Commission staff working document accompanying the proposal for a Regulation of the Council amending Regulation (EC) No 1934/2006 of 21 December 2006 establishing a financing instrument for cooperation with industrialised and other high-income countries and territories - Impact assessment {COM(2009)197 final} {SEC(2009)531} {SEC(2009)533}
Date: 2009-04-21
Institutions: European Commission
Subjects: EU financing, action programme, cooperation policy, industrialised country

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 22.4.2009 
SEC(2009) 532/2 

Corrigendum : annule et remplace la version du 21.4.2009; concerne uniquement la version EN 

COMMISSION STAFF WORKING DOCUMENT 

Accompanying the 
Proposal for a  
REGULATION OF THE COUNCIL  

amending Regulation (EC) No 1934/2006 of 21 December 2006 establishing a financing 
instrument for cooperation with industrialised and other high-income countries and 
territories  

IMPACT ASSESSMENT 

{COM(2009)197 final} 
{SEC(2009)531} 

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TABLE OF CONTENTS 

Context ....................................................................................................................................... 3 

1. 

1.1. 

1.2. 

1.3. 

2. 

2.1. 

2.2. 

2.3. 

2.4. 

3. 

3.1. 

3.2. 

3.3. 

3.4. 

4. 

4.1. 

4.2. 

4.3. 

4.4. 

5. 

6. 

Procedural issues and consultation of interested parties .............................................. 4 

Organisation and timing ............................................................................................... 4 

Consultation and expertise ........................................................................................... 4 

Impact Assessment Board ............................................................................................ 5 

Problem definition ........................................................................................................ 5 

The limited scope of the DCI regulation ...................................................................... 5 

The underlying drivers of the DCI problem ................................................................. 5 

The need to fill the legislative gap ............................................................................... 7 

Legal base for EU action ............................................................................................ 10 

Objectives ................................................................................................................... 10 

General policy objectives ........................................................................................... 10 

Consistency with other EU policies ........................................................................... 11 

Geographical coverage ............................................................................................... 11 

Budgetary options and their impact ........................................................................... 12 

Policy options and analysis of impacts ...................................................................... 13 

Impact option 1 : “No change”................................................................................... 13 

Impact option 2 : “Amend DCI Regulation”.............................................................. 13 

Impact option 3 : “Amend ICI Regulation” ............................................................... 14 

Impact option 4 : “Table a new instrument” .............................................................. 15 

Comparing the options ............................................................................................... 15 

Monitoring and evaluation ......................................................................................... 16 

ANNEX .................................................................................................................................... 17 

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GENERAL INFORMATION 

Lead DG: Directorate general for External Relations in association with Directorates General  

Enlargement,  Development  and  Relation  with  A.C.P.  Countries,  and  the  EuropeAid  Co-
operation Office 

Other departments involved: LS, BUDG, SG 

Agenda planning/WP reference: 2009/RELEX+/002 

CONTEXT 

A mid-term review (MTR) was included in each of the seven new external actions financial 
instruments  for  the  period  2007-2013:  DCI,  ENPI,  IPA,  IfS,  EIDHR,  INSC  and  ICI1.  The 
Commission  must  submit  a  report  evaluating  their  implementation  accompanied,  if 
appropriate, by legislative amendments. Although the regulations mention 31 December 2010, 
the Commission agreed – at the EP’s request – to present the review before the 2009 elections 
under the same legislature which co-decided the instruments.  

The  main  issue  relates  to  the  financing  of  activities  which  might  not  qualify  as  official 
development assistance (ODA) in the countries covered by the DCI Regulation n°1905/2006 
(Latin America, Asia, Central Asia, Iraq, Iran, Yemen, and South Africa). In the framework of 
the  democratic  scrutiny  on  strategy  documents  (Country  strategy  papers  and  Regional 
Strategy  Papers)  and  commitology  “droit  de  regard”,  the  Parliament  has  identified  a  few 
projects which they consider as not meeting the criteria for ODA eligibility (such as the Brazil 
Euro-Centre, the Mercosur film industry programme, the Malaysia EU visibility programme, 
and  the  “support  to  research  institutes”  in  the  regional  strategy  on  Asia).  It  considered  also 
that  the  “EU  mobility”  component  of  the  Erasmus  Mundus  External  Window  Cooperation 
(EMEWC)  was  not  fulfilling  the  criteria  for  ODA  eligibility  and  therefore  could  not  be 
financed  under  the  DCI  regulation.  As  a  result,  the  Parliament  adopted  four  resolutions 
signalling  that  the  Commission  had  exceeded  its  implementing  powers  and  calling  for  the 
withdrawal of the projects. 

In  parallel,  the  Budget  Authority  created  during  the  2007  and  2008  budget  procedures  four 
preparatory actions aimed at supporting measures which it considered could not be financed 
under the DCI: 

Business and scientific exchanges with India (19 10 01 03) 

Business and scientific exchanges with China (19 10 01 04) 

Cooperation with middle-income group countries in Asia (19 10 01 05) 

Cooperation with middle-income group countries in Latin America (19 09 02) 

According  to  the  Financial  Regulation  (Article  49.6.b),  the  legislative  procedure  further  to 
Preparatory Actions must be concluded before the end of the 3rd financial year, which is the 
case  for  the  two  Preparatory  Actions  for  business  and  scientific  exchanges  with  India  and 
China which were created in the Budget 2007. As a result, action is  required in 2009 if the 
Commission has the intention to give a legislative follow-up to the Preparatory Actions.  

1 

the  Development  Cooperation  Instrument  (DCI),  the  European  Neighbourhood  and  Partnership 
Instrument (ENPI), the Instrument for Pre-accession Assistance (IPA), the Instrument for Stability (IfS), 
the  European  Instrument  for  Democracy  and  Human  Rights  (EIDHR),  the  Instrument  for  Nuclear 
Safety Cooperation (INSC), the Instrument for Cooperation with Industrialized Countries (ICI). 

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The  MTR  should  address  this  “legislative  gap”  for  the  financing  of  such  activities  by 
proposing the necessary legislative adjustment.  

This issue relates only to the countries covered by the DCI Regulation, as other instruments 
do not have such limitation. Besides this proposal, the MTR of the financial instruments will 
also submit amendments to the Instrument for Stability (on scope adjustment as regards Small 
Arms and Light Weapons, on participation and rules of origin, and on the repartition of the 
financial  envelope)  and  an  amendment  to  the  DCI  and  EIDHR  regulations  to  align  the 
wording on “taxes, duties, and charges” with the other instruments.  

1. 

PROCEDURAL ISSUES AND CONSULTATION OF INTERESTED PARTIES 

1.1. 

Organisation and timing 

Organisation 

An  inter-services  steering  group  chaired  by  the  External  Relations  Directorate  General  has 
been  set  up  in  April  2008  to  pilot  the  mid-term  review  (MTR)  of  the  seven  financial 
instruments of the external actions concerned by the review clause. The MTR steering Group 
includes designated representatives of Directorates General External Relations, Development, 
Enlargement, EuropeAid, Legal Service, Budget and the Secretariat General. The DGs ECHO 
and TRADE were informed if the setting-up of the MTR Group on 17 April 2008. It is in the 
framework  of  the  MTR  that  the  legislative  proposal  on  non-ODA  activities  has  been 
managed.  The  steering  group  met  three  times:  (i)  20  May  2008,  when  the  main  analytical 
steps  and  the  work  to  be  carried  out  were  presented;  (ii)  20  November  2008,  for  the 
presentation  of  the  first  findings  and  the  outline  of  the  evaluation  report  (iii)  12  February 
2009,  when  the  draft  Communication  and  the  draft  evaluation  report  were  reviewed.  In 
parallel, bilateral and internal meetings took place to clarify and analyze issues in advance to 
the formal steering Group meetings. As regards the financial envelopes, the detailed situation 
of  each  instrument  over  the  three  budgets  2007-2009  and  the  financial  programming  2010-
2013  was  provided  by  RELEX  in  collaboration  with  DG  Budget  in  order  to  have  the  same 
source of objective data. 

The  timing  of  the  steering  Group  was  set  in  view  of  the  Commission’s  commitment  to 
undertake  the  MTR  of  the  financial  instruments  before  the  end  of  the  current  Parliament’s 
legislature.  

1.2. 

Consultation and expertise 

The issue  of  the  legislative follow-up of  the Preparatory Actions (PAs) for financing the so 
called “non-ODA activities” in the DCI countries was considered by the relevant operational 
services (in the framework of the implementation of the Preparatory Actions) and by the MTR 
steering group. No public consultation was deemed necessary as the proposal does not aim to 
launch new policy objectives: these objectives are already covered by the current instruments, 
but the scope of the DCI Regulation has created an eligibility issue for certain projects in the 
light of the ODA criteria enshrined in the regulation.  

The  intention  with  the  creation  of  the  Preparatory  Actions  was  clearly  to  instigate  the 
Commission  to  present  a  legislative  proposal  to  fill  the  gap.  After  the  democratic  scrutiny 
exercise  and  the  launch  of  the  Preparatory  Actions,  a  clear  need  emerged  on  the  need  to 
follow-up  in  order  to  have  an  instrument  to  cover  activities  not  focused  exclusively  on 
poverty-reduction,  in  particular  for  emerging  countries,  and  to  fund  measures  going  beyond 
ODA. Since the issue lies on the financial instruments, the consultation has taken place within 

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the Commission in the framework of the MTR and of the implementation of the Preparatory 
Actions.  

1.3. 

Impact Assessment Board  

The draft Impact Assessment was submitted to the Board on 20 February 2009 and discussed 
at the Board meeting of 04 March 2009. The Board issued its opinion on 06 March 2009. The 
Board recommended that the report should provide: 

i) more clarity as regards the criteria and comparison of legislative options.  

ii) more clarity as regards the problem definition and the strategic EU relevance, and clearly 
spelling out the limited scope of the initiative.  

iiii) the options on the different sources of financing. 

The  recommendations  of  the  Board  have  been  incorporated  into  the  present  version  of  the 
report.  

2. 

PROBLEM DEFINITION 

2.1. 

The limited scope of the DCI regulation 

The issue relates to the limited scope of the DCI regulation for the geographical programmes 
covering  our  cooperation  with  countries  in  Latin  America,  Asia,  Central  Asia,  Iraq,  Iran, 
Yemen, and South Africa. That limitation is enshrined in Article 2.4 of the DCI Regulation 
which states that measures for the geographic programmes shall be designed so as to fulfil the 
Official Development Assistance (ODA) criteria established by the Development Assistance 
Committee of the Organisation for Economic Co-operation and Development (OECD/DAC). 
This issue is known as the “non-ODA activities” under the DCI countries.  

Such legislative limitation has given rise to three problems: 

1) the lack of a legal provisions to allow the financing of measures non eligible as ODA (see 
annex for definition and sector codes). 

2) the diverging views between the Commission and the Parliament on the ex-ante eligibility 
of certain programmed actions (the ODA reporting and eligibility is done ex-post). 

3)  the  risk  of  having  to  discontinue  financing  for  the  activities  carried  out  under  the 
Preparatory Actions and for the “EU mobility” component of the Erasmus Mundus External 
Window Cooperation (EMEWC). 

2.2. 

The underlying drivers of the DCI problem 

In  2004,  the  Commission  proposed  a  major  simplification  of  the  external  action  financial 
instruments replacing by seven new instruments more than 30 different legal instruments that 
had grown up in an ad-hoc manner over time. The objective of such reform was to enhance 
policy  coherence  and  synergy,  streamline  procedures,  achieve  greater  aid  effectiveness  and 
flexibility,  and  facilitate  dialogue  with  partners  and  other  donors  and  institutions.  The 
Development  Cooperation  Instrument  (DCI)  gave  rise  to  intense  negotiations  between  the 
three  institutions.  The  Commission  had  proposed  an  ambitious  instrument  covering  both 
Development  Cooperation  and  Economic  Cooperation  and  (DCECI).  This  proposal  was  to 
cover all countries territories and regions that are not eligible for assistance under either the 
Pre-Accession  instrument  or  the  European  Neighbourhood  and  Partnership  instrument.  The 
to  support  development  cooperation,  economic  cooperation,  financial 
purpose  was 
cooperation, scientific and technical cooperation and any other form of cooperation with the 

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partner  countries  and  regions,  thereby  helping  developing  countries  achieve  the  Millennium 
Development Goals, and so reduce poverty. This cooperation was to be implemented in the 
framework of the principles and objectives of the EU’s external action and in accordance with 
Articles 179 and 181a of the Treaty establishing the European Community (like for ENPI and 
IPA).  The  Parliament  disagreed  with  that  approach.  The  final  shape  resulted  into  two 
instruments:  one  instrument  focused  on  poverty  reduction  (DCI)  under  article  179  and  one 
instrument  dedicated  to  industrialised  partners  (ICI)  under  article  181a.  However,  the  latter 
one  resulted  into  a  geographic  coverage  limited  to  industrialised  countries,  which  therefore 
did not cover the countries falling under the DCI. In complement to this rationalisation of the 
various instruments, the three institutions agreed to enter into a strategy dialogue where the 
Commission would submit for consultation to Council and Parliament draft country, regional 
and  thematic  strategy  papers.  The  Commission  undertook  also  to  take  due  account  of  the 
position  of  the  Parliament  when  implementing  the  strategies  (Declarations  n°  4  and  5  on 
“Democratic  scrutiny  and  coherence  of  external  actions”  which  accompanies  the  Inter 
Institutional Agreement on budgetary discipline and sound financial management)2.  

In  developing  its  strategy  for  the  countries  covered  by  the  DCI  Regulation  (Asia,  Central 
Asia, Iraq, Iran, Yemen, Latin America, and South Africa), the Commission has included in a 
few cases (in particular for emerging countries like Brazil, Argentina, Mexico, India, China), 
measures reflecting a broad view of development in accordance with the DAC definition of 
the development approach and in accordance with article 5 of the DCI Regulation: the areas 
of  cooperation  include  activities  in  fields  such  as  higher  education,  people-to-people  links, 
cultural,  scientific,  and  technological  cooperation,  mutual  understanding,  trade  and  regional 
cooperation,  transport  (see  in  particular  article  points  5.2.b.vi,  5.2.m,  5.2.u).  These  areas  of 
cooperation are eligible under the DCI as long as they fulfil the criteria for ODA eligibility as 
requested under article 2.4 DCI for geographic programmes.  

However the Parliament, took the view that a certain number of projects would not fulfil the 
ODA  criteria.  While  considering  the  Parliament’s  position3  as  based  on  a  too  restrictive 
interpretation "ex-ante"  of  what  is  ODA-eligible  (the  ODA  reporting  is  performed  ex-post 
based  on  the  classification  for  each  project)  and  risking  to  prevent  the  Commission  from 
financing  activities  under  the  DCI  which  can  meet  the  OECD-DAC  criteria  for  ODA,  the 
Commission responded to the EP’s concerns by amending its approach and withdrawing the 
contested activities from the indicative programmes. This was the case for Brazil (where the 
proposal for a Euro-Centre was modified); for Mercosur (where the film industry programme 
was put on hold and will be financed under the Preparatory Action); for Malaysia (where the 
Commission accepted the EP’s points on the EU visibility programme); and for the regional 

2 
3 

OJ C 139.14.6.2006, p. 1. 
Resolution  of  15  February  2007  on  the  draft  Commission  decisions  establishing  Country  Strategy 
Papers and Indicative Programmes for Malaysia, Brazil and Pakistan (OJ C 287 E, 29.11.2007, p. 507).

Resolution of 7 June 2007 on the draft Commission decision establishing Regional Strategy Papers and 
Regional  Indicative  Programmes  for  Mercosur  and  Latin  America  (OJ  C  125  E,  22.5.2008,  p.  213).

Resolution  of  21  June  2007  on  the  draft  Commission  decision  establishing  a  Regional  Strategy 
Document  2007-2013  and  a  Multiannual  Indicative  Programme  for  Asia  (OJ  C  146  E,  12.6.2008,  p. 
337). 

Resolution of 25 October 2007 on the draft Commission decision establishing a Special Measure 2007 
for Iraq (OJ C 263 E, 16.10.2008, p. 624). 

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strategy on Asia (where the component ‘support to research institutes’ was removed and will 
be funded under the Preparatory Action).  

The  dialogue  with  the  Parliament  also  gave  the  opportunity  to  exchanges  views  on  higher 
education. The objective in this sector is to build upon the success of Erasmus Mundus (EM), 
adapting it in the context of development cooperation through the EM External Cooperation 
Programme recently set up by the Commission. The actions to be covered are in particular the 
financing of fellowships for Latin American, Asian and South African students and academics 
coming  to  the  EU,  and  also  the  sending  of  EU  students  and  EU  academic  staff  (including 
researchers) to reinforce local capacity building in the sector. Following the EP’s request the 
Commission  accepted  to  exclude  from  the  DCI  the  financing  of  sending  EU  students 
acknowledging that the “EU mobility” component was indeed not fulfilling the ODA criteria 
as  required  under  Article  2.4  of  the  DCI  Regulation.  However,  since  the  success  of  the 
programme  lies  also  on  exchanges  between  universities,  it  is  necessary  to  create  the 
conditions for continued funding of the EU mobility component. The Parliament accepted to 
maintain the financing under DCI up to 2009 included, pending a legislative solution to the 
issue to be enacted in the framework of the MTR.  

Although  the  DCI  Regulation  should  remain  the  main  cooperation  framework  for  these 
countries,  in  view  of  such  limitation  the  architecture  of  the  external  actions  financial 
instruments  is  lacking  a  legal  basis  for  financing  measures  not  fulfilling  the  criteria  for 
Official Development Assistance for the years 2010-2013 in these countries. 

2.3. 

The need to fill the legislative gap 

The consequences for not filling the legislative gap are the following: 

1) The EU mobility component of the EMEWC and European Higher Education Fairs would 
not  be  financed:  without  a  legislative  solution,  an  important  part  of  the  programme  would 
have to be abandoned.  

2) The preparatory Actions launched over 2007-2009 would be discontinued:  

- In India, a European Business and Technology Center has been launched. The Centre aims 
to  target  European  industry,  science  and  technology  communities  keen  on  establishing 
business  and  Science  and  Technology  cooperation  with  India.  This  includes  private  sector 
associations,  industry  associations,  private  and  public  sector  companies,  public  institutions, 
public  bodies,  European  agencies,  research  organisations,  think  tanks,  NGOs,  financial 
institutions  (notably  the  EIB),  National  Chambers  of  Commerce  of  MS  in  India,  European 
Business Associations, and Member States.  

- In China, the preparatory Action is financing a Science and Technology Fellowship targeted 
at  potential  out-going  EU  researchers  with  the  objective  of  facilitating  their  participation  in 
Chinese research programmes. China is becoming a Research and Development world power 
and  the  EU  has  a  strong  interest  in  taking  an  active  part  in  and  benefiting  from  its  R&D 
programmes, and understanding on how Chinese research systems function. It also intends to 
fund  a  EU  Centre  for  support  to  European  Small  &  Medium  Sized  Enterprises  (SMEs) 
wishing to establish and develop a commercial presence in the Chinese market (the concept of 
such  centre  was  brought  to  the  forefront  in  the  public  consultation  that  preceded  the 
Commission  Communication  on  relations  with  China  in  2006).  For  2009,  it  is  foreseen  to 
launch  the  China  Research  and  Policy  Advice  Network  to  provide  to the  European  Union’s 
policymaking  institutions  timely  information  and  analysis  on  China’s  policies  as  well  as 
prompt  development  of  options  for  the  EU’s  policy  towards  China.  China’s  domestic 
structures  and  evolving  political  and  administrative  institutions,  its  actors  and  policies  (in 

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sectors ranging from the economy and the energy sector to the environment), its legal system, 
civil  society  and  NGOs,  its  increasingly  proactive  foreign  policy  and  security  diplomacy  – 
these  are  all  topics  on  which  the  EU  needs  constant  updating  and  feedback.  EU-China 
bilateral relations also need to be informed by reports and analysis on China’s current goals 
and  interests,  and  by  the  policy  debates  which  publicly  surface  in  Chinese  think-tanks  and 
expert community.  

-  The  Preparatory  Action  on  middle  income  countries  (MICs)  in  Asia  will  support 
strengthening debates between experts, academics and policymakers on developments in Asia 
and  EU-Asia  relations,  and  will  provide  recommendations  for  policymakers  and  a  platform 
for exchange of knowledge and information. It is also intended to finance projects aiming to 
promote  a  better  understanding  of  EU  policies,  institutions  and  Community  through  an 
enhanced network of EU Centres. In Malaysia, a project is foreseen for Economic Partnership 
and Business Cooperation to facilitate SME's market access to Malaysia.  

- The Preparatory Action on middle income countries (MICs) in Latin America is supporting 
the  Mercosur  audiovisual  programme  to  strengthen  regulatory  and  policy  framework  for 
audiovisual industry. For 2009, the intention is to promote the European digital TV standard 
in Latin America.  

In  order  to  ensure  the  sustainability  of  these  current  actions  it  is  necessary  to  continue  the 
financial  support,  and  hence  to  provide  for  an  appropriate  legal  base.  The  intention  is  to 
extend this cooperation to foster EU interests with other MICs in Asia and in Latin America.  

3) Beyond the issue on the interpretation of the ODA eligibility of certain projects, there is a 
need to have an instrument which can cover EU strategic goals in relation with some of these 
countries. The Commission has encountered problems to find a suitable legal base for certain 
projects such as public diplomacy in Iraq and Iran and EU visibility projects in Asia and Latin 
America. As regards Central Asia, some projects envisaged in the framework of the Strategy 
for a New Partnership endorsed by the Council on 31 May 2007, some projects such as the 
technical assistance and pilot projects in energy-related areas for EU-interests are assessed as 
non-ODA  eligible.  These  foreseen  projects  concern  mainly  Kazakhstan,  Turkmenistan,  and 
Uzbekistan. 

As far as South Africa is concerned, emerging cooperation in a broad range of areas is likely 
to result in projects that may not meet the ODA criteria. 

The budget per region and component for the years 2010-2013 has been assessed at EUR 176 
million as followed: 

EUR millions 

2010 

2011 

2012 

2013 

TOTAL 

Asia 

16.5 

19.5 

20.5 

21.0 

EU mobility EMEWC 

3.0 

5.0 

5.0 

5.5 

Preparatory Actions 

12.0 

13.0 

14.0 

14.0 

Other actions 

1.5 

1.5 

1.5 

1.5 

77.5 

18.5 

53.0 

6.0 

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Latin America 

11.5 

16.0 

16.0 

16.0 

EU mobility EMEWC 

Preparatory Actions 

Other actions 

Central Asia 

EU mobility EMEWC 

Preparatory Actions 

Other actions 

Iraq,Iran,Yemen 

EU mobility EMEWC 

Preparatory Actions 

Other actions 

South Africa 

EU mobility EMEWC 

Preparatory Actions 

Other actions 

0.5 

3.0 

8.0 

4.0 

1.0 

- 

3.0 

2.5 

0.5 

- 

2.0 

- 

- 

- 

- 

5.0 

4.0 

7.0 

6.0 

2.0 

- 

4.0 

2.5 

0.5 

- 

2.0 

1.0 

1.0 

- 

- 

5.0 

4.0 

7.0 

6.0 

2.0 

- 

4.0 

2.5 

0.5 

- 

2.0 

3.0 

2.0 

- 

1.0 

5.0 

4.0 

7.0 

6.0 

2.0 

- 

4.0 

2.5 

0.5 

- 

2.0 

3.0 

2.0 

- 

1.0 

59.5 

15.5 

15.0 

29.0 

22.0 

7.0 

- 

15.0 

10.0 

2.0 

- 

8.0 

7.0 

5.0 

- 

2.0 

Total Envelope 

34.5 

45.0 

48.0 

48.5 

176.0 

This legislative coverage will allow also preparing the future EU cooperation in the context of 
emerging  countries  and  the  challenges  stemming  from  the  globalization.  That  future 
cooperation will have to incorporate the changing patterns of EU relations with key countries 
building  on  the  development  of  long-term  partnership  based  on  common  interests  and 
reciprocity.  In  the  coming  years,  issues  of  a  global  nature  will  develop  and  will  need  to  be 
tackled not only at multilateral levels but also in the  framework of the  bilateral cooperation 
with  our  partner  countries.  It  is  therefore  essential  to  have  a  tool  able  to  support  policy 
strategies going beyond poverty eradication.  

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2.4. 

Legal base for EU action 

The  intended  cooperation  is  based  on  article  181a  of  the  Treaty  establishing  the  European 
Community. These measures shall be complementary to those carried out by Member States 
and consistent with the development policy of the Community. As regards the value-added of 
the  EU  intervention,  it  is  not  questioned  by  the  issue  of  “dacability”  (i.e.  ODA  eligibility) 
under the DCI instrument as these activities are already foreseen in the current instrument (see 
in particular Article 5 of the DCI regulation). The areas of cooperation of the ICI regulation 
(based on article 181a), for which it is proposed to extend the geographical scope, is already 
in  force  since  2007.  The  ICI  regulation  replaces  and  builds  on  the  previous  regulation 
382/2001 concerning the implementation of projects promoting cooperation and commercial 
relations between the European Union and the industrialised countries of North America, the 
Far East and Australasia. 

3. 

OBJECTIVES 

3.1. 

General policy objectives  

The  general  policy  objective  is  to  dispose  of  an  appropriate  set  of  tools  to  achieve  the 
Commission strategic goals in relation with non-EU States over the rest of the period 2010-
2013. That set is incomplete as regards the countries falling under the DCI Regulation. The 
previous  ALA  Regulation4  which  covered  these  countries  did  not  have  a  restriction 
comparable to that in Article 2(4) of the DCI Regulation. Although the main objective of our 
cooperation  with  these  countries  is  the  eradication  of  poverty  in  the  context  of  sustainable 
development,  including  the  pursuit  of  the  MDGs,  it  is  clearly  necessary,  as  demonstrated 
trough  the  Preparatory  Actions,  to  dispose  of  an  instrument  allowing  for  a  cooperation 
underpinning partnerships going beyond the scope limitation of the development cooperation. 
This is particularly necessary with major emerging countries and increasingly global players 
such as China, India, or Brazil, with very significant domestic resources, advanced industrial 
sectors, high technological capability and expenditure, and global projection.  

The general policy objective should be similar to the one provided under the ICI regulation as 
enshrined in its article 1: “to provide a specific response to the need to strengthen links and to 
engage  further  with  them  on  a  bilateral,  regional  or  multilateral  basis  in  order  to  create  a 
more  favourable  environment  for  the  development  of  the  relations  of  the  Community  with 
these  countries  and  territories  and  to  promote  dialogue  while  fostering  Community's 
interests.” 

As regards the specific objectives, the legislative proposal should focus on financing activities 
in  DCI  countries  which  do  not  fulfil  the  ODA  criteria.  The  proposed  Regulation  will  fund 
programmes and projects which meet the following main operational objectives:  

  Promotion of economic partnership and business  

  People to people links/education cooperation 

  Public diplomacy and outreach 

  Dialogues 

4 

Council Regulation (EEC) No 443/92 of 25 February 1992 on financial and technical assistance to, and 
economic cooperation with, the developing countries in Asia and Latin America (OJ L 52, 27.12.1992, 
p. 1.  

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  Other cooperation projects which do not fulfil the ODA criteria. 

These  objectives  will  allow  for  ensuring  continued  financing  for  the  on-going  non-ODA 
activities and will provide a sound legal basis for some future activities non eligible under the 
current DCI Regulation as detailed under point 2.3.  

The  present  initiative  aims  to  fill  a  legislative  gap  within  the  existing  architecture  and 
budgetary  constraints  2007-2013.  It  has  therefore  a  limited  scope  in  terms  of  its  policy 
content, budgetary implications, and time frame. It does not prejudge any future decisions on 
external cooperation financial instruments under the next financial framework.  

3.2. 

Consistency with other EU policies 

The  measures  shall  be  complementary  to  those  carried  out  by  the  Member  States  and 
consistent with the development policy of the Community. The cooperation should be aimed 
at  engaging  with  partners  which  are  important  bilateral  partners  and  players  in  multilateral 
fora  and  in  global  governance  and  with  which  the  Community  has  a  strategic  interest  in 
promoting links.  

Having  two  legal  bases  with  the  same  geographical  coverage  and  with  a  potentially 
overlapping  scope  should  be  an  area  of  prime  attention.  The  overlap  between  the  areas  of 
cooperation to be included under any new legislation and the current scope of Article 5 DCI 
requires strong coordination as regards the programming for the countries/regions concerned. 
However,  this  is  not  the  first  case  where  several  instruments  have  the  same  geographical 
coverage  (e.g.  humanitarian  aid,  Instrument  for  Stability).  Furthermore,  in  this  case,  the 
programming  and  implementation  for  both  instruments  will  be  performed  by  the  same 
services. Indeed, the new legislation is required not because of a new policy development to 
be managed by a different service but because of legal obstacles on the financing itself under 
the  DCI.  The  financing  under  one  instrument  or  the  other  will  depend  mainly  on  the  ODA 
eligibility as the areas and operational objectives of cooperation could be very similar, but the 
strategy  and  the  cooperation  needs  developed  in  partnership  with  the  country  will  remain 
unique. This cooperation shall be programmed in full coherence with the Strategy developed 
under  the  DCI  for  the  country/region  concerned.  It  shall  be  complementary  and  shall  be 
unambiguously non eligible under the DCI Regulation which shall remain the first and main 
framework  for  cooperation.  As  a  result,  the strategy  and  multi-annual  programming  of  both 
instruments should remain under the same management arrangements within the Commission 
(RELEX/DEV  for  the  programming  of  their  respective  countries  and  AIDCO  for 
implementation).  

3.3. 

Geographical coverage 

The  legislative  gap  has  been  identified  for  the  DCI  countries  (Asia,  Central  Asia,  Latin 
America, Iraq/Iran/Yemen, South Africa). It is not recommended to limit the new legislation 
to  a  certain  category  of  the  DCI  countries  such  as  middle-income  countries  (MICs):  for 
example  India  is  not  classified  as  a  MIC  (but  as  a  Low  Income  Country)  whereas  the 
preparatory action “Business and scientific exchanges with India” is explicitly aiming to this 
country.  Selecting  the  beneficiary  countries  among  the  DCI  countries  would  result  into  a 
subjective analysis mixing economic criteria with political criteria. Furthermore, two thirds of 
the DCI countries are MICs. Such limitation would create unnecessary difficulties. 

As  regards  the  possibility  to  extend  the  scope  beyond  the  DCI  countries,  it  is  not  deemed 
appropriate  because  the  issue  of  the  non-ODA  eligibility  appears  only  in  the  DCI  financial 
instrument and its geographical context. The IPA and ENPI regulations do not have a limited 
scope in that aspect, and ACP countries are covered comprehensively under the EDF. 

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3.4. 

Budgetary options and their impact 

The financial envelope required is assessed at €176 million as detailed under point 2.2. It is 
based  on  the  Annual  Policy  Strategy  for  2010  decided  by  the  Commission  on  18  February 
2009, which includes the financial programming for the 4 years 2010-2013.  

The financing should respect the Financial Framework under Heading 4 “The EU as a global 
player”,  as  agreed  between  the  EU  institutions.  This  leads  to  the  following  options  for  the 
source of funding: 

1. 

2. 

3. 

to  be  financed  100%  from  the  margin  under  Heading  4  which  is  not  yet 
allocated to any instrument. 

to be financed 100% by redeploying funds from the DCI; 

to be financed by a mixture of both the previous sources.  

The impact of the different options  

Option 1: 100% from the margin: 

It  could  be  argued  that,  these  non-ODA  activities  should  be  financed  by  additional  funds 
taken  from  the  margin  of  Heading  4,  that  is  outside  the  financial  envelopes  of  the  existing 
instruments.  

However, the situation of Heading 4 is very tight. After the Commission proposals contained 
in the APS 2010, there is less than € 200 million per year which remains unallocated for the 
period  2010-2013.  The  institutions  have  agreed  that  a  minimum  margin  should  be  kept  to 
allow  for  unforeseen  events.  Taking  the  full  amount  from  this  margin  would  represent  a 
substantial reduction in the EU’s capacity to respond to unforeseen events, which might not 
be considered opportune by the budgetary authority. 

Option 2: 100% redeployment from DCI funds: 

The DCI contains an overall reference amount which the EU institutions consider necessary to 
finance DCI activities over the period 2007-2013 of EUR 16 897 million. It would be possible 
to  achieve  this  level  of  spending  and  at  the  same  time  to  finance  all  of  the  €176  million 
required  for  non-ODA  activities  by  redeploying  geographic  DCI  funds.  This  is  because, 
compared to the initial programming for these years, the DCI has already benefitted from an 
increase in its overall envelope of €239 million. Consequently, a €176 million redeployment 
could be absorbed without any risk of not meeting the spending level envisaged in the DCI 
Regulation.  

Option 3: funding from the margin and from DCI: 

The  four  Preparatory  Actions  over  2007-2009  have  been  financed  from  the  margin  under 
Heading  4  at  the  initiative  of  the  budget  authority.  If  these  initiatives  are  to  be  given  a 
legislative follow-up, their continued financing from the margin could be justified. This could 
account for 40% of the envelope needed to cover non-ODA activities. The other 60% would 
in fact correspond to the amounts identified above which are needed to cover mobility for EU 
students  under  Erasmus  Mundus  and  activities  foreseen  under  the  DCI  envelope  but  not 
eligible  because  of  its  limited  scope.  Such  a  solution  could  also  be  accommodated  without 
reducing  the  overall  level  of  spending  for  DCI  (in  fact  its  impact  on  the  DCI  allocations 
would be less than option 2). Sharing the funding of non-ODA activities in this way between 
the  margin  and  the  DCI  could  be  considered  a  balanced  solution  while  respecting  the 
budgetary constraints of Heading 4. 

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4. 

POLICY OPTIONS AND ANALYSIS OF IMPACTS 

Article  49  of  the  Financial  Regulation  requires  that  a  basic  act  shall  be  first  adopted  for 
spending  programmes.  As  a  result  a  non-regulatory  option  is  not  possible  since  a  financial 
instrument is necessary. The options for tackling the problem are the following: 

1.  No EU action 

2.  Amend DCI Regulation 

3.  Amend ICI Regulation  

4. 

Table a new instrument 

The options are assessed against the following three criteria:  

Coherence  means  here  the  possibilities  to  create  synergies  in  terms  of  programming  and 
delivery  towards  achieving  the  agreed  objectives  and  to  avoid  negative  consequences  and 
spillovers  which  would  adversely  affect  the  implementation  of  the  policies.  This  is 
particularly significant when two different instruments have the same geographical coverage. 

Effectiveness  means  doing  the  right  things,  that  is  setting  the  right  goals  and  objectives  and 
then making sure they're accomplished.  

Efficiency  means  doing  things  right,  that  is  getting  the  most  from  your  resources:  that 
encompasses  here  organizational  aspects  and  the  gains  from  the  simplification  of  the 
instruments.  

4.1. 

Impact option 1 : “No change” 

Under  this  option,  the  DCI  Regulation  would  remain  the  only  financial  instrument  to  cover 
our  cooperation  with  countries  representing  an  enormous  weight  in  terms  of  economic, 
demographic,  and  politics.  Whereas  the  DCI  brings  for  the  first  time  under  a  unique 
Regulation  the  geographic  development  cooperation  with  the  countries  concerned,  an 
instrument to fill the legislative gap in dealing with certain countries is necessary.  

The financing of the EU mobility component of the EMEWC would have to be abandoned as 
from  2010,  with  a  general  impact  on  the  programme  itself  which  is  based  on  exchange 
between EU and foreign partner universities.  

The budget authority  has  initiated a  set of preparatory  actions to  remedy  to  this “legislative 
gap”  which  started  in  2007  (India  and  China)  and  2008  (MICs  Asia  and  MICs  Latin 
America). Since the legislative follow-up has to be concluded by the end of the third year – 
that  is  2009  for  the  first  2  Preparatory  Actions  –  doing  nothing  would  mean  that  the 
Commission does not intend to give a legislative follow-up. This is not the consensus reached 
on the need to fill the legislative gap. The “no change” option would also mean ignoring the 
evolution  of  the  international  relations  with  emerging  key  players  in  the  world.  It  would 
deprive  the  Community  of  an  instrument  for  financing  measures  non-ODA  eligible  in  key 
geographical  regions.  The  Budget  Authority  cannot  continue  funding  Preparatory  Actions 
after the 3rd year. 

4.2. 

Impact option 2 : “Amend DCI Regulation” 

This option would consist of amending the DCI Regulation to extend its scope by adding a 
new  strand  for  non-ODA  activities.  This  would  imply  inserting  an  additional  (ring-fenced) 
amount to separate the “ODA” funds from the “non-ODA” ones. It would not be necessary to 
add  a  second  legal  base  (i.e.  article  181a  -  Economic,  Financial  and  Technical  cooperation 
with third countries) to the Regulation as the center of gravity of the regulation would still be 

EN 

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“Development  cooperation”  even  with  an  additional  strand.  As  a  result,  Article  179  could 
remain the only legal base. The co-decision procedure would continue to apply.  

The advantages of such option are mainly in terms of coherence and efficiency: 

-  Programming  and  geographical  coverage  maintained  under  a  unique  instrument  (CSP, 
AAPs) with coherence ensured in terms of management by both RELEX and AIDCO. 

-  Continuity  and  coherence  in  Council  (DCI)  and  Parliament  (Development  committee)  for 
the same geographical region under the same instrument. 

-  No  “overlapping”  with  another  instrument  in  areas  which  are  already  covered  by  current 
DCI  such  as  people-to-people  links,  education,  cultural/scientific/technological  cooperation, 
trade, promotion of dialogues between political and civil society actors.  

- Respect the institutions’ shared objective to bring more coherence and consistency through a 
major  simplification  of  the  instruments.  This  approach  was  a  pillar  of  the  financial 
instruments reform. 

The disadvantages of such option are mainly in terms of effectiveness: 

- Bring under the same Regulation different objectives: eradication of poverty and fostering of 
Community’s  interests.  The  Commission  originally  proposed  a  single  instrument  in  2004  to 
cover both the economic cooperation and the development cooperation, and this option would 
correspond  to  a  partly  re-tabling  of  the  2004  proposal  (as  developed  under  point  2.2).  This 
was not accepted by the legislative authority.  

-  Development  assistance  and  other  forms  of  financial  action  mixed-up  in  the  same 
instrument.  

- Not recommended by the Development Committee as a suitable option.  

-  Need  to  amend  the  DCI  reference  amount  to  take  into  consideration  the  additional  strand. 
This would risk re-opening difficult negotiations.  

4.3. 

Impact option 3 : “Amend ICI Regulation” 

Under this option, the ICI Regulation would be amended to extend the current Regulation by 
adding  a  new  strand  for  DCI  countries.  This  implies  inserting  an  additional  (ring-fenced) 
amount. According to informal consultation with the legal service, it would not be necessary 
to add a second legal base (i.e. article 179) to the Regulation as the center of gravity of the 
Regulation  would  still  be  “Economic  cooperation”  even  with  an  additional  strand  covering 
developing countries. As a result, Article 181a would remain the only Treaty legal base and 
the Consultation procedure would remain in force.  

The  advantages  of  such  option  are  mainly  in  terms  of  effectiveness,  with  coherence  and 
efficiency relatively advantageous: 

- Some ICI’s areas of cooperation (article 4) cover the non-ODA purposes required. 

- Clear distinction between Economic cooperation objective and Development cooperation.  

-  Respect  the  Commission’s  approach  to  bring  more  coherence  and  consistency  through  a 
major simplification of the instruments.  

- Recommended by the Development Committee as the best suitable option.  

However, there are some disadvantages also in terms of coherence and efficiency: 

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- Risk of overlapping with the DCI regulation for “grey areas” of cooperation eligible under 
the DCI such as “mutual understanding, mutual benefit, people-to-people links, education and 
training programmes, cultural/scientific/technological cooperation, transport, trade, promotion 
of dialogues between political and civil society actors”.  

- Different committees in Council (ICI) and Parliament follow-up for the same geographical 
region under different instruments.  

4.4. 

Impact option 4 : “Table a new instrument” 

Under that option, the Commission would propose a new instrument based on article 181a of 
the  EC  Treaty.  According  to  informal  consultation  with  the  legal  service,  it  would  not  be 
necessary to add a second legal base (i.e. article 179) to the Regulation as the center of gravity 
of the regulation would be “Economic cooperation” even if the cooperation covers developing 
countries. The Consultation procedure would be therefore the applicable procedure.  

The advantages of such option are in terms of effectiveness: 

-  Design  of  the  scope  of  the  instrument  independently  of  the  ICI  scope:  this  could  help  to 
reduce the “overlapping risk” between the DCI and the new instrument as identified for “grey 
areas” of cooperation eligible under the DCI such as “mutual understanding, mutual benefit, 
people-to-people  links,  education  and  training  programmes,  cultural/scientific/technological 
cooperation,  transport,  trade,  promotion  of  dialogues  between  political  and  civil  society 
actors”.  

The disadvantages of such option are in terms of coherence and efficiency: 

-  Undermine  Commission’s  approach  to  bring  more  coherence  and  consistency  through  a 
major simplification of the instruments (replacing more than 30 different legal instruments). 

- Risk of overlapping with the DCI Regulation in the “grey areas” of cooperation cannot be 
entirely avoided since that risk relates mainly to an ex-ante interpretation of the ODA eligible 
measures. 

-  Will  create  complexities  and  additional  administrative  burden  in  adjusting  implementation 
and management framework (programming, committee, reporting…).  

- Not proposed/recommended by AFET Committee.  

5. 

COMPARING THE OPTIONS 

Option 1 is not considered a valid option to pursue in view of the need to fill the legislative 
gap. Challenges linked to the globalization require an instrument covering the most dynamic 
part of the world.  

Option 2 would be the most coherent option in terms of programming and delivery. However, 
it  would  bring  under  the  same  Regulation  different  objectives:  ODA  and  non-ODA 
cooperation. In view of the pursuit of the MDGs and the EU’s commitment to dedicate up to 
0.7%  of  its  PNB  to  Development  Aid,  it  is  politically  important  to  have  a  clear  separation 
between the two forms of cooperation. The political message in terms of financial envelope is 
also clearer. In terms of efficiency, such proposal under the co-decision procedure would not 
be acceptable by Parliament. That attempt was already proposed in 2004 and was rejected. It 
can be anticipated that the same would happen with this option.  

Option 3 appears as the most attractive option, not least because it supports already the areas 
of  cooperation  that  are  required.  In  terms  of  efficiency,  it  would  make  use  of  existing 

EN 

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structures  (commitology)  and  programming  framework.  A  duplication  of  that  Regulation  to 
cover  the  DCI  countries  (option  4)  would  be  against  the  simplification  of  the  instruments 
which  have  been  welcomed  by  Member  States,  Parliament  and  more  generally  by 
stakeholders. The risk of the “management split” for the same region is considered as “low” 
since  the  programming  and  implementation  would  remain  under  the  same  Commission’s 
management  structure  than  the  DCI  (the  same  services  in  RELEX,  DEV  and  AIDCO  will 
programme  and  implement  both  DCI  and  ICI  as the organization, is based on, geographical 
coverage  and  not  based  on  instruments).  The  programming  documents  will  cover  both 
instruments.  

Option 4 – new instrument – does not bring any advantage compared to the other 2 legislative 
options. On the contrary, it would add an instrument pursuing the same areas of cooperation 
than the current ICI, and this option would complicate the programming framework. It is not 
deemed  to  be  a  coherent,  efficient,  and  very  effective  option  because  of  the  additional 
structures it would create without any advantages compared to the options 2 and 3. 

Option 1 

Option 2 

Option 3 

Option 4 

0 

0 

0 

++ 

- 

++ 

+ 

++ 

+ 

0 

+ 

- 

Coherence 

Effectiveness 

Efficiency 

Conclusion 

From the analysis above, and taking into account that effectiveness is a necessary condition 
which therefore prevails over the other criteria, it appears that option 3 is the most appropriate 
option to tackle the legislative gap. The provisions and Treaty legal base of the ICI regulation 
are deemed appropriate to cover the intended activities. It is therefore recommended to amend 
the ICI Regulation in order to extend its geographical scope of the DCI countries. 

6. 

MONITORING AND EVALUATION 

Further  to  the  Preparatory  Actions  which  have  been  launched  since  2007  and  2008,  the 
Commission will proceed in the course of 2009 and 2010 to the evaluation of these actions. 
These evaluations will be used for the programming 2010-2013 of the new ICI strand for non-
ODA activities in DCI countries. Annual reporting is foreseen in the regulation where main 
outcomes  and  impacts  of  the  cooperation  actions  and  programmes  shall  be  set  out. 
Furthermore, regular monitoring and evaluations of the projects will be performed to ensure 
that the projects are fulfilling the pursued objectives. 

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ANNEX  

Organisation for Economic Co-operation and Development 

DIRECTION DE LA COOPERATION POUR LE DEVELOPPEMENT 

COMITE D'AIDE AU DEVELOPPEMENT 

1) 

Abstract  from  the  DCD/DAC(2007)34  -  06-Apr-2007  -  DIRECTIVES  POUR 
L'ETABLISSEMENT DES RAPPORTS STATISTIQUES AU CAD 

Aide publique au développement (APD) 

35. On entend par “aide publique au développement” tous les apports de ressources qui sont 
fournis  aux  pays  et  territoires  sur  la  Liste  des  bénéficiaires  d’APD,  ou  à  des  institutions 
multilatérales, et qui répondent aux critères suivants : 

i. 

ii. 

Émaner  d'organismes  publics,  y  compris  les  états  et  les  collectivités  locales,  ou 
d'organismes agissant pour le compte d'organismes publics. 

Sachant que chaque opération doit en outre 

a)  Avoir  pour  but  essentiel  de  favoriser  le  développement  économique  et 

l'amélioration du niveau de vie des pays en développement. 

b) 

Être  assortie  de  conditions  favorables  et  comporter  un  élément  de 
libéralité  au  moins  égal  à  25  pour  cent9  (sur  la  base  d'un  taux 
d'actualisation de 10 pour cent). 

Le tableau suivant définit le contenu des principales rubriques 

Code 
ligne 

100 

INTITULÉ 

INFRASTRUCTURE ET 
SERVICES SOCIAUX 

110 

ÉDUCATION 

Contenu 

Cette  grande  catégorie  rend  essentiellement  compte  des  efforts  faits  pour 
mettre  en  valeur 
le  potentiel  de  ressources  humaines  des  pays  en 
développement. 

Couvre  l'enseignement  général  de  tous  niveaux  ainsi  que  les  activités  de 
construction 
l'adaptation 
d'établissements  d'enseignement.  La  formation  portant  sur  un  domaine 
particulier, comme l'agriculture, sera classée en regard du secteur intéressé. 

spécifiquement 

l'amélioration 

visant 

ou 

111 

ÉDUCATION, NIVEAU NON 
SPÉCIFIÉ 

Englobe  la  formulation  de  la  politique  à  l'égard  du  secteur  éducatif  et  les 
activités de recherche sur l'éducation, de même que la construction de locaux et 
la  formation  des  enseignants  destinés  à  un  niveau  d'éducation  non  spécifié  ou 
non connu. 

112 

ÉDUCATION DE BASE 

Enseignement,  aux  jeunes  et  aux  adultes,  des  compétences  essentielles  et 
instruction primaire. 

ÉDUCATION SECONDAIRE 

Englobe la formation professionnelle. 

ÉDUCATION POST-SECONDAIRE  Enseignement supérieur et hautes études techniques et commerciales. 

113 

114 

120 

SANTÉ 

121 

SANTÉ, GÉNÉRAL 

Couvre l'aide fournie pour les hôpitaux, dispensaires, autres services médicaux 
et dentaires, l'administration de la santé publique et les programmes d'assurance-
maladie. 

Inclut la formulation de la politique de santé, l'enseignement médical, formation 
et la recherche, les laboratoires, les hôpitaux et les cliniques spécialisées, les 
services  d'ambulance,  les  soins  dentaires,  la  santé  mentale,  la  rééducation, 
ainsi  que  la  lutte  contre  les  maladies  non  infectieuses,  la  drogue  et  l'abus  de 

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122 

SANTÉ DE BASE 

substances dangereuses (à l'exclusion des activités de lutte contre le trafic 
des stupéfiants). 

Soins  de  santé  de  base,  formation  du  personnel  et  amélioration  des 
infrastructures  destinés  aux  soins  de  santé  de  base,  nutrition,  lutte  contre  les 
maladies infectieuses et campagnes de santé publique. 

POLITIQUE EN MATIÈRE DE 
POPULATION/ SANTÉ ET 
FERTILITE 

Ce poste couvre toutes les activités dans les domaines de la santé génésique, 
du planning familial et de la recherche sur les problèmes démographiques, lutte 
contre les MST et VIH/sida. 

DISTRIBUTION D'EAU ET 
ASSAINISSEMENT 

Regroupe toute l'aide fournie pour la distribution d'eau et son utilisation, 
l'assainissement,  et  la  mise  en  valeur  des  ressources  en  eau  (y  compris  les 
rivières). 

130 

140 

150 

151 

GOUVERNEMENT ET SOCIETE 
CIVILE 

GOUVERNEMENT ET SOCIETE 
CIVILE, GENERAL 

152 

PREVENTION ET REGLEMENTS 
DES CONFLITS, PAIX ET 
SECURITE 

Comprend les mesures pour renforcer l’appareil administratif et le gouvernement. 

Ce  poste  couvre  la  planification  économique  et  du  développement  du 
gouvernement, la planification de même que les activités destinées à promouvoir 
la bonne gestion des affaires publiques et le renforcement de la société civile, la 
gestion financière du secteur public, le développement des services légaux et 
judiciaires,  l’administration  gouvernementale,  les  élections,  les  droits  de  la 
personne, la liberté de l’information, et les organisations et institutions pour 
l’égalité de la femme. 

Comprend  la  gestion  et  réforme  des  systèmes  de  sécurité  sous  formes  de 
coopération technique,  les  dispositifs  civils  de  construction  de  la  paix,  et  de 
prévention  et  de  règlement  des  conflits,  le  maintien  de  la  paix  à  l’issue  d’un 
conflit  (NU),  la  réintégration  et  contrôle  des  armes  légères  et  de  petit  calibre, 
l’enlèvement des mines terrestres à des fins de développement, la prévention 
et appui à la démobilisation des enfants soldats, la gestion des dépenses liées 
à la sécurité et le renforcement du rôle de la société civile dans les systèmes de 
sécurité.  L’aide  destinée  à  favoriser  la  réinsertion  dans  la  vie  économique  du 
personnel militaire démobilisé et la reconversion des installations de production 
de matériel militaire vers des activités civiles. 

160 

200 

210 

INFRASTRUCTURE ET 
SERVICES SOCIAUX DIVERS 

Cette  rubrique  englobe  les  activités  en  faveur  de  l’emploi,  du  logement,  des 
autres services sociaux et du développement culturel, la lutte contre le trafic de 
drogues5, l’atténuation de l’impact social du VIH/sida. 

INFRASTRUCTURE ET 
SERVICES ÉCONOMIQUES 

Cette  grande  catégorie  regroupe  les  aides  en  faveur  des  réseaux  et  des 
services, publics et autres, qui facilitent l’activité économique. 

TRANSPORTS ET 
ENTREPOSAGE 

Couvre les activités relatives aux transports par route, par rail, par eau et par air 
et à l’entreposage, que ces dernières soient ou non liées au transport. 

220 

COMMUNICATIONS 

Incluent  tous  les  systèmes  de  communication  (postes  et  télécommunications, 
radio, télévision, presse écrite), TIC. 

230 

PRODUCTION ET DISTRIBUTION 
D’ÉNERGIE 

favoriser  une  utilisation  pacifique  de 

Cette rubrique recouvre à la fois la production et la distribution d'énergie. L’aide 
l’énergie  nucléaire  est 
visant  à 
comptabilisable dans l’APD. À titre d’exemples, on citera : la construction ou le 
déclassement de centrales nucléaires à des fins civiles, le développement ou la 
l’irradiation  des  aliments  et  d’autres 
fourniture  d’isotopes  médicaux, 

5 

La comptabilisation dans l’APD des dépenses liées à la lutte contre le trafic de drogues est limitée aux 
activités  qui  se  focalisent  sur  le  développement  économique  et  l’amélioration  du  niveau  de  vie,  y 
compris  les  programmes  de  développement  alternatifs  et  la  substitution  des  plantations.  Les  activités 
financées par les donneurs pour interdire les provisions de drogues, détruire les plantations ou former 
ou financer le personnel militaire dans les activités de lutte contre la drogue ne sont pas comptabilisées 
dans l’APD. 

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applications industrielles et commerciales. Sont par contre exclues les activités 
de  recherche  sur  les  armes  nucléaires  et  les  applications  militaires  de  la 
technologie nucléaire. 

240 

250 

300 

310 

BANQUES ET SERVICES 
FINANCIERS 

Couvre l’aide en faveur des services bancaires et financiers, qu’ils relèvent du 
secteur formel ou du secteur informel. 

ENTREPRISES ET AUTRES 
SERVICES 

Cette  rubrique  englobe 
l’entreprise  et 
d’amélioration  de  l’environnement  des  entreprises  ainsi  que  celles  liées  à  la 
privatisation. 

les  activités  de  promotion  de 

SECTEURS DE LA PRODUCTION  Dans  cette  grande  catégorie  sont  groupés  les  apports  d'aide  à  tous  les 

secteurs directement productifs. 

AGRICULTURE,  SYLVICULTURE 
ET PÊCHE 

Couvre tous les secteurs de production primaires à l’exception de l’extraction 
de ressources naturelles. 

311 

AGRICULTURE 

312 

SYLVICULTURE 

313 

PÊCHE 

320 

INDUSTRIES 
MANUFACTURIÈRES ET 
EXTRACTIVES ET 
CONSTRUCTION 

321 

INDUSTRIES 
MANUFACTURIÈRES 

Politique  agricole,  développement  et  moyens  de  production  agricoles,  gestion 
des  sols  et  des  ressources  en  eau  à  usage  agricole,  productions  végétales  et 
animales, réforme agraire, crédit, coopératives et recherche agricoles et services 
vétérinaires. 

Politique sylvicole, planification en matière de sylviculture, projets de production 
de  bois  de  chauffage  et  de  charbon  de  bois,  enseignement,  recherche  et 
développement sylvicoles. 

Politique  de 
enseignement piscicoles. 

la  pêche,  planification  des  pêcheries, 

recherche  et 

Couvre l’aide au profit des industries manufacturières quelles qu’elles soient, 
des  activités  de  recherche  et  développement  technologiques,  des  industries 
extractives et des activités de construction dont le secteur de destination ne peut 
être identifié. 

Politique industrielle, développement de la petite entreprise et de l'artisanat ; tous 
types d'activités manufacturières y compris l’agro-alimentaire, la fabrication de 
produits chimiques et d'engrais, la liquéfaction du gaz et le raffinage du pétrole, 
la production de bois de chauffage et l'industrie des textiles et du cuir. 

322 

INDUSTRIES EXTRACTIVES 

Politique  et  planification  en  matière  d'extraction  des  minerais  et  minéraux, 
géologie, et activités d'extraction des minerais, minéraux et combustibles. 

323 

CONSTRUCTION 

Politique et planification en matière de construction ; sont exclues les activités 
de  construction  visant  un  secteur  particulier  (construction  d'hôpitaux  ou 
d'écoles, par exemple). 

331 

332 

400 

410 

POLITIQUE COMMERCIALE ET 
REGLEMENTATIONS 

Politique  commerciale  et  planification,  facilitation  du  commerce,  accords 
commerciaux  régionaux,  négociations  commerciales  multilatérales,  commerce 
multisectoriel de gros et de détail, et promotion des exportations. 

TOURISME 

Politique du tourisme et gestion administrative des activités touristiques. 

DESTINATION 
PLURISECTORIELLE OU 
TRANSVERSALE 

Cette  grande  catégorie  comprend  l'aide  à  des  projets  qui  chevauchent 
plusieurs secteurs Toutefois, des écritures ne devront être passées ici que si le 
pays  déclarant  n'est  pas  en  mesure  d'estimer  les  montants  affectés  aux 
différents secteurs mentionnés ailleurs dans le tableau. 

PROTECTION DE 
L’ENVIRONNEMENT, GENERALE 

Ce  poste  englobe  les  activités  ne  visant  pas  un  secteur  particulier  liées  à  la 
préservation, la protection et l’amélioration de l’environnement physique. 

430 

AUTRES MULTI SECTEURS 

Ce poste regroupe les projets d’aménagement urbain et rural, le développement 
alternatif non agricole, l’éducation et formation plurisectorielles (y compris les 

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450 

500 

AIDE VENTILABLE PAR 
SECTEUR, TOTAL 

AIDE-PROGRAMME ET AIDE 
SOUS FORME DE PRODUITS 

510 

SOUTIEN BUDGETAIRE 

bourses) et la recherche quand le secteur ne peut être déterminé. 

Somme des montants inscrits aux postes 100, 200, 300 et 400. 

Cette  grande  catégorie  englobe  les  contributions  ne  visant  pas  un  secteur 
particulier  mises  à  la  disposition  du  bénéficiaire  à  des  fins  générales  de 
développement, qu’elles soient ou non assorties de restrictions quant à l'emploi 
précis des fonds (et que le donneur contrôle ou non l'utilisation des fonds de 
contrepartie). Les concours accordés à la condition générale d'être consacrés à 
des projets d'équipement que le bénéficiaire choisit sans avoir besoin de l'accord 
du donneur doivent également être comptabilisés ici. 

Contributions au budget du gouvernement non réservées, soutien à la mise en 
oeuvre des réformes macroéconomiques, transferts pour la stabilisation de la 
balance des paiements, et l’aide programme générale ne pouvant être ventilée 
par secteur. 

520 

530 

600 

AIDE ALIMENTAIRE A DES FINS 
DE DÉVELOPPEMENT/AIDE A LA 
SECURITE ALIMENTAIRE 

Fourniture et transport de denrées alimentaires, contributions en espèces pour 
l’achat de denrées alimentaires, et apport de produits intermédiaires (engrais, 
semences,etc.) dans le cadre d’un programme d’aide alimentaire. 

AIDE SOUS FORME DE 
PRODUITS : AUTRE 

Ce poste inclut les subventions à l’importation des biens d’équipement et des 
produits. 

ACTIONS SE RAPPORTANT À 
LA DETTE 

Cette  grande  catégorie  regroupe  toutes  les  opérations  liées  à  la  dette 
(remises,  conversions,  échanges  et  rachats  de  créances,  rééchelonnements, 
refinancements). 

2) 

Abstract from the DCD/DAC(2007)38 – 29 August 2008 

Draft DAC List of ODA Recipients  

Effective for reporting on 2008, 2009 and 2010 flows 

Least Developed 
Countries 

Other Low 
Income Countries 

Lower Middle Income 
Countries 

Upper Middle Income 
Countries 

and Territories 

and Territories 

(per capita GNI < 
$935 in 2007) 

(per capita GNI $936-$3 
705 in 2007) 

(per capita GNI $3 
706-$11 455 in 2007) 

Afghanistan 

Côte d'Ivoire 

Albania 

*Anguilla 

Angola 

Bangladesh 

Benin 

Bhutan 

Ghana 

Kenya 

Algeria 

Armenia 

Korea, Dem. Rep.  Azerbaijan 

Kyrgyz Rep. 

Bolivia 

Antigua and Barbuda1 

Argentina 

Barbados 

Belarus 

Burkina Faso 

Nigeria 

Bosnia and Herzegovina  Belize 

Burundi 

Pakistan 

Cameroon 

Botswana 

Cambodia 

Papua New Guinea  Cape Verde 

Brazil 

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Central 
Rep. 

Chad 

African 

Tajikistan 

China 

Chile 

Uzbekistan 

Colombia 

Cook Islands 

Comoros 

Viet Nam 

Congo, Rep. 

Costa Rica 

Congo, Dem. Rep.  Zimbabwe 

Dominican Republic 

Croatia 

Djibouti 

Equatorial Guinea 

Eritrea 

Ethiopia 

Gambia 

Guinea 

Guinea-Bissau 

Haiti 

Kiribati 

Laos 

Lesotho 

Liberia 

Madagascar 

Malawi 

Maldives 

Mali 

Mauritania 

Mozambique 

Myanmar 

Nepal 

Niger 

EN 

Ecuador 

Egypt 

El Salvador 

Georgia 

Guatemala 

Guyana 

Honduras 

India 

Indonesia 

Iran 

Iraq 

Jordan 

Cuba 

Dominica 

Fiji 

Gabon 

Grenada 

Jamaica 

Kazakhstan 

Lebanon 

Libya 

Malaysia 

Mauritius 

*Mayotte 

Macedonia, 
Yugoslav Republic of 

Former 

Mexico 

Marshall Islands 

Montenegro 

Federated 

*Montserrat 

Nauru 

Oman1 

Palau 

Panama 

Serbia3 

Seychelles 

Micronesia, 
States 

Moldova 

Mongolia 

Morocco 

Namibia 

Nicaragua 

Niue 

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Rwanda 

Samoa 

São  Tomé 
Príncipe 

and 

Senegal 

Sierra Leone 

Palestinian 
Administered Areas 

South Africa 

Paraguay 

Peru 

Philippines 

Sri Lanka 

*St. Helena 

St. Kitts-Nevis 

St. Lucia 

Vincent 

St. 
Grenadines 

and 

Solomon Islands 

Swaziland 

Suriname 

Trinidad and Tobago2 

Turkey 

Uruguay 

Venezuela 

Syria 

Thailand 

*Tokelau 

Tonga 

Tunisia 

Turkmenistan 

Ukraine 

*Wallis and Futuna 

Somalia 

Sudan 

Tanzania 

Timor-Leste 

Togo 

Tuvalu 

Uganda 

Vanuatu 

Yemen 

Zambia 

(*) Territory. 

(1)  Antigua  &  Barbuda  and  Oman  exceeded  the  high  income  country  threshold  in  2007.  In 
accordance  with  the  DAC  rules  for  revision  of  this  List,  both  will  graduate  from  the  List  in 
2011 if they remain high income countries until 2010. 

(2)  Barbados  and  Trinidad  &  Tobago  exceeded  the  high  income  country  threshold  in  2006 
and 2007. In accordance with the DAC rules for revision of this List, both will graduate from 
the List in 2011 if they remain high income countries until 2010. 

(3) At present aid to Kosovo is recorded under aid to Serbia. Kosovo will be listed separately 
if and when it is recognised by the UN. 

As of April 2008, the Heavily Indebted Poor Countries (HIPCs) are : Afghanistan, Benin, 
Bolivia, Burkina Faso, Burundi, Cameroon, Central African Republic, Chad, Comoros, Congo 
(Dem. Rep.), Congo (Rep.), Côte d’Ivoire, Eritrea, Ethiopia, Gambia, Ghana, Guinea, Guinea-
Bissau,  Guyana,  Haiti,  Honduras,  Kyrgyz  Republic,  Liberia,  Madagascar,  Malawi,  Mali, 

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Mauritania,  Mozambique,  Nepal,  Nicaragua,  Niger,  Rwanda,  São  Tomé  and  Príncipe, 
Senegal, Sierra Leone, Somalia, Sudan, Tanzania, Togo, Uganda and Zambia. 

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List of acronyms 

AAP: Annual Action Programme 

ACP: African, Caribbean and Pacific countries. 

ALA: Asia Latin America 

CSP: Country Strategy Paper 

DAC/OECD:  Development  Assistance  Committee  of  the  Organisation  for  Economic  Co-
operation and Development  

DCI: Development Cooperation Instrument 

EDF: European Development Fund 

EIB: European Investment Bank 

EMEWC: Erasmus Mundus External Window Cooperation 

ENPI: European Neighbourhood and Partnership Instrument 

ICI:  Instrument  for  Cooperation  with  Industrialised  and  other  high-income  countries  and 
territories 

IPA: Instrument for Pre-accession Assistance 

MDGs: Millenium Development Goals 

MIC: Middle Income Country 

MTR: Mid-Term Review 

ODA: Official Development Assistance  

PA: Preparatory Action 

RSP: Regional Strategy Paper 

SME: Small and Medium size Enterprise 

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