Proposal for a Council Regulation amending Regulation (EC) No 1934/2006 establishing a financing instrument for cooperation with industrialised and other high-income countries and territories SEC(2009)531 SEC(2009)532 SEC(2009)532
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, 21.4.2009 
COM(2009) 197 final 

Proposal for a 

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

SEC(2009)531 
SEC(2009)532 
SEC(2009)532 

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(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

EXPLANATORY MEMORANDUM 

As part of the reform of external action financial instruments for 2007-2013, replacing 
more  than  30  different  legal  instruments  with  seven  new  ones,  Regulation  (EC)  No 
1905/2006 of 18 December 2006 established the Development Cooperation Instrument 
(hereinafter  DCI)  for  geographical  cooperation  with  countries  in  Asia,  Central  Asia, 
and Latin America, plus Iraq, Iran, Yemen, and South Africa. 

The  primary  and  overarching  objective  of  the  DCI  is  the  eradication  of  poverty 
through the pursuit of the Millennium Development Goals. The Regulation therefore 
provides  that  measures  for  geographic  programmes  should  fulfil  the  criteria  for 
Official  Development  Assistance  (ODA)  set  by  the  Development  Assistance 
Committee  of  the  Organisation  for  Economic  Cooperation  and  Development 
(DAC/OECD).  

This limited scope is not conducive to engaging with important bilateral partners and 
players in multilateral fora and in global governance with whom the Community has a 
strategic  interest  in  promoting  diversified  links.  It  is  in  the  Community’s  interest  to 
further  deepen  its  relation  with  countries  which  are  both  developing  and  major 
partners in the world economy, such as India, China, Brazil and Mexico. Community 
interests  go  also  beyond  poverty  eradication  in  regions  like  Central  Asia  and  the 
Middle  East  (Iraq,  Iran,  and  Yemen),  in  particular  as  regards  energy  security  and 
public diplomacy. Finally, most of Asia and Latin America, as well as South Africa, is 
also  made  up  of  middle-income  countries  interested  in  engaging  in  economic, 
commercial, academic, business and scientific exchanges with the European Union.  

For that reason, the Commission is proposing to follow up the Preparatory Actions set 
up  through  the  2007  and  2008  budget  procedures,  with  legislative  proposals  to 
introduce stable financing for such cooperation and for measures that do not meet the 
criteria for Official Development Assistance.  

Since the objective is similar to that pursued under Regulation (EC) No 1934/2006, it 
is proposed to extend the geographical scope of the latter to countries covered by the 
DCI  Regulation,  and  to  add  a  reference  amount  for  such  cooperation  of  EUR  176 
million for the 2010-2013 period.  

The  review  of  the  implementation  of  external  action  financial  instruments  has 
identified inconsistencies in the provisions that exclude costs relating to taxes, duties 
or other charges as ineligible. For the sake of consistency, it is proposed to bring these 
provisions into line with the other instruments. 

(7) 

The  proposal  is  accompanied  by  an  Impact  Assessment  to  ensure  compatibility 
between the relevant Community policies. 

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Proposal for a 

COUNCIL REGULATION 

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

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 
181a thereof, 

Having regard to the proposal from the Commission, 

Having regard to the opinion of the European Parliament, 

Whereas: 

(1) 

(2) 

(3) 

Since  2007  the  Community  has  streamlined  its  geographical  cooperation  with 
developing  countries  in  Asia,  Central  Asia,  and  Latin  America  and  with  Iraq,  Iran, 
Yemen,  and  South  Africa  under  Regulation  (EC)  No  1905/2006  of  the  European 
Parliament  and  of  the  Council  of  18  December  2006  establishing  a  financing 
instrument for development cooperation (DCI).1  

The  primary  and  overarching  objective  of  Regulation  (EC)  No  1905/2006  is  the 
eradication of poverty through the pursuit of the Millennium Development Goals. The 
scope  of  cooperation  for  the  geographic  programmes  with  developing  countries, 
territories  and  regions  established  under  the  Regulation  is  furthermore  limited 
materially  to  financing  measures  designed  to  fulfil  the  criteria  for  Official 
Development Assistance (ODA) set by the Development Assistance Committee of the 
Organisation for Economic Cooperation and Development (DAC/OECD).  

It is in the Community’s interests to further deepen its relations with  the  developing 
countries concerned, which are important bilateral partners and players in multilateral 
fora  and  in  global  governance  with  whom  the  Community  has  a  strategic  interest  in 
promoting  diversified  links,  in  particular  in  areas  such  as  economic,  commercial, 
academic, business and scientific exchanges. It therefore needs a financial instrument 
that  allows  the  financing  of  such  measures  which,  by  their  nature,  do  not  qualify  as 
Official Development Assistance.  

(4) 

For that purpose, four Preparatory Actions were set up in the 2007 and 2008 budget 
procedures  to  initiate  such  enhanced  cooperation  in  accordance  with  point  (b)  of 
Article  49(6)  of  Council  Regulation  (EC,  Euratom)  No  1605/2002  on  the  Financial 

1 

OJ L 378, 27.12.2006, p.41. 

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Regulation applicable to the general budget of the European Communities;2 business 
and  scientific  exchanges  with  India;  business  and  scientific  exchanges  with  China; 
cooperation  with  middle-income  group  countries  in  Asia;  and  cooperation  with 
middle-income  group  countries  in  Latin  America.  Under  the  same  Article  of  the 
Financial Regulation, the legislative procedure further to Preparatory Actions must be 
concluded before the end of the third financial year. 

The objectives and provisions of Regulation (EC) No 1934/2006 of 21 December 2006 
establishing a financing instrument for cooperation with industrialised and other high-
income countries and territories3 are appropriate to pursue such enhanced cooperation 
with  countries  falling  under  Regulation  (EC)  No  1905/2006.  For  that  purpose,  it  is 
necessary to extend the geographical scope of Regulation (EC) No 1934/2006 and to 
provide for a financial envelope to cover cooperation with those developing countries.  

The  review  of  implementation  of  the  external  action  financial  instruments  has 
identified inconsistencies in the provisions that exclude costs relating to taxes, duties 
or other charges as ineligible. For the sake of consistency, it is proposed to bring those 
provisions into line with the other instruments. 

(5) 

(6) 

(7) 

Regulation (EC) No 1934/2006 should therefore be amended accordingly, 

HAS ADOPTED THIS REGULATION: 

Article 1 

Regulation (EC) No 1934/2006 is amended as follows:  

(1) 

The title of the Regulation is replaced by the following: 

“Council  Regulation  (EC)  No  1934/2006  of  21  December  2006  establishing  a 
financing  instrument  for  cooperation  with  industrialised  and  other  high-income 
countries  and  territories,  and  with  developing  countries  falling  under  (EC) 
Regulation No 1905/2006.”  

(2) 

Article 1 is replaced by the following: 

“Article 1 

Objective 

1. 

Community  financing  shall  support  economic,  financial  and 
technical 
cooperation  and  other  forms  of  cooperation  falling  within  its  spheres  of 
competence with industrialised and other high-income countries and territories 
and with developing countries falling under Regulation (EC) No 1905/2006.  

2 

3 

Council Regulation (EC, Euratom) No 1605/2002 on the Financial Regulation applicable to the general 
budget of the European Communities (OJ L 248, 16.9.2002, p. 1). 
OJ L 405, 30.12.2006, p. 41. (corrected version: OJ L 29, 3.2.2007, p. 16). 

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2. 

The primary objective of cooperation with the countries and territories referred 
to  in  paragraph  1  shall  be  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 promote dialogue while fostering Community's interests.” 

(3) 

Article 2 is replaced by the following: 

“Article 2 

Scope 

1. 

2. 

The cooperation shall be aimed at engaging with partners which share similar 
political,  economic  and  institutional  structures  and  values  to  the  Community 
and which are important bilateral partners and players in multilateral fora and 
in  global  governance.  The  cooperation  also  covers  partners  with  which  the 
Community has a strategic interest in promoting links. 

For  the  purpose  of  this  Regulation,  industrialised  and  other  high-income 
countries and territories shall comprise countries and territories listed in Annex 
I  and  developing  countries  shall  comprise  countries  listed  in  Annex  II.  They 
are  hereinafter  referred  to  as  "partner  countries".  However,  in  duly  justified 
circumstances and in order to foster regional cooperation, the Commission may 
decide when adopting action programmes referred to in Article 6 that countries 
not  listed  in  the  Annexes  are  eligible,  where  the  project  or  programme  to  be 
implemented is of regional or cross-border nature. Provisions may be made for 
this  in  the  multiannual  cooperation  programmes  referred  to  in  Article  5.  The 
Commission  shall  amend  the  lists  in  Annexes  I  and  II  following  the  regular 
OECD/DAC  reviews  of  its  list  of  developing  countries,  and  shall  inform  the 
Council thereof." 

(4) 

Article 8(3) is replaced by the following:  

“Community  financing  shall,  in  principle,  not  be  used  for  paying  taxes,  duties  or 
charges in the partner countries.” 

(5) 

Article 16 is replaced by the following:  

“Article 16 

Financial provisions 

The  financial  reference  amount  for  the  implementation  of  this  Regulation  for  the 
period from 2007 to 2013 shall be EUR 172 million for countries listed in Annex I 
and  EUR  176  million  for  countries  listed  in  Annex  II.  The  annual  appropriations 
shall  be  authorised  by  the  budgetary  authority  within  the  limits  of  the  financial 
framework.” 

(6) 

In the Annex, the title is replaced by the following: 

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“ANNEX I — List of industrialised and other high-income countries and territories 
covered by this Regulation”.  

(7) 

A  new  Annex  II,  the  text  of  which  is  set  out  in  the  Annex  to  this  Regulation,  is 
added. 

Article 2 
Entry into force 

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

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

Done at Brussels, 

For the Council 
The President 

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Annex 

“ANNEX II 

List of developing countries covered by this Regulation 

Latin America  

1.Argentina 

2. Bolivia 

3. Brazil 

4. Chile 

5. Colombia 

6. Costa Rica 

7. Cuba 

8. Ecuador 

9. El Salvador 

10. Guatemala 

11. Honduras 

12. Mexico 

13. Nicaragua 

14. Panama 

15. Paraguay 

16. Peru 

17. Uruguay 

18. Venezuela  

Asia 

19. Afghanistan 

20. Bangladesh 

21. Bhutan 

22. Cambodia 

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23. China 

24. India 

25. Indonesia 

26. Democratic People’s Republic of Korea 

27. Laos 

28. Malaysia 

29. Maldives 

30. Mongolia 

31. Myanmar/Burma 

32. Nepal 

33. Pakistan 

34. Philippines 

35. Sri Lanka 

36. Thailand 

37. Viet Nam 

Central Asia 

38. Kazakhstan 

39. Kyrgyz Republic 

40. Tajikistan 

41. Turkmenistan 

42. Uzbekistan 

Middle East 

43. Iran 

44. Iraq 

45. Yemen 

South Africa 

46. South Africa” 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

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

2. 

ABM / ABB FRAMEWORK 

19 09 — Relations with Latin America 

19 10 — Relations with Asia, Central Asia and Middle-East (Iraq, Iran, Yemen) 

21 06 — Geographical cooperation with African, Caribbean and Pacific (ACP) 
States 

3. 

BUDGET LINES 

3.1. 

Budget  lines  (operational  lines  and  related  technical  and  administrative 
assistance lines (ex- BA lines) including headings: 

Heading 4 — External relations  

BL.  19.09.02  —  Cooperation  activities  other  than  Official  Development 
Assistance in Latin America  

BL  to  be  re-titled  in  PDB  2010  from  the  “Preparatory  Action  —  Cooperation 
with middle-income countries in Latin America” 

BL.  19.10.04  —  Cooperation  activities  other  than  Official  Development 
Assistance (Asia, Central Asia, Iran, Iraq, and Yemen) 

New BL requested in PDB 2010 to take over from the Preparatory Actions under 
BL 19 10 01 03, 19 10 01 04, and 19 10 01 04. 

BL.  21.06.06  —  Cooperation  activities  other  than  Official  Development 
Assistance (South-Africa)  

New BL requested in PDB 2010 

3.2. 

Duration of the action and of the financial impact: 

The action proposed covers the period 2010-2013. 

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3.3. 

Budgetary characteristics (add rows if necessary): 

Budget 
line 

19 09 02 

19 10 04 

21 06 06 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

Non-
comp 

Non-
comp 

Non-
comp 

Diff 

YES 
(Re-
titled) 

NO 

NO 

No 4 

Diff 

YES 

NO 

Diff 

YES 

NO 

NO 

NO 

No 4 

No 4 

4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

4.1.1. 

Summary of commitment appropriations (CA) and payment appropriations (PA) 

Source of funding: 

1)  Additional  appropriations  are  requested  only  for  the  continuation  of  the 
preparatory  actions  (Objective  1:  Promotion  of  economic  partnership  and 
business in EU interests). This amount corresponds to €67.5 million and will be 
allocated from the margin as sets out inn the table below.  

2)  The  other  €108.5  million  will  be  fi nanced  through  re-allocation  from  the 
corresponding  DCI  geographical  envelopes.  Objectives  2  (EU  mobility 
EMEWC) and objective 3 (other non-ODA activities) will be financed entirely 
through  the  re-allocation  from  the  respective  DCI  geographic  envelopes. 
However,  the  indicative  geographic  envelopes  under  annex  IV  of  the  DCI 
Regulation are not modified. 

As  a  result,  although  the  financial  envelope  amounts  to  €176  million,  the 
budgetary impact is €67.5 million.  

In the table below, only additional appropriations allocated from the margin are 
set out. 

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EUR million (to 3 decimal places) 

Section 
no. 

Expenditure type 

2009 

2010 

2011 

2012 

2013 

n + 5 
and 
later 

Total 

Operational expenditure4 

Commitment 
Appropriations (CA) 

8.1 

a 

0 

15.0 

0 

17.5 

17.5 

17.5 

67.5 

Payment  Appropriations 
(PA) 

0 

7.0 

15.0 

18.0 

18.0 

b 

Administrative expenditure within reference amount5 

9.5 

67.5 

& 
Technical 
administrative  assistance 
(NDA) 

8.2.4 

c 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT  

Commitment 
Appropriations 

a+c 

b+c 

Payment 
Appropriations 

0 

15.0 

0 

17.5 

17.5 

17.5 

67.5 

0 

7.0 

15.0 

18.0 

18.0 

9.5 

 67.5 

Administrative expenditure not included in reference amount6 

Human 
associated 
(NDA) 

resources 

and 
expenditure 

Administrative  costs,  other 
than  human  resources  and 
associated 
not 
included in reference amount 
(NDA) 

costs, 

8.2.5 

d 

8.2.6 

e 

Total indicative financial cost of intervention 

4 
5 
6 

Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Expenditure within Article xx 01 04 of Title xx. 
Expenditure within Chapter xx 01 other than Articles xx 01 04 or xx 01 05. 

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TOTAL  CA 
cost 
Resources 

of 

TOTAL  PA 
cost 
Resources 

of 

including 
Human 

including 
Human 

Co-financing details 

a+c
+d+
e 

b+c
+d+
e 

0 

15.0 

17.5 

17.5 

17.5 

0 

 67.5 

0 

7.0 

15.0 

18.0 

18.0 

9.5 

 67.5 

If the proposal involves co-financing by Member States, or other bodies (please 
specify which), an estimate of the level of this co-financing should be indicated 
in the table below (additional lines may be added if different bodies are foreseen 
for the provision of the co-financing): 

EUR million (to 3 decimal places) 

n + 1 

n + 2 

n + 3 

n + 4 

Year 
n 

n  +  5 
and 
later 

Total 

Co-financing body 

…………………… 

TOTAL CA including co-
financing 

f 

a+c
+d+
e+f 

4.1.2.  Compatibility with Financial Programming 

Proposal is compatible with existing financial programming. 

X 

(cid:133) 

Proposal will entail reprogramming of the relevant heading in the financial 
perspective. 

Proposal may require application of the provisions of the Interinstitutional 
Agreement7  (i.e.  flexibility  instrument  or  revision  of  the  financial 
perspective). 

4.1.3.  Financial impact on Revenue 

⌧  Proposal has no financial implications on revenue 

(cid:133) 

Proposal has financial impact – the effect on revenue is as follows: 

NB:  All  details  and  observations  relating  to  the  method  of  calculating  the 
effect on revenue should be shown in a separate annex. 

7 

See points 19 and 24 of the Interinstitutional agreement. 

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Budget line 

Revenue 

EUR million (to one decimal place) 

Prior to
action 
[Year n-
1] 

[Year 
n] 

Situation following action 

[n+1] 

[n+2] 

[n+3] 

[n+4] 

[n+5]8

a) Revenue in absolute terms 

b) Change in revenue 

 ∆ 

(Please  specify  each  revenue  budget  line  involved,  adding  the  appropriate 
number of rows to the table if there is an effect on more than one budget line.) 

4.2. 

Human Resources FTE (including officials, temporary and external staff) – 
see detail under point 8.2.1. 

Annual requirements 

Year n 

n + 1 

n + 2 

n + 3 

n + 4 

n + 5 
and 
later 

number 
Total 
human resources 

of 

5. 

CHARACTERISTICS AND OBJECTIVES 

Details  of  the  context  of  the  proposal  are  required  in  the  Explanatory 
Memorandum.  This  section  of  the  Legislative  Financial  Statement  should 
include the following specific complementary information: 

5.1. 

Need to be met in the short or long term 

The legislative proposal is accompanied by an Impact Assessment detailing the 
needs to be met. 

This proposal is a legislative follow-up to the Preparatory Actions (PAs) which 
have been set up through the budget procedures 2007 and 2008. It aims to fill the 
legislative  gap  as  regards  the  limited  scope  of  the  Development  Cooperation 
Instrument (DCI) covering the geographical cooperation with countries in Asia, 
Central Asia, Latin America, and with Iraq, Iran, Yemen, and South Africa.  

The envelope has been assessed at €176 million.  

8 

Additional columns should be added if necessary i.e. if the duration of the action exceeds 6 years 

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The  four  Preparatory  Actions  over  2007-2009  have  been  financed  from  the 
margin at the initiative of the budget authority. Activities relating to the follow-
up  of  these  actions  amount  to  €67.5  million.  The  other  needs  to  be  covered 
(€108.5 million) relate to the mobility  for EU students under Erasmus Mundus 
and  activities  foreseen  under  the  DCI  envelope  but  not  eligible  because  of  its 
limited  scope  as  regards  Official  Development  Assistance  eligibility  (e.g. 
visibility programmes, technical assistance in energy-related areas).  

5.2. 

Value-added  of  Community  involvement  and  coherence  of  the  proposal 
with other financial instruments and possible synergy 

The  geographical  extension  of  the  ICI  Regulation  will  allow  further  engaging 
with  important  bilateral  partners  and  players  in  multilateral  fora  and  in  global 
governance, and with which the Community has a strategic interest in promoting 
diversified links. It is in the Community’s interests to further deepen its relation 
with  countries  which  are  both  developing  and  major  powers  in  the  world 
economy, such as India, China, Brazil, or South Africa. Community’s interests 
go also beyond poverty eradication in regions like Central Asia and Middle East, 
in  particular  as  regards  energy  security  and  public  diplomacy.  Finally,  most  of 
Asia and Latin America are also Middle-Income Countries interested to engage 
with 
the  Official 
Development Assistance. 

into  exchanges  going  beyond 

the  European  Union 

5.3. 

Objectives,  expected  results  and  related  indicators  of  the  proposal  in  the 
context of the ABM framework 

The  proposed  regulation  will  fund  programmes  and  projects  which  meet  the 
following main operational objectives:  

Objective 1: 

•  Promotion of economic partnership and business in EU interests 

Objective 2: 

•  People to people links/education cooperation 

Objective 3: 

•  Public diplomacy and outreach 

•  Dialogues 

•  Cooperation projects which do not fulfil the ODA criteria 

19 09: 

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•  Improved European access to Latin American markets by European business, 

industry and research communities. 

•  Ensure  the  European  participation  on  the  Erasmus  Mundus  External 

Cooperation Windows. 

•  Improved level of knowledge and understanding of the EU main policies and 

strategic objectives. 

19 10 

•  Improved  European  access  to  Asian  markets  while  serving  the  interests  of 
European  business,  industry  and  research  communities  with  particular 
emphasis  on  clean  and  sustainable  technologies  and  a  special  focus  on 
strengthening  commercial  presence  of  European  SMEs  in  Asia;  Progress 
towards improving trade and investment conditions; 

•  Improved  level  of  knowledge  and  understanding  of  the  EU;  Ensure  and 
increase  the  European  participation  on  the  Erasmus  Mundus  External 
Cooperation Windows (EMECW); 

•  Ensure participation in the European Education Fairs a level at least equal to 

that successfully achieved in the past. 

•  Progress in the broader cooperative agenda on energy, in particular in Central 

Asia; 

21 06 

•  Ensure  the  European  participation  on  the  Erasmus  Mundus  External 

Cooperation Window. 

•  Progress  in  the  broader  cooperative  agendas  on  issues  like  energy,  science 
and technology or transport, including progress towards improving trade and 
investment conditions; 

EUR millions 

2010 

2011 

2012 

2013 

TOTAL 

Asia 

Promotion  of  economic 
partnership  and  business 
in  EU  interests  (Follow-
up Preparatory Actions) 

16.5 

12.0 

19.5 

13.0 

20.5 

14.0 

21.0 

14.0 

77.5 

53.0 

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EU mobility EMEWC 

Other actions non-ODA 

3.0 

1.5 

5.0 

1.5 

5.0 

1.5 

5.5 

1.5 

Latin America 

11.5 

16.0 

16.0 

16.0 

Promotion  of  economic 
partnership  and  business 
in  EU  interests  (Follow-
up Preparatory Actions) 

EU mobility EMEWC 

Other actions non-ODA 

Central Asia 

Promotion  of  economic 
partnership  and  business 
in  EU  interests  (Follow-
up Preparatory Actions) 

EU mobility EMEWC 

Other actions non-ODA 

Iraq,Iran,Yemen 

Promotion  of  economic 
partnership  and  business 
in  EU  interests  (Follow-
up Preparatory Actions) 

EU mobility EMEWC 

Other actions non-ODA 

3.0 

4.0 

4.0 

4.0 

0.5 

8.0 

4.0 

- 

1.0 

3.0 

2.5 

- 

0.5 

2.0 

5.0 

7.0 

6.0 

- 

2.0 

4.0 

2.5 

- 

0.5 

2.0 

5.0 

7.0 

6.0 

- 

2.0 

4.0 

2.5 

- 

0.5 

2.0 

5.0 

7.0 

6.0 

- 

2.0 

4.0 

2.5 

- 

0.5 

2.0 

18.5 

6.0 

59.5 

15.0 

15.5 

29.0 

22.0 

- 

7.0 

15.0 

10.0 

- 

2.0 

8.0 

South Africa 

- 

1.0 

3.0 

3.0 

7.0 

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Promotion  of  economic 
partnership  and  business 
in  EU  interests  (Follow-
up Preparatory Actions) 

EU mobility EMEWC 

Other actions non-ODA 

- 

- 

- 

- 

- 

- 

- 

1.0 

- 

2.0 

1.0 

2.0 

1.0 

5.0 

2.0 

Total Envelope 

34.5 

45.0 

48.0 

48.5 

176.0 

5.4.  Method of Implementation (indicative) 

The 
the 
implementation  will  be  centralised  management  directly  by 
Commission, and for the EU mobility component of the Erasmus Mundus ECW 
by the EAC Executive Agency.  

6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

The programmes will follow the regular monitoring system. 

6.2. 

Evaluation 

6.2.1.  Ex-ante evaluation 

The  implementation  of  the  DCI,  the  Preparatory  Actions  and  the  Impact 
Assessment provide for a proportionate ex-ante evaluation.  

6.2.2.  Measures  taken  following  an  intermediate/ex-post  evaluation  (lessons  learned 

from similar experiences in the past) 

The Preparatory Actions will be evaluated. 

6.2.3.  Terms and frequency of future evaluation 

The ICI regulation provides for regular evaluations.  

7. 

ANTI-FRAUD MEASURES  

The protection of the Community’s financial interests and the fight against fraud 
and irregularities form an integral part of the ICI Regulation. 

EN 

17 

   EN 

 
 
 
 
 
 
Particular  attention  will  be  paid  to  the  nature  of  expenditure  (eligibility  of 
expenditure), to respect for budgets (actual expenditure) and to verify supporting 
information and relevant documentation (evidence of expenditure). 

EN 

18 

   EN 

8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost 

(Headings  of  Objectives, 
actions  and  outputs  should 
be provided) 

Type of 
output 

Av. 
cost 

Year 
n 

2010 

2011 

2012 

2013 

Year n+5 and 
later 

TOTAL 

No 
outputs 

Total 
cost 

No 
outputs 

Total 
cost 

No 
outputs 

Total 
cost 

No 
outputs 

Total 
cost 

No 
outputs 

Total 
cost 

No 
outputs 

Total 
cost 

No 
outputs 

Total 
cost 

Commitment appropriations in EUR million (to 3 decimal places) 

OPERATIONAL 
OBJECTIVE No1 9 

Promotion of partnership and 
business in EU interests 

- Latin America 

- Asia 

Sub-total Objective 1 

OPERATIONAL 
OBJECTIVE No2 1 

Education  cooperation  (EU 
component EMECW) 

- Latin America 

- Asia  

- Central Asia 

- Iraq, Iran, Yemen 

- South Africa 

9 

As described under Section 5.3. 

EN 

3 

4 

4 

4 

3.0 

12.0 

15.0 

4 

4 

4.0 

13.0 

17.0 

4.0 

14.0 

18.0 

4 

4 

4.0 

14.0 

18.0 

5.0 

5.0 

2.0 

0.5 

2.0 

5.0 

5.5 

2.0 

0.5 

2.0 

0.5 

3.0 

1.0 

0.5 

5.0 

5.0 

2.0 

0.5 

1.0 

19 

15.0 

53.0 

68.0 

15.5 

18.5 

 7.0 

 2.0 

 5.0 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Sub-total Objective 2 

OPERATIONAL 
OBJECTIVE No3  

Other actions non-ODA 

- Latin America 

- Asia 

- Central Asia 

- Iraq/Iran 

- South Africa 

Sub-total Objective 3 

5.0 

13.5 

14.5 

15.0 

48.0 

8.0 

1.5 

3.0 

2.0 

- 

14.5 

7.0 

1.5 

4.0 

2.0 

- 

14.5 

7.0 

1.5 

4.0 

2.0 

1.0 

7.0 

1.5 

4.0 

2.0 

1.0 

15.5 

15.5 

29.0 

6.0 

15.0 

8.0 

2.0 

60.0 

TOTAL COST 

34.5 

45.0 

48.0 

48.5 

176.0 

EN 

20 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
8.2. 

Administrative Expenditure 

No additional administrative expenditure is required.  

8.2.1.  Number and type of human resources 

Types of 
post 

Staff to be assigned to management of the action using existing and/or additional 
resources (number of posts/FTEs) 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 

A*/AD 

B*, 
C*/AST 

Officials 
or 
temporary 
staff10 
(XX 01 
01) 

Staff  financed11  by 
art. XX 01 02 

staff12 
Other 
financed  by  art.  XX 
01 04/05 

TOTAL 

8.2.2.  Description of tasks deriving from the action 

8.2.3. 

Sources of human resources (statutory) 

(When  more  than  one  source  is  stated,  please  indicate  the  number  of  posts 
originating from each of the sources) 

(cid:133) 

(cid:133) 

(cid:133) 

(cid:133) 

(cid:133) 

Posts currently allocated to the management of the programme to be replaced 
or extended 

Posts pre-allocated within the APS/PDB exercise for year n 

Posts to be requested in the next APS/PDB procedure 

Posts  to  be  redeployed  using  existing  resources  within  the  managing  service 
(internal redeployment) 

Posts required for year n although not foreseen in the APS/PDB exercise of the 
year in question 

10 
11 
12 

Cost of which is NOT covered by the reference amount. 
Cost of which is NOT covered by the reference amount. 
Cost of which is included within the reference amount. 

EN 

21 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2.4.  Other  Administrative  expenditure  included  in  reference  amount  (XX  01  04/05  — 

Expenditure on administrative management) 

Budget line 

(number and heading) 

EUR million (to 3 decimal places) 

Year 
n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n+5  

and 
later 

TOTAL 

Technical 

1 
and 
assistance (including related staff costs) 

administrative 

Executive agencies13 

Other 

technical 

and 

administrative 

assistance 

- intra muros  

- extra muros 

Total  Technical  and  administrative 
assistance 

8.2.5.  Financial cost of human resources and associated costs not included in the reference 

amount 

Type of human resources 

Year n 

Year n+1  Year n+2  Year n+3  Year n+4 

Year n+5 

and later 

EUR million (to 3 decimal places) 

Officials and temporary staff (XX 01 
01) 

Staff  financed  by  Art  XX  01  02 
(auxiliary, END, contract staff, etc.) 

(specify budget line) 

Total cost of Human Resources 
and associated costs (NOT in 
reference amount) 

Calculation– Officials and Temporary agents 

Reference should be made to Point 8.2.1, if applicable 

13 

Reference should be made to the specific legislative financial statement for the Executive Agency(ies) 
concerned. 

EN 

22 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Calculation– Staff financed under art. XX 01 02 

Reference should be made to Point 8.2.1, if applicable 

8.2.6.  Other administrative expenditure not included in reference amount 

EUR million (to 3 decimal places) 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n 

Year 
n+5 

and 
later 

TOTAL 

XX 01 02 11 01 — Missions 

XX 01 02 11 02 — Meetings & Conferences 

XX 01 02 11 03 — Committees14  

XX 01 02 11 04 — Studies & consultations 

XX 01 02 11 05 — Information systems 

2 Total Other Management Expenditure 

(XX 01 02 11) 

3 

Other 

expenditure 

administrative 
including reference to budget line) 

nature 

of 

an 
(specify 

Total Administrative expenditure, other 
than human resources and associated 
costs (NOT included in reference 
amount) 

Calculation — Other administrative expenditure not included in reference amount 

14 

Specify the type of committee and the group to which it belongs. 

EN 

23 

   EN