achievement of its objectives, e.g. studies, 
meetings, information, awareness-raisi ng, training and publication activities, 
expenditure associated with computer netw orks for the exchange of information, and 
any other administrative or technical assi stance expenditure that the Commission 
may incur for the management of the progra mme. It shall also c over expenditure at 
Commission Delegations on the administrati ve support needed to manage operations 
financed under this Regulation. 
 
EN 23   EN (2) These support measures are not nece ssarily covered by multiannual programming 
and may therefore be financed outside th e scope of strategy papers and multiannual 
indicative programmes. However, they may also be financed under multiannual 
indicative programmes. 
 The Commission shall adopt support m easures not covered by the multiannual 
indicative programmes in accordance with Article 8. 
Article 12 
Cofinancing 
(1) Measures shall be eligible for cofinancing from the following, inter alia : 
(a) Member States, and in particular their public and parastatal agencies; 
(b) other donor countries, and in particular  their public and parastatal agencies; 
(c) international organisation s, including regional organi sations, and in particular 
international and regional financial institutions; 
(d) companies, firms, other private organisations and businesses, and other non-
state actors; 
(e) partner countries and re gions in receipt of funding. 
(2) In the case of parallel cofinancing, the pr oject or programme is split into a number of 
clearly identifiable subprojects which are each financed by the different partners 
providing cofinancing in such a way that th e end-use of the financing can always be 
identified. 
 In the case of joint cofinanc ing, the total cost of a proj ect or programme is shared 
between the partners providing the cofinanci ng and the resources ar e pooled in such 
a way that it is no longer possible to identify the sour ce of financing for any given 
activity undertaken as part of  the project or programme. 
(3) In the case of joint cofinancing, the Commission may receive and manage funds on 
behalf of the bodies referre d to in paragraph 1(a), (b ) and (c) for the purpose of 
implementing joint measures. Such funds sh all be treated as assigned revenue, in 
accordance with Article 18 of  Regulation (EC) No 1605/2002. 
Article 13 
Management procedures 
(1) The measures financed under this Regul ation shall be implemented in accordance 
with Regulation (EC) No 1605/2002. 
 
EN 24   EN (2) In the event of cofinancing and in ot her duly justified cas es, the Commission may 
entrust tasks of public authority, and in pa rticular budget implementation tasks, to the 
bodies referred to in Article 54( 2)(c) of Regulatio n (EC) No 1605/2002. 
(3) In the case of decentralised manageme nt, the Commission may decide to use the 
procurement or grant procedures of th e beneficiary partner country or region, 
provided: 
– the procedures of the beneficiary partner c ountry or region satisf y the principles of 
transparency, proportionality, equal treat ment and non-discrimination and prevent 
any conflict of interests; 
– the beneficiary partner country or region undertakes to check regularly that the 
operations financed by the Community budge t have been properly implemented, 
to take appropriate measures to prevent irregularities and fraud, and, if necessary, 
to take legal action to recover unduly paid funds. 
Article 14 
Budget commitments 
(1) Budget commitments shall be made on the basis of decisions taken by the 
Commission in accordance with Articles 7(1), 8(1) and 11(2). 
(2) Community financing may take one of the following legal forms, inter alia: 
– financing agreements; 
– grant agreements; 
– procurement contracts; 
– employment contracts. 
Article 15 
Protecting the Community's  financial interests 
(1) Any agreements resulting from this Re gulation shall contain provisions ensuring the 
protection of the Community’s financial interests, in particular with respect to fraud, 
corruption and any other irregularities, in  accordance with Counc il Regulations (EC, 
Euratom) Nos 2988/1995, 2185/1996 and 1073/1999. 
(2) Agreements shall expressl y entitle the Commission and the Court of Auditors to 
perform a document audit or an on-the-spot audit of any contract or or subcontractor 
who has received Community funds. They shall also expressly authorise the 
Commission to carry out on-the-spot check s and inspections as provided for in 
Regulation (EC, Euratom) No 2185/1996. 
 
EN 25   EN (3) All contracts resulting from the implementa tion of assistance sha ll ensure the rights 
of the Commission and the Court of Audito rs under paragraph 2 during and after the 
performance of the contracts. 
Article 16 
Public procurement procedures, grant award procedures, rules of origin 
(1) For the purposes of implementing the action programmes referred to in Article 7 and 
the special measures referred to in Artic le 8, participation in public procurement 
procedures and grant award procedures  shall be open to the following: 
– for a thematic programme of the type provi ded for in Article 3( 1), any natural or 
legal person of a developing country or country in transition, as defined by the 
OECD, and of any other country elig ible under the thematic programme; 
– for a geographical programme of the type pr ovided for in Article 3(1), any natural 
or legal person of a developing country or  country in transition, as defined by the 
OECD, eligible under the geographical programme; 
– in all cases, any natural or legal person of the Member States of the European 
Community, the Member States of the European Economic Area, the countries 
eligible for Community assistance under the pre-accession instrument and any 
other third country, subject to fulfilment of the condition of reciprocity set out in 
paragraph 2. 
(2) If a third country authorises natural a nd legal persons of the Member States to 
participate in its public procurement and grant award procedures  for its cooperation 
programmes, the Commission may decide to authorise participat ion by natural and 
legal persons of that country in the co rresponding European Community procedures. 
 The Commission shall take the decision to grant such access after first obtaining the 
opinion of the committee established under Article 21. The committee shall base its 
opinion on a report analysing the grounds for,  and conditions and impact of, such 
access, and shall act in accordance with the management procedure set out in 
Article 21(2).  
 A decision to grant access may apply to al l types of Community aid, to one or more 
thematic or geographical programmes or to one or more partner countries and 
regions and may be restricted to particular  areas of cooperation. The decision shall be 
valid for not less than one year. 
(3) If measures financed under this Regul ation are implemented on a centralised basis 
and indirectly by Member State bodies or Member State entities  governed by private 
law and entrusted with public -service tasks, or on a de centralised basis under the 
responsibility of partne r countries or regions in receipt  of funding or by delegation to 
international or regional organisations , particularly inte rnational financial 
institutions, participation in the public pr ocurement and grant award procedures of 
the managing entity shall be  open to natural and legal persons of the countries having 
access to Community contracts and grants in accordance with the principles set out in 
 
EN 26   EN paragraphs 1 and 2, and of any other country  eligible under the rules and procedures 
of the managing entity. 
(4) The origin of supplies and equipmen t purchased under a contract for the 
implementation of measures taken under th is Regulation shall be  in accordance with 
the principles set out in paragraphs 1, 2 and 3. 
(5) If in exceptional circumstances, particul arly in an extreme emergency, services, 
supplies or equipment are not available in a country having access to Community 
contracts, or if the rules on eligibility for the contracts are such as to make it 
impossible or excessively difficult to carry out a project or programme, the 
Commission may decide to: 
– extend access to contracts to  natural and legal persons of a country not eligible 
under paragraph 1; 
– authorise the purchase of supplies and e quipment originating in a country not 
eligible under paragraph 1. 
Article 17 
Prefinancing 
Interest generated by prefinancing payments to beneficiaries shall be deducted from the final 
payment. 
Article 18 
Funds made available to the European Invest ment Bank or other financial intermediaries 
(1) The funds referred to in Article 10(d) sh all be managed by financial intermediaries, 
the European Investment Bank or any other bank or organi sation with the capacity to 
manage such funds. 
(2) The Commission must adopt implementi ng provisions for paragraph 1 on a case-by-
case basis to cover risk-sharing, the remunera tion of the intermediary responsible for 
implementation, the use and recovery of profits on funds, and the closure of the 
operation.  
Article 19 
Evaluation 
(1) The Commission shall regularly evaluate the results of geographical and thematic 
policies and programmes and of sectoral  policies and the effectiveness of 
programming in order to ascer tain whether the objectives have been met and enable 
it to formulate recommendations with a view to improving future operations. 
 
EN 27   EN (2) The Commission shall send its evaluation reports to the committee referred to in 
Article 21 for information. 
TITLE IV 
FINAL PROVISIONS 
Article 20 
Annual report 
(1) The Commission shall examine the progr ess made in implementing the measures 
taken under this Regulation and shall subm it to the European Parliament and the 
Council an annual report on th e implementation of the assi stance. This report shall 
also be submitted to the European Ec onomic and Social Committee and to the 
Committee of the Regions. 
(2) It shall contain information relating to th e previous year on the measures financed, 
the results of monitoring and evaluation exercises, and the implementation of budget 
commitments and payments, broken down by country, region and cooperation sector. 
Article 21 
Committee 
(1) The Commission shall be assisted by a committee. (2) Where reference is made to this paragraph, Articles 4 and 7 of Decision 
1999/468/EC shall apply, in accordance with Article 8 of that Decision. The period provided for in Article 4(3) of  the Decision shall be 30 days. 
(3) Where reference is made to this paragraph, Articles 3 and 7 of Decision 
1999/468/EC shall apply, in accordance with Article 8 of that Decision. 
(4) The committee shall adopt its rules of procedure. These rules shall include provision 
for the Commission to adopt the specific measures referred to in Article 8(2). 
(5) A representative from the European I nvestment Bank shall be present at the 
committee's proceedings. 
Article 22 
Participation by a third country not  eligible under this Regulation 
(1) To ensure the coherence and effec tiveness of Community assistance, the 
Commission may decide when adopting action programmes of the ty pe referred to in 
Article 7 or the special measures referred to in Article 8 that count ries, territories and 
regions eligible for Community assistance under the pre-accession instrument or the 
European Neighbourhood and Partnership Inst rument and the overseas countries and 
 
EN 28   EN territories associated with  the Community are eligible for measures under this 
Regulation where the geogra phical or thematic project  or programme to be 
implemented is of a global, regional or crossborder nature. Provision may be made 
for this method of financing in the strategy papers and multiannual indicative programmes referred to in Articles 4 and 5. The provisions Article 9 concerning 
eligibility and the provisi ons of Article 16 concerning participation in public 
procurement and grant award procedures and ru les of origin shall be adapted to allow 
the countries, territories and re gions concerned to take part. 
(2) In the case of global initiatives for sust ainable development or in support of global 
public goods implemented through multilate ral mechanisms, the Commission may 
provide financial assistance under this Re gulation. In such cases eligibility for 
financing is extended to all countries receiving assistance under the global initiative. 
Article 23 
Suspension of assistance 
Without prejudice to the provisions on suspensi on of aid in partnership and cooperation 
agreements with partner countri es and regions, where a partner country fails to observe the 
principles referred to in Title I, the Council, acting by a qualifie d majority on a proposal from 
the Commission, may take appropriate steps in resp ect of any assistance granted to the partner 
country under this Regulation. 
Article 24 
Financial provisions 
(1) The financial reference amount for implem entation of this Regulation over the period 
2007-2013 is €44 229 million, €23 572 million of which shall be for financing geographical cooperation with  the African, Caribbean and Pacific countries, 
excluding South Africa and East Timor. 
(2) Annual appropriations shall be authoris ed by the budgetary au thority within the 
limits of the financial perspectives. 
Article 25 
Review 
The Commission shall submit to the European Parliament and the Council by 
31 December 2011 any proposals concerning the future of this Regulation and any amendments that may be necessary. 
 
EN 29   EN Article 26 
(1) The following Regulations shall be  repealed as of 1 January 2007: 
(a) Regulation No 1568/2003 of the European Parliament and of the Council of 15 
July 2003 on aid to fight poverty diseas es (HIV/AIDS, tuberculosis and 
malaria) in developing countries 
(b) Regulation No 1567/2003 of the European Parliament and of the Council of 15 
July 2003 on aid for policies and actions  on reproductive and sexual health and 
rights in developing countries 
(c) Regulation (EC) No 2493/2000 of the Eu ropean Parliament and of the Council 
of 7 November 2000 on measures to pr omote the full integration of the 
environmental dimension in the development process of developing countries 
(d) Regulation (EC) No 2494/2000 of the Eu ropean Parliament and of the Council 
of 7 November 2000 on measures to pr omote the conservation and sustainable 
management of tropical forests and ot her forests in developing countries 
(e) Council Regulation (EC) No 975/1999 of 29 April 1999 laying down the 
requirements for the implementation of development cooperation which 
contribute to the general objective of developing a nd consolidating democracy 
and the rule of law and to that of respecting human rights and fundamental 
freedoms 
(f) Regulation (EC) No 806 /2004 of the European Parliament and of the Council 
of 21 April 2004 on promoting gender equality in development cooperation 
(g) Council Regulation (EC) No 1659/98 of 17 July 1998 on decentralised 
cooperation, as amended and extende d by Regulations 995/2002 and 625/2004  
(h) Council Regulation (EC) No 1658/98 of 17 July 1998 on cofinancing 
operations with European non-governmental  organisations (NGOs) in fields of 
interest to the developing countries 
(i) Council Regulation (EC) N° 1292/96 of 27 June 1996 on food-aid policy and 
food-aid management and special operati ons in support of food security, as 
amended by Regulation (EC) No 1726/2001 of  the European Parliament and of 
the Council of 23 July 2001 amending Artic le 21 of Council Regulation (EC) 
No 1292/96 on food-aid policy and f ood-aid management and special 
operations in support of food security 
(j) Council Regulation (EC) No 382/2001 of 26 February 2001 concerning the 
implementation of projects promoting cooperation and commercial relations between the European Union and the industrialised c ountries of North 
America, the Far East and Australasi a and repealing Regulation (EC) No 
1035/1999 
 
EN 30   EN (k) Regulation (EC) No 1726/2000 of the Eu ropean Parliament and of the Council 
of 29 June 2000 on development cooperation with South Africa 
(l) Council Regulation (EEC) No 443/92 of 25 February 1992 (ALA) on financial 
and technical assistance to, and econom ic cooperation with, the developing 
countries in Asia and Latin America 
(m) Council Regulation (EC) No 2258/96 of 22 November 1996 on rehabilitation 
and reconstruction operations  in developing countries 
(n) Regulation (EC) No 2130/2001 of the Eu ropean Parliament and of the Council 
of 29 October 2001 on operations to ai d uprooted people in Asia and Latin 
American developing countries 
(o) Council Regulation (EC) No 550/97 of 24 March 1997 on HIV/AIDS related 
operations in developing countries 
(p) Council Regulation (EC) No 1484/97 of  22 July 1997 on aid for population 
policies and programmes in developing countries. 
(2) The repealed Regulations shall continue to apply for legal acts and commitments of 
pre-2007 budget years. 
Article 27 
This Regulation shall enter into force on the twentieth day following that of its publication in 
the Official Journal of the European Union. It shall apply from 1 January 2007. 
This Regulation shall be binding in  its entirety and directly applicable in all Member States. 
Done at Brussels, […] 
For the European Parliament For the Council 
The President The President […] […] 
 
EN 31   EN FICHE FINANCIÈRE LÉGISLATIVE  
Domaine(s) politique(s): Relations extérieures 
 Développement et Relations avec les Etats ACP 
 Aspects extérieurs des politiques internes 
Activité(s): Relations avec l’Europe de l’Est, le Caucase et les Républiques 
d’Asie Centrale ( en partie )24 
 Relations avec le Moyen-Orient  et la Méditerranée du Sud ( en 
partie )25 
 Relations avec l’Asie  Relations avec l’Amérique Latine  Droits de l’Homme et Démocratisation  Relations multilatérales et do maines généraux des relations 
extérieures ( en partie )
26 
 Relations avec l’Afrique Sub-sahari enne, les Caraïbes, le Pacifique 
et l’Océan Indien 
 Politique de coopération au Développement et stratégies 
sectorielles 
 Relations avec les pays de l’OCDE non membres de l’Union 
européenne 
 Aspects extérieurs de la politique  de l’environnement et des autres 
politiques internes 
 
DÉNOMINATION DE L ’ACTION : FINANCEMENT DE LA COOPÉRATION AU DÉVELOPPEMENT ET 
DE LA COOPÉRATION ÉCONOMIQUE AVEC LES ETATS TIERS  
1. LIGNE(S)  BUDGÉTAIRE(S)  + INTITULÉ(S) 
Activités actuellement couvertes par les Fonds européens de développement27 
Et sous réserve de certaines activités re levant de l’instrument de stabilité : 
Dépenses administratives28 
07 01 04 06 - Participation aux activités intern ationales en matière d'environnement — 
Dépenses pour la gestion administrative 
06 01 04 09 - Intelligent energy - Expenditure on administrative management (in part) 
                                                 
24 En partie car seules les activités de coopération avec les Républiques d’Asie Centrale relèvent de ce 
Règlement. 
25 En partie car seules les activités de coopération avec  les Pays du Golfe, le Yèmen, l’Irak et l’Iran 
relèvent de ce Règlement. 
26 En partie car les opérations de démina ge relèvent de l’instrument de stabilité. 
27 A l’exception de celles relevant de l’instrument de stabilité ou des aides humanitaires ou d’urgence. 
28 Sous réserve des activités relevant de l’instrument de pré-adhésion ou de l’instrument européen de 
voisinage et de partenariat (« en partie  »). 
 
EN 32   EN 07 01 04 05 - LIFE (European Financial Instrument for the Environment — 2000 to 2006) — 
Operations outside Community territory — Expenditure on admi nistrative management (in 
part) 
19 01 04 01 - Coopération avec les pays tiers industrialisés - Dépenses pour la gestion 
administrative 
19 49 04 01 — Coopération avec les pays tiers industrialisés — Dépens es pour la gestion 
administrative 
19 01 04 04 - Coopération financiè re et technique avec les pays  en développement d´Asie - 
Dépenses de gestion administrative 
19 49 04 04 - Coopération financiè re et technique avec les pays  en développement d´Asie - 
Dépenses de gestion administrative 
19 01 04 05 - Coopération financière et t echnique avec les pays en développement 
d´Amérique latine - Dépenses de gestion administrative 
19 49 04 05 - Coopération financière et t echnique avec les pays en développement 
d´Amérique latine - Dépenses de gestion administrative 
19 01 04 07 - Assistance aux Etats partenaires d´Europe orientale et  d´Asie centrale - 
Dépenses de gestion administrative ( en partie ) 
19 49 04 06 - Assistance aux Etats partenaires d´Europe orientale et  d´Asie centrale - 
Dépenses de gestion administrative ( en partie ) 
19 01 04 11 - Développement et consolidation de la démocratie et de l´État de droit - Respect 
des droits de l´homme et des libertés fondament ales - Dépenses de gestion administrative ( en 
partie ) 
19 49 04 10 - Développement et consolidation de la démocratie et de l´État de droit - Respect 
des droits de l´homme et des libertés fondament ales - Dépenses de gestion administrative ( en 
partie ) 
19 01 04 12 - Promotion de l´investissement co mmunautaire dans les pa ys en développement 
d´Amérique latine, d´Asie, de la Méditerranée et  en Afrique du Sud, dans le cadre des accords 
de coopération économique et commerciale - Dépenses de gestion administrative ( en partie ) 
19 49 04 11 - Promotion de l´investissement co mmunautaire dans les pa ys en développement 
d´Amérique latine, d´Asie, de la Méditerranée et  en Afrique du Sud, dans le cadre des accords 
de coopération économique et commerciale - Dépenses de gestion administrative ( en partie ) 
21 01 04 01 - Autres aides en pr oduits, actions d´appui et tran sport, distribution, mesures 
d´accompagnement et de contrôle de la mise en oeuvre - Dépenses de gestion administrative 
21 49 04 01 - Autres aides en pr oduits, actions d´appui et tran sport, distribution, mesures 
d´accompagnement et de contrôle de la mise en oeuvre - Dépenses de gestion administrative 
21 01 04 02 - Autres actions de coopération et st ratégies sectorielles - Dépenses de gestion 
administrative 
 
EN 33   EN 21 49 04 02 - Autres actions de coopération et st ratégies sectorielles - Dépenses de gestion 
administrative 
21 01 04 05 - Programme européen pour la rec onstruction et le développement (PERD) - 
Dépenses de gestion administrative 
21 49 04 05 - Programme européen pour la rec onstruction et le développement (PERD) - 
Dépenses de gestion administrative 
Relations multilatérales29 
19 02 03 - Coopération avec les pays  tiers sur les migrations ( en partie ) 
19 02 07 - Promotion de l´investissement comm unautaire dans les pays en développement 
d´Amérique latine, d´Asie, de la Méditerranée et  en Afrique du Sud, dans le cadre des accords 
de coopération économique et commerciale ( en partie ) 
19 02 11 - Programme de coopération Nord-Sud da ns la lutte contre les drogues et la 
toxicomanie ( en partie ) 
Droits de l’Homme30 
19 04 02 - Aide aux victimes de violations de droits de l'homme ( en partie ) 
19 04 03 - Développement et consolidation de la dé mocratie et de l´État de droit - Respect des 
droits de l´homme et des libertés fondamentales ( en partie ) 
19 04 04 - Soutien aux activités des tribunaux pénaux internationaux et à la mise en place de 
la Cour pénale international ( en partie ) 
Pays industrialisés 
19 05 02 - Coopération avec les pays tiers industrialisés 
Europe de l’Est, Caucase et Républiques d’Asie Centrale31 
19 06 01 - Assistance aux Etats partenaires d´ Europe orientale et d´Asie centrale ( en partie ) 
19 06 02 - Coopération transfrontalière  dans le domaine structurel ( en partie ) 
19 06 04 - Action de réhabilitation et de rec onstruction en faveur des États partenaires 
d´Europe orientale et d´Asie centrale ( en partie ) 
                                                 
29 Sous réserve des activités relevant de l’instrument de pré-adhésion ou de l’instrument européen de 
voisinage et de partenariat (« en partie  »). 
30 Sous réserve des activités relevant de l’instrument de pré-adhésion ou de l’instrument européen de 
voisinage et de partenariat (« en partie  »). 
31 Sous réserve des activités relevant de l’instrument européen de voisinage et de partenariat (« en 
partie  »). 
 
EN 34   EN Moyen-Orient et Méditerranée du Sud32 
19 08 05 - Actions de réhabilitatio n et de reconstruction en fave ur des pays méditerranéens et 
du Proche- et du Moyen Orient ( en partie ) 
19 08 06 - Autres interventions au  bénéfice des pays en déve loppement du Proche- et du 
Moyen-Orient ( en partie ) 
19 08 07 - Aide à la réhabilitati on et reconstruction de l'Iraq 
Amérique Latine  
19 09 01 - Coopération financière et technique avec les pays en développement d´Amérique 
latine 
19 09 02 - Coopération politique, économique et cu lturelle avec les pays en développement 
d'Amérique latine 
19 09 03 - Aide aux populations déraciné es dans les pays d´Amérique latine 
19 09 04 - Actions de réhabilitation et de recons truction en faveur des pays en développement 
d´Amérique latine 
Asie 
19 10 01- Coopération financière  et technique avec les pays  en développement d´Asie 
19 10 02 - Coopération politique, économique et cu lturelle avec les pays en développement 
d'Asie 
19 10 03 - Aide aux populations déracinées dans les pays d´Asie 19 10 04 - Actions de réhabilitation et de recons truction en faveur des pays en développement 
d´Asie 
19 10 06 - Aide à la réhabilitation et  reconstruction de l'Afghanistan 
Stratégies sectorielles 
07 02 01 Participation aux ac tivités internationa les en matière d'environnement 
06 04 02 Intelligent energy — Europe progra mme (2003 to 2006): external strand — 
Coopener (in part) 
07 02 02- LIFE (European Financial Instrument for the Environment — 2000 to 2006 — 
Operations outside Commun ity territory (in part) 
21 02 01 - Produits à mobiliser au titre de la  convention relative à l´aide alimentaire 
                                                
 
32 Sous réserve des activités relevant de l’instrument européen de voisinage et de partenariat (« en 
partie  »). 
 
EN 35   EN 21 02 02 - Autres aides en produits, actions d´ appui et transport, distribution, mesures 
d´accompagnement et de contrôle de la mise en oeuvre  
21 02 03 - Participation communautaire à des acti ons en faveur de pays en développement 
exécutées par des organisations non gouvernementales 
21 02 05 - Environnement dans les pays en développement 21 02 06 - Intégration des questions de genr e dans la coopération au développement 
21 02 07 02 - Lutte contre les maladies dues à la pauvreté (VIH/sida, paludisme et 
tuberculose) dans les pays en développement  
21 02 07 03 - Aide aux populations et soins de santé en matière de procréation  
21 02 07 04 - Lutte contre les maladies dues à la pauvreté, autres que le VIH/sida, le 
paludisme et la tuberculose, da ns les pays en développement 
21 02 08 - Aide à l'éducation fondamental e dans les pays en développement 
21 02 12 - Intégration des droits de l'enfa nt dans la coopération au développement 
21 02 13 - Coopération décentralisée 21 02 14 - Constitution de capacités dans le domaine des technologies de l'information et des 
communications et dans le dom aine de l'énergie durable 
21 02 17 - Coopération culturelle avec  les pays en développement 
Etats ACP 
21 03 01 — Aide programmable – États ACP 
21 03 02 — Ajustement structurel , y compris les pays pauvres lourdement endettés (PPLE) — 
États ACP 
21 03 03 — Stabex — États ACP 21 03 04 — Sysmin — États ACP 21 03 05 — Capitaux à risque — États ACP 21 03 06 — Bonifications d'intérêts — États ACP 
21 03 07 — Aides d'urgence — États ACP 
21 03 08 — Aides aux réfugiés — États ACP 21 03 09 — Aide programmable — Pays et territoires d'outre-mer (PTOM 
 
EN 36   EN 21 03 10 — Ajustement structurel , y compris les pays pauvres lourdement endettés (PPLE) — 
PTOM 
21 03 11 — Stabex — PTOM 21 03 12 — Sysmin — PTOM 21 03 13 — Capitaux à risque — PTOM 21 03 14 — Bonifications d'intérêts — PTOM 21 03 15 — Aides d'urgence — PTOM 21 03 16 — Aides aux réfugiés — PTOM 21 03 17 - Programme européen pour la rec onstruction et le développement (PERD) 
21 03 19 - Assistance aux producteurs traditio nnels de rhum ACP dans les domaines du 
développement et de la diversification des marchés 
21 03 20 - Action de réhabilitati on et de reconstruction en fa veur des pays en voie de 
développement, notamment les Etats ACP 
2. DONNÉES
 CHIFFRÉES  GLOBALES   
2.1 Enveloppe totale de l’action (par tie B): 44 229 millions d'euros en CE 
2.2 Période d’application: 2007-2013 2.3 Estimation globale pl uriannuelle des dépenses: (prix courant) 
a) Échéancier crédits d'engagement/crédits  de paiement (intervention financière) 
(cf. point 6.1.1) 
Millions d'euros ( à la 3
e décimale) 
 2007 2008 2009 2010 2011 2012 2013 + 
suivan
tes Total 
Crédits d'engagement 2.364 5.770 6.169 6.621 6.917 7.172 7.446 42.459
Crédits de paiement 284 1.283 2.608 3.801 4.942 5.831 23.710 42.459
b1) Assistance technique et  administrative : personnel (cf. point 6.1.2)  
Crédits d'engagement 53 130 142 155 165 175 185 1.005 
Crédits de paiement 53 130 142 155 165 175 185 1.005 
 
EN 37   EN b2) Assistance technique et admini strative : dépenses d’appui (DDA) (cf. point 6.1.2) 
Crédits d'engagement 45 111 115 121 124 124 125 765 
Crédits de paiement 45 111 115 121 124 124 125 765 
 
Sous-total a+b         
Crédits d'engagement 2.462 6.011 6.426 6.897 7.206 7.471 7.756 44.229
Crédits de paiement 382 1.524 2.865 4.077 5.231 6.130 24.020 44.229
* “années suivantes” ne s’ appliquent qu’aux paiements 
c) Incidence financière globale des resso urces humaines et au tres dépenses de 
fonctionnement (cf. points 7.2 et 7.3) 
CE/CP 122 303 330 361 386 408 431 2.341 
 
TOTAL a+b2+c         
Crédits d'engagement 2.531 6.184 6.614 7.103 7.427 7.704 8.002 45.565
Crédits de paiement 451 1.697 3.053 4.283 5.452 6.363 24.266 45.565 
2.4 Compatibilité avec la programmation fina ncière et les perspectives financières 
Proposition compatible avec la programma tion financière prévue pour la période 
2007-2013. 
2.5 Incidence financière sur les recettes 
Aucune implication sur les recettes. 
3. CARACTÉRISTIQUES  BUDGÉTAIRES 
Nature de la dépense Nouvelle Participation 
AELE Participation 
pays 
candidats Rubrique PF
DNO  CD OUI NON NON 4 
4. BASE  JURIDIQUE   
Articles 179 et 181a du traité inst ituant la Communauté européenne. 
 
EN 38   EN 5. DESCRIPTION  ET JUSTIFICATION 
5.1 Nécessité d'une intervention communautaire 
5.1.1 Objectifs poursuivis 
Coopération avec les pays en voie de développement 
Avec la politique extérieure et de sécurité co mmune, la politique commerciale et l’assistance 
humanitaire, la politique de développement de la Communauté est un domaine important des 
relations extérieures de  l’Union européenne. 
Les objectifs poursuivis par le financement d’activités de coopé ration au titre du présent 
Règlement sont ceux définis à l’ article 177 du traité instituant  la Communauté européenne, à 
savoir : 
– le développement économique et social durab le des pays en développement et plus 
particulièrement des plus défavorisés d'entre eux ; 
– l'insertion harmonieuse et progressive de s pays en développement dans l'économie 
mondiale ; 
– la lutte contre la pauvreté da ns les pays en développement. 
En outre, la politique de la Communauté contribu e à l'objectif général de développement et de 
consolidation de la démocratie et de l'État de droit, ainsi qu'à l'objectif du respect des droits de 
l'homme et des libertés fondamentales. 
La déclaration conjointe du Conseil et de la Commission de novembre 200033 donne à la 
Communauté un encadrement général pour ses activ ités de coopération et ses partenariats 
avec les pays en développement ou en transition. C’est ainsi que le principal objectif de la 
politique de coopération au développement  de la Communauté est de réduire et 
éventuellement d’éradiquer la pauvreté par un appui au déve loppement économique, social et 
environnemental durable, par l’intégration pr ogressive des pays en développement dans 
l’économie mondiale et par la lutt e contre les inégalités. La prom otion des droits de l’homme, 
de la démocratie, de l’Etat de Droit, et de la bonne gouvernance fait part ie intégrante de la 
politique communautaire de développement. En  outre, la Communauté encourage une plus 
grande participation des organisations non gouv ernementales, des opérateurs économiques, et 
notamment du secteur privé, et des partenaires sociaux dans le s processus de développement. 
La politique communautaire de développe ment contribue également aux objectifs 
internationaux approuvés dans le contexte des Nations Unies ou au sein d’autres organisations 
internationales compétentes. 
Les objectifs de coopération de la Communauté sont  inscrits dans les acc ords de coopération 
et de partenariat conclus entre la Communauté,  ses Etats membres, et les pays et régions 
partenaires. Ils sont déclinés et adaptés en fonction des particularités régionales (les objectifs 
spécifiques par programme de coopérati on sont repris à la partie 5.2). 
                                                 
33 Déclaration du Conseil et de la Commission sur la politique communautaire de développement 
(1348/00) du 10 novembre 2000. 
 
EN 39   EN Les objectifs de la politique de développement  de la Communauté sont notamment ancrés 
dans les engagements pris par 189 Etats membre s des Nations Unies, y inclus tous les Etats 
membres de la Communauté, lors de l’a ssemblée du millénaire des Nations Unies en 
septembre 2000. Les Etats ont en  effet convenu d’un ense mble d’objectifs, dénommés 
Objectifs du Millénaire pour le développement (OMD), et de ci bles mesurables pour lutter 
contre la pauvreté, la faim, la maladie, l’anal phabétisme, la dégradation de l’environnement et 
la discrimination à l’égard des femmes. La Déclaration du Millénaire a également énoncé dans ses grandes lignes un consensus sur la « marche à suivre » qui met l’accent plus 
résolument sur les droits de l’homme, la bonne gouvernance et la démocratie. 
Objectifs du millénaire pour le développe ment devant être atteints d’ici 2015 : 
– Réduire l’extrême pauvreté et la faim ; 
– Assurer l’éducation primaire pour tous ; 
– Promouvoir l’égalité entre les sexes et l’autonomisation des femmes ; 
– Réduire la mortalité des moins de cinq ans ; 
– Améliorer la santé maternelle ; 
– Lutter contre le VIH/sida, le pa ludisme et d’autres maladies ; 
– Assurer un environnement durable ; 
– Développer un partenariat mondi al pour le développement. 
Atteindre les OMD dépendra largement des politi ques mises en œuvre par les pays en voie de 
développement, mais aussi de l’augmentation de s ressources allouées à la coopération au 
développement, de l’amélioration de l’efficacité de  l’aide et de la mise en place d’un système 
commercial et financier multilatéral ouvert. 
Lors de la Conférence internat ionale sur le financement du dé veloppement qui a eu lieu à 
Monterrey (Mexique) en mars 2002, les pays dé veloppés et les pays en développement ont 
commencé d’allouer des ressources et de pr évoir des interventions conformément aux 
engagements du millénaire. C’est ainsi que les réformes politiques et économiques soutenues 
par les pays en développement devaient êt re appuyées par un apport direct du monde 
développé sous forme d’aide , d’échanges commerciaux, d’a llègement de la dette et 
d’investissements. 
Les engagements de Barcelone
34 qui définissent la contributi on de l’Union européenne au 
consensus de Monterrey engagent notamment  la Communauté et ses Etats membres à : 
accroître substantiellement leur aide officiel au développement, renforcer la coordination des 
politiques et l’harmonisation des procédures, délier  plus avant leur aide, accroître l’aide liée 
au commerce, encourager le règlement de la  question des biens publics mondiaux, poursuivre 
l’examen de sources de finan cement novatrices, favoriser certaines reformes des systèmes 
financiers internationaux et te ndre vers l’établisseme nt d’un niveau soutenable d’endettement, 
dans le cadre de l’initiative PPTE. Ces enga gements contribuent don c à définir le cadre 
                                                 
34 Adoptés par le Conseil européen de Barcelone le 14 mars 2002. 
 
EN 40   EN général de la politique de dé veloppement communautaire, ses ob jectifs et ses modalités de 
mise en œuvre. 
The development and consolidation of democracy and the rule of law, and respect for human 
rights and fundamental freedoms constitute key obj ectives of the European Union’s external 
policies. Within the framework of the pres ent Regulation and its geographical scope, the 
European Community will contribute to the implementation of operations advancing respect for human rights and fundamental freedoms, promoting and strengthening democratic 
processes, including where appropriate throug h election observation and assistance, and 
developing and consolidating the rule of law and good governance. 
Coopération avec les pays industrialisés 
The objectives pursued are essent ially based on joint policy statem ents and instruments (joint 
political Declarations, Action Plans, Fram ework Agreements, New Transatlantic and 
Partnership Agendas…) between the European Union and the partner countries concerned. 
Cooperation initiatives with industrialis ed non-member countries, by providing an 
underpinning of concrete activities for the bilate ral dialogues, aim to contribute to the creation 
of a more favourable environment for the conduc t and development of political, economic and 
trade relations between the European Union and these partner countries, thus building 
stronger bilateral links in all relevant areas. This includes the improve ment of market access 
and business opportunities for European Union industry on those markets. 
Cooperation objectives with  industrialised countries relate mo re particularly to four main 
action fields: promoting peace, security, democracy and development in the world; strengthening bilateral economic  and trade relations and contributing to the expansion of 
world trade and economy; responding to global and societal challenges; building bridges 
between people and cultures. 
Multilateral and other coope ration as external aspect s of internal policies 
5.1.2 Dispositions prises relevant de l’évaluation ex ante   
The Commission carried out in th e second half of 2003 an extensiv e high-level review of the 
whole range of European Community external in struments, in the context of the preparation 
of its proposals for the new financial pers pectives. The Commission established the “Peace 
Group” which was tasked with lead ing the identification of the fu ture priorities for external 
relations and the instruments needed to serve those priorities. This Group functioned at both 
the level of the external relations Commissioners and the services. It met regularly between April and December 2003 and developed the pr inciples, which were set out in the 
Communication “Building our Common Future, Policy Challenges and Budgetary Means of 
the Enlarged Union 2007-2013”
35. The need to align objectives and instruments more closely 
to European Union values and interests was identified as being fundamentally important. 
In particular, the “Peace Group” unde rlined that the European Union’s values, reflected by its 
democratic tradition, social model and integra tion experience, include human dignity, the rule 
of law, human rights, solidarity, equality be tween the sexes, adherence to the multilateral 
system of the United Nations and support, w ithin the multilateral economic system, for 
                                                 
35 COM(2004) 101 du 10 février 2004. 
 
EN 41   EN regionalism as a force for development and stability. It emphasised that its interests drive the 
European Union to promote stable internati onal growth founded on sustainable development. 
In this way it guarantees itself increasing outlets and quality jobs on competitive, open and regulated markets. Finally, the “Peace Group ” recommended that the European Union 
promotes its values and interests by operating simultaneously as a continental power, and as a 
global economic and political player. 
As far as external community instruments are concerned, the “Peace Gr oup” recognised that 
the European Union's co-operation and assistance  policy is the result of  50 years of successive 
sedimentation, which results in a multiplication of assistance instruments and a fragmentation 
of aid management both in terms of program ming and implementation functions (even if 
recent policy and structural reforms have helped  to improve coherence and consistency of the 
European Union's co-opera tion and assistance policy). 
The “Peace Group” put forward that  the European Union’s framework for external assistance 
should be rationalised and simplif ied by a reduction in the number of legal bases, the number 
of budget lines, and the number of programme s. More precisely, it recommended that: 
– the complex structure of existing aid pr ograms (EDF, ALA, ME DA, TACIS, CARDS, 
etc…) covering a wide range of interventi ons (peacekeeping and post-crisis operations; 
rehabilitation; economic reforms; projects ; human rights programs; budgetary support) 
should be significantly streamlined; 
– European Community and Member States policies and implementation should be 
harmonised. 
Furthermore, the “Peace Group” underlined the following points: 
– Large geographic programmes base d on the principles of owne rship and partnership with 
partner countries and regions and thematic programmes allowing for policy initiatives by 
the Community should be maintained; 
– Strategy papers, subject to regular reviews, are the right tool to ensure overall policy 
coherence and to respect external  policy objectives in the different areas as well as in the 
external aspects of internal policies; 
– Resources should be allocated to partner count ries according to expected and measured 
performances and strategy papers process, ba cked up by stronger anal ytical capabilities, 
should confront goals and achievements; 
– Performance-based allocations do not mean incr eased conditionality in the traditional sense 
and the issue of political conditionality shoul d be approached cautiously, on the basis of 
lessons drawn from experience; 
– Though this is not necessarily a solution in each and every case, such concerns for results, 
namely the political and economic reforms in  the partner countries , leads the Commission 
to suggest, where possible, moving further fina ncial and technical assistance from projects 
towards sector programmes, budget support and macro-economic financial assistance 
which facilitate both the absorption by th e partner country since its own budgetary 
procedures are used, and donors’ co-ordination as well as qui ck disbursement subject to 
compliance though. 
 
EN 42   EN The current proposal also takes account of the vast l iterature of work on development, the 
practice of other international a nd bi-lateral donors, as well as of the princi ples and objectives 
of the reform of the management of external  assistance launched by the Commission in May 
2000. 
5.1.3 Dispositions prises à la suite de l’évaluation  ex post  
While the diversity of evaluati ons undertaken during the last fi ve years to a large extent 
precludes the definition of any single overarching finding, the various sets of results available 
continue to isolate a cluster of key issues. 
These results underline th e fact that clearly-defined and r ealistic objectives, associated with 
agreed criteria for success, re main of great importance for the successful implementation of 
external assistance. At the same time, sensitivity to possible changes in the circumstances and capacity of partner organisations  will be nurtured through appr opriate institutional support, 
policy dialogue and technical assistance. 
Coherent and comprehensive approaches will be formulated, embracing an array of means of 
interventions allowing for flexible planning and ra pid delivery in response to any specific in-
country situation. 
Sound policy and methodological frameworks follo wing the highest inte rnational standards 
will be translated into clear and realistic targ ets applying leaner procedures. Implementation 
will take full advantage of the devolution process to ensure optimal management capacity and information systems. At the ex-ante or feasibil ity stage, consideration of the full range of 
alternative choices of approach will be undertaken, including reflection on the most 
appropriate instruments and conditions for assistance, and favouring rapid and simple 
instruments for administrati on and operative management. 
First positive results and th e soundness of proposed improvements were evidenced through 
the latest evaluation reports. 
5.2 Actions envisagées et modalités  de l'intervention budgétaire 
Afrique Sub-saharienne, Caraïbes, Pa cifique et Océ an Indien (ACP) 
Populations visées
 
The ACP regroup 78 developing countries (76 countries covered by the EDF plus South 
Africa and East Timor) with a total population of 700 million. 42 of these countries are least 
developed countries and close from 50% of the ACP population lives with less  than 1 USD 
per day. 
Objectifs spécifiques  
This programme is designated to  finance cooperation activities at country, regional and at all 
ACP levels aimed at reducing poverty, promoti ng sustainable development, addressing in a 
balanced and integrated manner social, economic and environmental objectives, and the progressive integration of the ACP countries  into the world economy. The programmes will 
be designed according to the approach and prin ciples defined in th e ACP-EC Partnership 
Agreement signed in Cotonou in June 2000. They w ill contribute to th e achievement of the 
Millennium Development Goals and will be ba sed on and promote the respect for all human 
 
EN 43   EN rights and fundamental freedoms, democracy ba sed on the rule of law and transparent and 
accountable governance. The policy co-operati on framework between the European Union 
and South Africa is set out in the Bi-Lateral  Trade, Development and Cooperation Agreement 
(TDCA) which came into full force on 1 May 2004 as well as in the ACP-EC Partnership 
Agreement, to which South Africa is a Party as qualified in Protocol N°3. 
Mesures à prendre  
The co-operation programmes sha ll be tailored to each country’ s and region’s circumstances, 
shall promote local ownership and the involveme nt of non state actors  in the development 
process. 
Interventions will be made in the form of grant subsidy with  direct budget support and sector-
specific programme aid as preferred intervention tool s, or in the form of risk capital and loans 
managed by the European Investment Bank. 
The priorities will be discussed with each pa rtner government and with each partner regional 
organisation. They will be agreed upon in the form of Country Strategy Papers and Regional 
Strategy Papers that shall be coherent with the national and regional development and poverty 
reduction strategy papers and complementary to ot her donor interventions, in particular from 
Member states. These strategy papers will be  operationalised thr ough National and Regional 
Indicative five-year programmes to be signed by both parties. Those indicative programmes 
will define the focal sectors for Community interv entions in line with the Joint Declaration by 
the Council and the Commission of Novemb er 2000 on the European Community’s 
Development Policy, as well as  a number of non focal areas for co-operation, taking into 
account cross-cutting issues. They will include a set of overall and sector-specific objectively 
measurable performance indicators related to the achievement of the Millennium 
Development Goals. The financial envelopes for each indicative programme will be defined 
on the basis of both needs and performance indi cators and may be revised on the basis of 
periodic assessments of performance. 
Moyen-orient(Est du Jourdain : Irak, Pays du Golfe, Yémen, Iran) 
Populations visées  
The population of the countries belonging to the Gulf Cooperation Council, Iran, Iraq and 
Yemen is likely to benefit under this Regulation. 
Objectifs spécifiques  
The major objectives for European Community co -operation with the C ountries of East of 
Jordan are: 
– Contribute to peace and security in the region and globally, through a broadening of 
Community engagement with the region; 
– Promote the sustainable development of th e less prosperous countries of the region, 
addressing the root causes of poverty; 
– Contribute to the protection of human righ ts and to the spreading of democracy, good 
governance and the rule of law; 
 
EN 44   EN – Support reforms in the region  
– Support domestic efforts in areas such as fight  against organized crime, drugs trafficking, 
terrorism and non proliferation; 
– Further strengthen mutual trad e and investment flows with the region, and support trade 
related assistance with partic ular attention to the DDA a nd WTO implementation issues; 
– Promote regional cooperation. 
Mesures à prendre  
Measures receiving Community support shall incl ude, inter alia: support to reconstruction in 
Iraq in line with Commission's communications, s upport fight against all forms of trafficking, 
money laundering, organized crime, terrorism  and non proliferat ion; supporting the 
development of network links to the EU, particularly for oil and gaz, support the 
implementation of the EU-GCC Free trade agreem ent (to be concluded in the near term); 
support to human rights and democracy pr ogrammes; support for programmes on 
environmental protection and sustainable mana gement of natural re sources; support for 
institutional, legal and administrative refo rms; support to development of trade and 
investment; measures to improve governance a nd rule of law; support to higher education 
systems; support to policy reforms; support to  poverty alleviation programmes in Yemen. 
Amérique Latine 
Populations visées  
The entire population (500 million) in Latin America is likely to benefit under this 
Regulation. 
Objectifs spécifiques  
Community cooperation shall in particular pursue the following specific objectives: 
– Promoting sustainable development addressing in  a balanced and integrated manner social, 
economic and environmental objectives and promote harmonious and progressive 
integration and participation in the world economy; 
– Increasing social cohesion by reduci ng poverty, exclusion and inequality; 
– Promoting, democracy, rule of law and respect for human rights; 
– Favouring regional integration in Latin Ameri ca, and support the development of closer 
relations between Latin American pa rtners and the European Union; 
– Support trade related assistance with pa rticular attention to the DDA and WTO 
implementation issues; 
– Supporting rehabilitation, recons truction and aid to uprooted  people, with particular 
attention to the transition betw een emergency and development. 
 
EN 45   EN Mesures à prendre  
Measures receiving Community s upport could relate inte r alia to lo cal and rural development, 
food aid, environmental protecti on and sustainable management of natural resources, trade 
assistance with particular attention for the DDA , fiscal and social polic ies and social sectors 
such as health and education and private sector . Special attention will be paid to promoting 
the transfer of European Union e xperience in the social and fiscal  fields. Intra re gional and bi-
regional cooperation in the social  and environmental fields will  be encouraged. Assistance 
shall be provided to strengthening the institutio nal and legislative framework in particular to 
underpin democratic institutions, public admini stration, justice administration, and also to 
deal with threats to security such terrorism and organized crime. Meas ures could concern the 
management of asylum and migration flows.  Assistance shall be provided to regional 
integration processes in Latin America, incl uding, trade, institutional, customs and other 
aspects of regional integration. Closer relations  between societies from both regions will be 
promoted through decentralised programmes. 
Community cooperation shall also support sector s included in agreements with partner 
countries 
Asie 
Populations visées  
The entire populations of developing countries in Asia are likely to benefit under this 
Regulation. 
Objectifs spécifiques  
The European Commission co-operation with As ia is based on Commission Communication: 
“Europe and Asia: a strategic fram ework for enhanced partnership”36. 
This Communication defines 6 major objectives for European Community co-operation with 
Asia, namely to: 
– Contribute to peace and security in the region and globally, through a broadening of 
Community engagement with the region; 
– Further strengthen mutual trad e and investment flows with the region, and support trade 
related assistance with partic ular attention to the DDA a nd WTO implementation issues; 
– Promote the sustainable development of th e less prosperous countries of the region, 
addressing the root causes of poverty; 
– Contribute to the protection of human righ ts and to the spreading of democracy, good 
governance and the rule of law; 
– Build global partnerships and alliances with Asian countries, in appr opriate inte rnational 
fora, to help address both the challenges a nd the opportunities offered by globalisation and 
to strengthen joint efforts on global environmental and security issues; 
                                                 
36 COM(2001) 469 du 4 septembre 2001. 
 
EN 46   EN – Help strengthen mutual awareness and exchanges. 
This global, Asia-wide strategy has been comp lemented by subsequent strategies at sub-
regional and country level, notably for South East Asia37, China38 and India39. 
Supporting rehabilitation, reconstruction and aid to  uprooted people, with particular attention 
to the transition between emergency and development, constitutes another objective of assistance to Asia. 
Mesures à prendre
 
Measures receiving Community support shall incl ude, inter alia: social services (health, 
education), whenever possible through secto r-wide approaches, contributing to improving 
social cohesion; institution build ing measures notably in the ar eas of trade related technical 
assistance, with particular attention for the DDA, and the judiciary; measures in support of 
economic cooperation with an effici ent private sector able to ope rate according to the global 
trade rules and the principles of a market  economy; measures supporting environmental 
protection, sustainable management of natural resources, rural development and food security; 
measures to promote good governance, the rule  of law and respect for human rights and 
democratisation; management of asylum and mi gration flows; measures addressing security 
issues, such as the fight agains t trafficking, crime, and terrorism ; measures cont ributing to the 
development of media and communication sect ors; statistical cooperation; measures 
supporting regional integration; support to cultural cooperation a nd higher education 
exchanges; measures to improve mutual aw areness and visibility, measures aimed at 
supporting and assisting uprooted people. 
Community cooperation shall also support sector s included in agreements with partner 
countries. 
Asie Centrale 
Populations visées  
The entire population of Kazakhstan, Kyrgyzstan, Uzbekistan, Tajikistan and Turkmenistan is 
likely to benefit unde r this Regulation. 
Objectifs spécifiques  
The major objectives for European Community co-operation with the Countries of Central 
Asia are: 
– Contribute to peace and security in the region and globally, through a broadening of 
Community engagement with the region; 
                                                 
37 Communication de la Commission « Un nouveau partenariat avec l'Asie du Sud-Est » (COM(2003) 399 
du 9 juillet 2003). 
38 Document d’orientation de la Commission à transmettr e au Conseil et au Parlem ent européen « Intérêts 
communs et défis de la relation UE -Chine - vers un partenariat mature  (mise à jour des communications 
de la Commission européenne de 1998 et 2001 consacrées aux relations UE-Chine) » (COM(2003) 533 du 25 septembre 2003). 
39 Communication de la Commission « Un partenariat stratégique EU-Inde » (COM(2004) 430 du 16 juin 
2004). 
 
EN 47   EN – Promote the sustainable development of th e less prosperous countries of the region, 
addressing the root causes of poverty; 
– Contribute to the protection of human righ ts and to the spreading of democracy, good 
governance and the rule of law; 
– Promote regional cooperation in areas such as protection of the environment, management 
of natural resources; fight ag ainst organized crime, drugs trafficking and terrorism; 
– Further strengthen mutual trad e and investment flows with the region, and support trade 
related assistance with partic ular attention to the DDA a nd WTO implementation issues. 
Mesures à prendre  
Measures receiving Community support sha ll include, inter alia: support to border 
management, fight against all forms of tra fficking, money laundering and organized crime; 
supporting the development of network links to the EU, particularly for oil and gaz, and to pan-European transport corri dors; supporting programmes on environmental protection and 
sustainable management of natural resources; support fo r institutional, legal and 
administrative reforms; support to development of  trade and investment; measures to improve 
governance and rule of law; support to higher ed ucation systems; support to policy reforms in 
public finances, agriculture and social protect ion; support to poverty a lleviation programmes. 
Initiatives globales et horizont ales pour le développement et  les aspects externes des 
politiques internes 
Populations visées
 
The target populations vary ac cording to the type of thematic programme. Some foresee a 
global outreach, eg protection of the global environment, others ar e specifically targeted at the 
most vulnerable segments of populations in de veloping countries, e .g. women and children, 
the rural poor, ill people, etc. Objectives and actions related to innovative approaches and 
promotion of the non-state actor dimension are targeted at NGOs, decen tralised government 
structures in recipient countries , the private sector, trade union s, universities, foundations and 
research institutes as well as the populations, which ultimately benefit from their initiatives. 
The European Union population is a target fo r awareness-raising on development cooperation. 
Objectifs spécifiques  
Global and horizontal initiatives (so-called thematic programmes) contribute to the 
overarching objectives of poverty reduction (M illennium Development Goals), sustainable 
development and the integration of developi ng countries into the world economy. They are 
complementary to geographical programmes and pursue the following specific objectives: 
– To promote the provision of global public goo ds through global, hori zontal and targeted 
actions in support of sustainable development, which cover actions in fields such as environment, forests, knowledge and resear ch, social development and other sectors; 
– To promote multilateralism and global partnerships through the support to global 
initiatives (e.g. Hihgly Indebt ed Poor Countries initia tive, Global Fund for AIDS, 
Tuberculosis and Malaria, Education Fast Tr ack Initiative and Multil ateral Environmental 
Agreements, the negotiation of new enviro nmental agreements) and Multilateral 
 
EN 48   EN Agreements to which the Community is a Party. This will include fina ncing of activities of 
multi-regional character implemented by international organisations such as the UN and international NGOs; 
– To facilitate the mainstreaming of cross-cu tting issues such as human rights, gender 
equality, trade, the environmental dimensi on in country and regional strategies and 
programmes; 
– To support pilot and innovative approaches, th e creation and exchange of knowledge and 
best practice and lessons-shari ng between different actors, wh ere the added value of such 
initiatives is clearly demonstr ated and where it does not lead  to a proliferation of tiny 
single-issue lines; 
– To enhance participation and ownership of non-state actors by  promoting actions that are 
actor-driven or actor-oriented; 
– To initiate a process of change (e.g. awaren ess raising, institutional capacity-building) on 
sensitive issues that may not be tackled in the short-term through the geographical 
programmes because agreement cannot be reached with partner governments; 
– To provide a flexible response to crisis and pos t-crisis situations in  the transition towards 
development, including, but no t restricted to, addressing food security measures and 
responses to trade shocks, in particular when this cannot be effectively supported under 
national indicative programmes; 
– To initiate and/or maintain an anchor w ith countries where no agreed co-operation 
programme is in place (the so-c alled difficult partnerships); 
– To raise awareness on development in the EU. 
Mesures à prendre
 
Thematic strategies will be established for pe riods up to seven years. The strategic documents 
will set out the European Union’s vision and prio rities of its assistance within each priority 
theme and initiative. These multiannual programming documents will include: i) an analysis of the added value of Community aid compared with geographical instruments; ii) a situation 
analysis at international level and European Union level, including European Union commitments with regard to the specific globa l/horizontal issue, the position of the Council 
and the European Parliament; iii) the work priorities identified by the Commission, the 
operations financed previously and the lessons  learned from them, including outcomes of 
evaluations; iv) the response st rategy, including a detailed de scription of the theme, the 
geographical priorities  if a geographical breakdown is envisaged, the measures taken 
(interventions); v) the multiannual programme , including annual amounts and forecasts, an 
indication of the type of interventions and the partners involved in their implementation, the 
instruments to be used for the selection of interventions and distri bution of funds. Annual 
Work Programmes will be drawn up based on the multiannual thematic programming 
documents. 
 
EN 49   EN Démocratie et Droit de l’Homme 
As set out in the thematic strategy, measures  receiving Community s upport in pursuit of the 
present Regulation’s objectives in the field of promoting democratisation and the rule of law, 
and respect for human rights and fundamental freedoms shall include: 
– pertinent global, regional and country pr ojects and programmes of local and EU non-
governmental and civil soci ety based organisations; 
– cooperation with international organisations in the field of  democratisation and human 
rights. 
Migration management 
In complementarity with geographical programmes , a thematic strategy may be set up in the 
field of asylum and migration cove ring the following types of actions : 
– the development of third country’s legisla tion in the field of legal immigration  
– the development of legal migration;  
– the development of legislation and national prac tices as regards intern ational protection;  
– the establishment in the third countries concer ned of an effective a nd preventive policy in 
the fight against illegal migration, including th e fight against trafficking in human beings 
and smuggling of migrants, and the deve lopment of relevant  legislation;  
– the readmission, in full respect of the law, an d durable reintegration, into the th ird country 
concerned of persons who have illegally entered or remained on the territory of Member States or of persons who have unsuccessfully applied for asylum in the European Union or 
benefited from international protection there. 
Coopération avec les pays industrialisés 
Populations visées
 
Pays de l’OCDE et non membres de l’Union européenne. Objectifs spécifiques
 
Specific objectives of the programme are: 
– to promote a better understanding and a more  widespread knowledge of the European 
Union in order to reinforce the influence of the European Union in bilateral and multilateral relations with the partner countries concerned as well as increase the visibility 
of the European Union there; 
– to enhance people-to-people exchanges and pr omote sectoral dialogue s and collaborative 
projects between the European Union and the pa rtner countries to help the European Union 
and the partner countries developing  further their b ilateral relations; 
 
EN 50   EN – to promote investment and commercial relatio ns between the Europe an Union and partner 
countries. 
Mesures à prendre  
Measures receiving community supp ort shall include projects targeting inter alia universities 
and other educational institutions, foundations, thi nk tanks, research institutes, social partners, 
business and sectoral organisations and NGO’s in  the partner countries and in the EU and 
aiming notably at: 
– enhancing people-to-people and academic exch anges - in particular student and faculty 
mobility and joint curriculum development - as well as dialogues between political, 
environmental, economic and business organi sations, social part ners, NGOs and civil 
society actors of the EU and the partner countries; 
– developing joint cooperation proj ects in fields of common inte rest to the EU and partner 
countries such as the environment, energy and transport, customs, science and technology; 
– stimulating EU-related curricula r development in partner countries, research work and 
studies destined to provide input for the Eu ropean Union and the partner countries, and 
EU-focused information activit ies in the partner countries; 
– developing policy advice and public diplomacy initiatives to explain European union 
institutions, policies and posit ions and influence the way stakeholders groups and the 
general public in partner countries understand  and react to European union policies, and 
affect the policies of thei r respective governments. 
Community measures shall also include measur es aiming at enhancing the European union 
business presence on the market of partne r countries, including through export and 
commercial promotion; improving market access conditions and the regulatory framework for 
EU products and services in partner countries; facilitating bilateral in vestment flows with 
partner countries and contributing to making mo re influential the EU business presence in 
partner countries. 
5.3 Modalités de mise en œuvre 
Programmes may be implemented under direct centralised manageme nt by the Commission 
from Headquarters and/or thought the devolved Commission Delegations using both statutory 
and temporary staff. They may also be impl emented under decentralised management by the 
beneficiary country and under joint manageme nt with international organisations. The 
Regulation also leaves open th e possibility for programme implementation under indirect 
centralised management arrangements by national  public sector bodies or bodies governed by 
private law with a public service mission, or by an executive agency. 
 
EN 51   EN 6. INCIDENCE  FINANCIÈRE   
6.1 Incidence financière totale sur la partie B (pour toute la période de 
programmation) (prix courant) 
6.1.1 Intervention financière 
Crédits d'engagement en millions d'euros (à la 3e décimale)  
 
Ventilation 2007 2008 2009 2010 2011 2012 2013 Total 
Programme 
géographique Afrique 
Sub-saharienne, Caraïbes, Pacifique et 
Océan Indien 0 3.105 3.440 3.814 3.991 4.089 4.190 22.629 
Programmes 
géographiques (autres), programmes 
thématiques et 
programme pour la coopération avec les 
pays industrialisés 2.364 2.665 2.729 2.807 2.926 3.083 3.256 19.830 
TOTAL 2.364 5.770 6.169 6.621 6.917 7.172 7.446 42.459 
6.1.2 Assistance technique et administrative (ATA ), dépenses d'appui (DDA) et dépenses 
TI (crédits d’engagement) 
 
Ventilation 2007 2008 2009 2010 2011 2012 2013 Total 
Programme 
géographique Afrique 
Sub-saharienne, Caraïbes, Pacifique et 
Océan Indien – 
Dépenses de gestion 
administrative 0 129 143 159 166 170 176 943 
Programmes 
géographiques 
(autres), programmes thématiques et 
programme pour la 
coopération avec les pays industrialisés – 
Dépenses de gestion 
administrative 98 112 114 117 123 129 134 827 
TOTAL 98 241 257 276 289 299 310 1.770 
 
EN 52   EN 7. IMPACT  ON  STAFF  AND  ADMINISTRATIVE  EXPENDITURE   
7.1. Impact on human resources 
Staff to be assigned to management of the 
action using existing and/or additional 
resources Description of tasks deriving from the 
action 
Types of post 
Number of 
permanent posts Number of 
temporary posts Total 
 
Officials or 
temporary staff  
 HQ: 593 
Del: 475  1068  
Other human resources  HQ:  
END: 
AUX: INT: 
Ex BA-lines :
 
ATA: 
Delegations:  
Ex BA-lines : 
ALAT/AL: Ind. Expert:
  
21 71 
2 
107  
 
1282 120  
Total   2671  
7.2. Overall financial impact of human resources (prix 2004) 
Type of human resources Amount (€) Method of calculation *  
Officials+Temporary staff 
HQ 
Delegation 
  
64 044 000 
92 225 050  
 593 x 108 000€ 
 475 x 194.158€ 
HQ:  
END 
AUX 
INT Ex BA-lines
: 
ATA 
Delegations:  
Ex BA-lines:  
ALAT/AL 
Individ. Experts: 
  
 
 935 424 
4 029 960  126 192 
 
6 168 122  
 
98 060 180 
22 200 000  
 
 21 x 44 544€ 
 71 x 56 760€  2 x 63 096€ 
 
 107 x 57 646€  
 
 1282 x 76490€  
 120 x 185 000€ 
Total 287 788 928  
Les montants correspondent aux dépenses totales pour 12 mois. 
 
EN 53   EN 7.3 Autres dépenses de fonctionnement découlant de l’action (prix 2004) 
Ligne budgétaire  
(n° et intitulé) Montants en euros Mode de calcul 
Enveloppe globale (Titre A7)  
A0701 – Missions 
A07030 – Réunions 
A07031 – Comités obligatoires (1) 
A07032 – Comités non obligatoires (1) 
A07040 – Conférences 
A0705 – Études et consultations  Autres dépenses (indiquer lesquelles)  
4.738.800 
100.000 
750.000 0 
400.000 
200.000 0  
2.154 missions x 2.200 € par mission 
100 réunions x 1.000 € par réunion 
30 réunions x 25.000 € par réunion  
Systèmes d’informat ion (A-5001 /A-4300)  400.000  
Autres dépenses - partie A (indiquer lesquelles) 0  
Total 6.588.800 €  
Les montants correspondent aux dépenses  totales de l’action pour 12 mois. 
(1) Préciser le type de comité ainsi que le groupe auquel il appartient. 
(prix 2004) 
I. Total annuel (7.2 + 7.3) 
II. Durée de l’action III. Coût total de l’action (I x II) 294.377.728 euros 
7 années 2.060.644.096 euros 
"Les besoins en ressources humaines et administra tives seront couverts à l’intérieure de la 
dotation allouée à la DG gestionn aire dans le cadre de la pr océdure d’allocation annuelle". 
"L'allocation de postes dépendra d'une part de  l'organisation intern e de la prochaine 
Commission et d'autre part d'une éventuelle ré allocation de postes entr e services suite aux 
nouvelles perspectives financières". 
8. SUIVI  ET ÉVALUATION 
8.1 Système de suivi 
The Commission will monitor progress of its  external co-operation on all levels, input  (in 
particular financial flows (commi tments, contracts and payments), activities / outputs  (project 
and programme execution, internal monitori ng carried out on the spot by Commission 
Delegations), progress / outcome  (external Results-Ori ented Monitoring - ROM40) and impact  
(Millennium Development Goals are jointly monitored with partners). 
                                                 
40 The results-oriented monitoring system (ROM) allows a rapid appreciation of a project or programme’s 
performance, as well as of its wider implications and provides the Commission with independent advice on its project portfolio. The system was initially developed and tested in 2000/2001 before expansion 
during 2002 to all regions of the Commission’s external co-operation. Having one consistent approach 
ensures that the Commission has comparable data for all regions where it provid es external assistance. 
 
EN 54   EN All countries and regional plur iannual indicative program will in clude the specific objectives 
and expected results for each area of co-ope ration, and a limited number of key outcome 
indicators in regard to economic and poverty situation. These indicators must relate to 
developments that are measurable in the shor t/medium term. If there is a Poverty Reduction 
Strategy Paper process under way, the indicators must correspond to those developed in that 
framework. 
The programming of long-term external aid for pa rtner countries and regi ons is carried out in 
the framework of the preparation of country a nd regional strategy pape rs (up to 7-years).. 
These country strategies also include a work plan or national / regi onal indicative programme 
jointly agreed between the Community and partner country/region concerned. 
Under the principle of rolling programming, a re view process is foreseen including annual 
operational reviews, mid-term reviews, and ad -hoc reviews where necessary. These review 
mechanism provides the flexibility required to ensure that operat ions are kept constantly in 
line with changes occurring in the economic situa tion, priorities and obj ectives of the partner 
country/region. 
Reviews take a special interest on progress achie ved in terms of financial execution of aid, as 
well as in terms of results achieved and evolutio n of the context in term of poverty reduction, 
economic performance and supported sectors. U pdated intervention frameworks and indicator 
tables on focal sectors are annexed to review documents in order to  facilitate the assessment at 
the time of the review. In particular, mid-term  reviews may lead to a change of strategy, as 
well as a change in the country/region alloca tion in the light of the current needs and 
performance. 
Les documents de stratégie théma tique incluront une liste d’indi cateurs permettant de suivre, 
dans la mesure des informations disponibles, l’ évolution globale de la situation concernée par 
le thème. 
Les programmes d’actions annuels incluront une information sur le type d’indicateurs de 
performances appropriés qui devr ont être suivi dans la mise en œuvre des actions financées 
par la Commission. 
8.2 Modalités et périodicité de l’évaluation prévue 
In application of current rules and in view of  the vast scope of the activities foreseen, an 
evaluation system covering the di fferent levels of intervention and types of instruments has 
been set up. 
Notably, the financial regulation, as well as the internal contro l standards, calls for regular 
evaluation of all (sizable) activitie s. This is translated into th e evaluation of single operations 
(e.g. development projects), of programmes (e .g. country strategies) and policy sectors or 
themes (e.g. transport or gender issues). Eval uations of are also necessary and ongoing of 
wider legal obligations such as the 3 Cs (Coherence, Complementarity, Coordination). 
In practical terms, above mentioned obliga tions would amount to a yearly evaluation 
programme covering roughly the following: 30 c ountry strategy evaluations (approximately 
120 sizeable Country Strategy Papers covered over  a 4 year cycle) , 4 evaluations of regional 
 
EN 55   EN and sub regional strategies; 4 evaluations of them es and sectors and 4 joint evaluations. It is 
also estimated that about 300 pr ojects and other operations have to be evaluated each year.41 
These works will be complemented by relevant works on databases, meta-analyses, 
methodology and training. 
9. MESURES  ANTIFRAUDE 
La protection des intérêts financie rs de la Communauté et la lutt e contre les fraudes et autres 
irrégularités font partie in tégrant du présent règlement. 
Le suivi administratif des marchés et des paieme nts relève de la comp étence des délégations 
de la CE dans les pays bénéficiaires. 
Chacune des actions financées dans le cadre du présent règlement est supervisée par les 
délégations à tous les stades du cycle de projet . Cette supervision tient compte des obligations 
contractuelles ainsi que des prin cipes d'analyse coût-efficacité et  de saine gestion financière. 
Tout accord ou contrat conclu en vertu du présen t règlement prévoit expressément un suivi de 
la dépense autorisée dans le cad re des projets/programmes et de  la mise en œuvre des activités 
ainsi que le contrôle financier de la Commi ssion, notamment de l'Office européen de lutte 
antifraude (OLAF), ainsi que des audits de la Cour des comp tes, effectués sur place si 
nécessaire. Il doit autoriser la Commission à pr océder aux vérifications et inspections sur 
place visées par le règlement (Euratom, CE) no 2185/96 du 11 novembre 1996 relatif aux 
contrôles et vérifications sur place effectués pa r la Commission pour la protection des intérêts 
financiers des Communautés eu ropéennes contre les fraude s et autres irrégularités. 
La nature des dépenses (éligib ilité), le respect des budgets (dépenses effectives), la 
vérification des justificatifs et des documents  (preuves des dépenses) font l'objet d'une 
attention particulière. 
                                                 
41 Le programme d’évaluation indiqué ici couvre l’en semble des activités de coopération relevant des 
quatre instruments d’aide extérieures : « instrument de pré-adhésion », « instrument européen de 
voisinage et de partenariat », « instrument de stabilité » et « instrument de financement de la coopération au développement et de la coopéra tion économique ». Les ressources humaines et les 
ressources financières nécessaires à la réalis ation du programme d’évaluation sont estimées 
respectivement à 72 homme/an (57 AD et 15 AST) et à 24,6 millions d’€ par an.