Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing an Instrument for Stability
Date: 2011-12-07
Institutions: European Commission
Subjects: EU programme, development aid, economic development, economic recession, establishment of peace, social situation, stability programme, terrorism

EUROPEAN COMMISSION 

Brussels, 7.12.2011 
COM(2011) 845 final 

2011/0413 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing an Instrument for Stability 

{SEC(2011) 1481 final} 
{SEC(2011) 1482 final} 

 
 
  
 
EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

Crises  and  conflicts  affect  countries  world-wide  and  pose  a  risk  to  global  security  and 
stability. Conflicts are often linked to state fragility and exacerbated by weak governance and 
poverty.  In  addition,  some  of  the  most  critical  security  challenges  have  a  worldwide  scope, 
impacting on both developing and industrialized countries. Natural and man-made disasters, 
drug trafficking, organized crime, terrorism, cyber security challenges and threats and related 
disruptions increase insecurity, hamper development, weaken the rule of law and contribute to 
instability. The increasing challenge of climate change  is  a  multiplier  of  existing  threats  that 
add a new dimension of man made natural hazards and security risks. 

Responding  to  these  structural  challenges  requires  a  significant  collective  effort,  based  on 
strong partnerships with other States, civil society actors, multilateral and regional partners to 
create  the  conditions  for  supporting  countries  to  avoid  the  relapse  into  conflict.  A 
comprehensive  EU  response  to  international  crises  beyond  humanitarian  assistance  is 
therefore  required  in  which  EU  capacity  for  crisis  preparedness,  preventive  and  response 
actions  is  fostered.  Furthermore,  a  capacity  to  deploy  experts  for  various  civilian  missions 
based on inter-operability among EU Member States and other international actors alongside 
a dialogue with non-state actors needs to be developed. 

The  new  Treaty  on  the  European  Union  (Article  21)  has  defined  common  overarching 
principles and objectives for the external action of the Union, inter alia to “preserve peace, 
prevent  conflicts  and  strengthen  international  security”.  This  is  also  supported  by  various 
Council  Conclusions  concerning  the  effectiveness  of  external  action  (2004),  Security  and 
Development  (2007)  and  General  Conclusions  (2010)  the  latter  calling  for  further 
reinforcement  of  EU  crisis  management  tools  to  support  Common  Security  and  Defense 
Policy. Additional political guidance was given by the Foreign Affairs Council Conclusions 
on  conflict  prevention  of  20  June  2011.  Climate  and  security  nexus  was  identified  as  a  key 
area for further work by the Foreign Affairs Council of 18 July 2011. The Commission also 
prepared  in  2011  an  implementation  plan  for  the  EU  Strategy  for  supporting  Disaster  Risk 
Reduction  in  developing  countries1,  which  identify  the  development  of  Post  Disaster  Needs 
Assessments  (PDNAs)  as  a  priority  to  integrate  disaster  risk  reduction  into  the  recovery 
frameworks of the affected countries and encourage resilience and crisis preparedness.  

Accordingly the new Instrument for Stability replacing the earlier Regulation which expires 
on  31  December  2013,  should  capitalise  on  the  opportunities  presented  for  advancing 
coordinated EU efforts in all of the above areas. 

2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENTS 

(1) 

Public Consultation 

1 

SEC(2011) 215 final 

EN 

2 

   EN 

 
                                                 
The  European  Commission  held  a  public  consultation  on  future  funding  for  EU  external 
action between 26 November 2010 and 31 January 2011. This process was based on an online 
questionnaire accompanied by a background paper 'What funding for EU external action after 
2013’ prepared by Commission and EEAS. The 220 contributions received reflected a broad 
traditions 
and  diverse  spectrum  representing 
characterising the external action community.  

the  variety  of  structures,  views  and 

Regarding  EU  external  action  on  peace  and  international  security,  including  EU  peace-
building  and  crisis  preparedness,  the  importance  of  investing  in  long-term  stability,  human 
rights and economic development was also underlined by many respondents. The Instrument 
for  Stability  is  highly  valued  and  many  respondents  ask  the  EU  to  enhance  its  potential, 
referring  in  particular  to  the  need  to  safeguard  its  advantages,  namely  the  speed  of  delivery 
and direct financing. 

(2) 

Collection and use of Expertise 

A  2011  evaluation  of  the  Instrument  for  Stability’s  crisis  response  and  crisis  preparedness 
components  (Articles  3  and  4.3)  concluded  that  the  Instrument  was  unique  within  the  EU 
peace,  security  and  development  architecture  allowing  the  EU  to  support  a  broad  range  of 
critical  crisis  preparedness  and  response  initiatives.  EU  capacity  to  intervene  in  crisis 
situations has been expanded while the coherence and effectiveness of crisis prevention and 
peace-building initiatives have been enhanced alongside partners’ capacity to prepare for and 
respond to crisis.  

Evaluations of chemical biological radiological and nuclear (CBRN) materials risk mitigation 
actions (article 4.2) underlined the importance Member States attached to an EU programme 
to  help  build  capacity  in  partner  countries  to  fight  proliferation  of  sensitive  materials  and 
expertise. CBRN risk mitigation actions enable the EU to collectively contribute to reducing 
the  threat  of  malevolent  uses  of  weapons  of  mass  destruction  (WMD)  materials  and  know-
how.  

A  2009  scoping  study  of  the  crisis  preparedness  component  (Article  4,  the  Peace-building 
Partnership)  recommended  increased  focus  on  capacity  building  of  local  partners,  policy 
dialogue with non-state actors while maximising thematic synergies with EU policy priorities 
and supported actions. A more flexible approach to funding to enable non-state actors and EU 
Member States to benefit from this assistance is required.  

A 2009 publication of the EU Institute for Security Studies, providing the first comprehensive 
review  of  ESDP  operations  between  1999  and  2009  underlined  the  Instrument’s  catalytic 
effect, recognizing its added-value in preparing and improving the delivery of EU long-term 
external assistance and CFSP actions 

While largely positive about the implementation to date, several areas for improvements were 
highlighted. They specifically refer to speed of deployment of the Instrument, increasing its 
overall  flexibility  with  regard  to  implementation  timeframes  of  exceptional  assistance 
measures  and  interim  response  programmes  and  threshold  amounts  and  increasing  financial 
and human resources.  

(3) 

Impact Assessment 

The  Commission  carried  out  an  Impact  Assessment  (IA)  that  considered  4  basic  policy 
alternatives: (Option 0) discontinuing the IfS (Option 1) maintaining the Instrument’s current 

EN 

3 

   EN 

 
scope  without  any  amendment  (Option  2)  revising  the  Instrument  to  increase  its  flexibility 
provisions  and  (Option  3)  a  new  Instrument  or  new  Instruments  (s)  incorporating  the 
following considerations (a) to tackle separately crisis response and preparedness issues and 
security-related issues - terrorism, trans-regional threats and CBRN issues – (b) to encompass 
EU  external  actions  tools  currently  carried  out  under  other  instruments  (e.g.  EU  Electoral 
Observation Missions or the African Peace Facility). 

Option 0 was immediately disregarded as no successor to the current Instrument would imply 
the loss of EU international credibility as well as failure to fulfil its obligations under Article 
21 of the Treaty. Option 1 would imply missing an opportunity to improve and enhance the 
Instrument’s  value  on  the  basis  of  experience.  Option  3  to  establish  new  Instruments 
providing for split between crisis response and preparedness, on the one hand, and global and 
trans-national threats on the other, was not advised. Besides running against the overall aim of 
rationalising  the  number  of  existing  instruments,  it  could  result  in  a  less  coherent  and 
complementary  interaction  in  addressing  drivers  of  conflict.  Option  2,  to  retain  the  main 
features and characteristics of the Instrument while streamlining its provisions to increase its 
flexibility  was  the  preferred  choice  as  it  enables  the  EU  to  respond  more  effectively  and 
rapidly to future international peace and security challenges. Option 2 will particularly allow 
for  the  possibility  to  extend  and  re-conduct  exceptional  assistance  measures  in  response  to 
crises and protracted conflicts and allow the Commission to rapidly approve initial response 
measures so as to enhance the EU’s strategic position in responding to a given crisis.  

The policy options considered are intended to consolidate and wherever possible, improve the 
current functioning of the Instrument.  

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

Legal Basis 

Part V, Title III, Chapters 1 and 2 of the Treaty of the Functioning of the European Union (the 
Treaty),  provide  the  legal  framework  for  cooperation  with  third  countries,  regional  and 
international  organisations,  state  and  non-state  actors.  The  proposed  Regulation  is  based  in 
particular  on  Articles  209(1)  and  Article  212.2  of  the  Treaty,  and  is  presented  by  the 
Commission in accordance with the procedure laid down in Article 294 of the Treaty.  

Subsidiarity and Proportionality  

The Instrument has worldwide scope, a double Treaty legal basis (“development cooperation” 
and  “economic,  financial  and  technical  cooperation  with  third  countries”)  and  not  being 
bound  to  ODA-eligibility  criteria,  allows  the  EU  to  properly  tackle  the  security  and 
development nexus. 

As  a  global  player,  the  EU  has  credibility  and  a  perception  of  neutrality  that  provides  a 
competitive advantage to intervene in many conflict areas to avoid escalation or to offer good 
offices in preventing conflict. An increased level of impact is achieved when the response is 
provided  at  EU  level,  as  combined  efforts  provide  increased  leverage  over  authorities  and 
international partners. Crisis response actions at EU level maximise the coherence of response 
and aid efficiency. Synergies and cooperation are increasingly needed at international level, as 
donors are facing similar problems in terms  of scarce resources. In this regard, it should be 

EN 

4 

   EN 

 
noted  that  a  very  limited  number  of  EU  Member  States  operate  a  crisis  response  or  peace-
building facility comparable in scope to the Instrument for Stability 

EN 

5 

   EN 

 
Choice of Instrument  

The Instrument for Stability addresses needs that cannot otherwise be tackled under any other 
instrument either because of (a) the urgency of the response, (b) the global or trans-regional 
nature of the problem, exceeding the scope of a geographic instrument; (c) the exclusion of 
the  supported  area  from  funding  under  ODA-bound  instruments  (e.g.,  counter-terrorism),  or 
(d)  the  non-country  specific  nature  of  the  assistance  (e.g.  projects  to  develop  international 
standards or policies in the field of conflict prevention and peace-building). 

Moreover,  it  has  demonstrated  a  catalytic  effect  in  preparing  and  improving  the  delivery  of 
EU  long-term  external  assistance  and  actions  adopted  by  the  EU  in  pursuit  of  Common 
Foreign and Security Policy objectives within the framework of Title V of the TEU 

4. 

BUDGETARY IMPLICATION  

The  Commission  proposes  to  allocate  €70  bill ion  for  the  2014-2020  period  for  the  external 
instruments2. The foreseen allocation for IfS is € 2.828,9 million for the 7 years.   

5. 

(1) 

OPTIONAL ELEMENTS 

Simplification 

A  priority  for  the  Commission  in  this  new  Regulation,  as  in  other  programmes  within  the 
context  of  the  Multiannual  Financial  Framework  (MFF),  is  to  simplify  the  regulatory 
environment  and  facilitate  the  access  of  Union  assistance  to  partner  countries  and  regions, 
civil society organisations, etc to the extent that these pursue the objectives of the Regulation. 

Simplification  will  be  delivered  through  a  clearer  delineation  and  a  reduction  of  overlaps 
between all the external instruments, so as to identify them individually with clearly defined 
policy objectives. Simplification of rules and procedures for the delivery of EU assistance is 
proposed, notably for derogation from Commitology for the adoption of a second Exceptional 
Assistance  Measure  under  Article  7  and  an  additional  new  provision  enabling  the 
Commission  to  adopt  Exceptional  Assistance  Measures  up  to  EUR  3  million  without  prior 
information to Council under the same Article.  

Furthermore,  the  revision  of  the  Financial  Regulation,  which  is  particularly  substantial  with 
regard  to  the  special  provision  on  external  actions,  will  contribute  to  facilitate  the 
participation  of  civil  society  organisations  in  funding  programmes,  for  example  by 
simplifying rules, reducing the costs of participation and accelerating award procedures The 
Commission intends to implement this Regulation using the new flexible procedures provided 
for in the new Financial Regulation. 

(2) 

Delegated Acts 

It is considered that democratic scrutiny of external aid must be improved. While the elements 
under the current IfS are kept, it is proposed that democratic scrutiny is reinforced through the 

2 

EDF,  Global  Climate  and  Biodiversity  Fund  and  Emergency  Aid  Reserve  are  additional  to  this  and 
remain outside the EU budget. 

EN 

6 

   EN 

 
                                                 
use of delegated acts in accordance with Article 290 of the Treaty for certain aspects of the 
programmes.  Provisions  detailing  assistance  under  Articles  3,  4  and  5  are  subject  to  use  of 
delegated acts. 

(3) 

Detailed explanation 

The  new  structure  of  the  Union  instruments  to  implement  external  development  assistance 
under the 2014-2020 financial perspectives is presented by the Commission's communication 
A  Budget  For  Europe  20203.  Further  information  on  the  general  objectives,  the  specific 
objectives  and  the  conditions  governing  the  implementation  of  the  financial  instrument  for 
stability are given in the financial statement annexed to the Regulation. 

3 

COM(2011) 500 of 29 June 2011 

EN 

7 

   EN 

 
                                                 
2011/0413 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing an Instrument for Stability 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Articles 209(1) and 212(2) thereof, 

Having regard to the proposal from the European Commission,  

After transmission of the draft legislative act to the national Parliaments, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

This  Regulation  constitutes  one  of  the  instruments  providing  direct  support  for  the 
European Union’s external policies. It will replace Regulation (EC) No 1717/2006 of 
the  European  Parliament  and  of  the  Council  of  15  November  2006  establishing  an 
Instrument for Stability4 which will expire on 31 December 2013. 

Preserving  peace,  preventing  conflicts,  strengthening  international  security  and 
assisting populations, countries and regions confronting natural or man-made disasters 
are among the prime objectives of the Union’s external action as defined in article 21 
of the Treaty on European Union. Crises and conflicts affecting countries world-wide 
and  other  factors  such  as  terrorism,  organised  crime,  climate  change,  cyber  security 
challenges and threats and natural disasters pose a risk to world stability and security. 
In  order  to  address  these  issues  in  an  effective  and  timely  manner,  specific  financial 
resources  and  financing  instruments  are  required  that  can  work  in  a  manner 
complementary to humanitarian aid and long-term cooperation instruments.  

Regulation (EC) No 1717/2006 was adopted with the objective of enabling the Union 
to  provide  a  consistent  and  integrated  response  to  situations  of  crisis  and  emerging 
crisis,  to  address  specific  trans-regional  security  threats  and  to  enhance  crisis 
preparedness.  This  Regulation  aims  at  introducing  a  revised  Instrument,  building  on 
the experience of the previous one, in order to increase the efficiency and coherence of 
the  Union’s  actions  in  the  areas  of  conflict  prevention  and  crisis  response,  crisis 
preparedness and peace-building and in addressing security threats, including climate 
security.  

4 

OJ L 327, 24.11.2006, p. 1–11  

EN 

8 

   EN 

 
                                                 
(4)  Measures taken under this Regulation pursue the objectives of Article 21 of the Treaty 
on European Union and Articles 208 and 212 of the Treaty on the Functioning of the 
European  Union.  They  may  be  complementary  to  and  should  be  consistent  with 
measures  adopted  by  the  Union  in  pursuit  of  Common  Foreign  and  Security  Policy 
objectives  within  the  framework  of  Title  V  of  the  Treaty  on  European  Union  and 
measures adopted within the framework of Title V of the Treaty on the Functioning of 
the  European  Union.  The  Council  and  the  Commission  should  cooperate  to  ensure 
such consistency, each in accordance with their respective powers. 

(5) 

(6) 

(7) 

(8) 

(9) 

5 
6 
7 

The  EU  Programme  for  the  Prevention  of  Violent  Conflicts5,  endorsed  by  the 
European  Council,  underlines  the  EU’s  ‘political  commitment  to  pursue  conflict 
prevention as one of the main objectives of the EU’s external relations’ and states that 
development  cooperation  instruments  can  contribute  to  this  goal  and  to  the 
development  of  the  EU  as  a  global  player.  The  Council  conclusions  on  conflict 
prevention  of  20  June  2011  have  restated  the  validity  of  this  programme  as  a  valid 
basis for further European Union action in the filed of conflict prevention. 

The  Council  Conclusions  on  Security  and  Development6  (as  well  as  the  Council 
Conclusions  on  an  EU  response  to  situations  of  fragility)  emphasise  that  the  nexus 
between development and security should inform EU strategies and policies in order to 
contribute  to  the  coherence  of  EU  external  action.  More  specifically,  the  Council 
concluded  that  future  work  on  security  and  development  should  include  the  security 
and development implications of climate change, environmental and natural resource 
management issues and migration. 

The  European  Council  approved  the  European  Security  Strategy  on  12  December 
2003 and its Implementation Report on 11 December 2008. The EU Internal Security 
Strategy  adopted  at  the  end  of  20107  also  notes  the  importance  of  cooperation  with 
third countries and regional organisations in particular for combating multiple threats 
such as trafficking in human beings, drugs trafficking and terrorism. 

The European Council Declaration on Combating Terrorism of 25 March 2004 called 
for counter-terrorism objectives to be integrated into external assistance programmes; 
the  European  Counter-Terrorism  Strategy,  adopted  by  the  Council  on  30  November 
2005,  called  for  increased counter-terrorism  cooperation  with  third  countries  and  the 
United  Nations;  and  the  Council  Conclusions  on  Enhancing  the  Links  between 
Internal  and  External  Aspects  of  Counter-terrorism  called  for  strengthening  the 
capacity  of  the  competent  authorities  involved  in  the  fight  against  terrorism  in  third 
countries in the strategic programming of the Instrument for Stability. 

Since the objectives of this Regulation cannot be sufficiently achieved by the Member 
States  and  can  therefore,  by  reason  of  the  scale  of  the  action,  be  better  achieved  at 
Union  level,  the  Union  may  adopt  measures,  in  accordance  with  the  principle  of 
subsidiarity  set  out  in  Article  5  of  the  Treaty.  In  accordance  with  the  principle  of 
proportionality, as set out in that Article, this Regulation does not go beyond what is 
necessary in order to achieve those objectives. 

Presidency conclusions, Göteborg European Council of 15-16 June 2001. 
Council document 15097/07 of 20/11/2007. 
The  EU  Internal  Security  Strategy  in  Action:  Five  steps  towards  a  secure  Europe,  COM  (2010)  673 
final dated from 22.11.2010. 

EN 

9 

   EN 

 
                                                 
(10)  While  Union  external  assistance  has  increasing  financing  needs,  the  economic  and 
budgetary situation of the Union limits the resources available for such assistance. The 
Commission must therefore seek the most efficient use of available resources through, 
in particular, the use of financial instruments with leverage effect. Such leverage effect 
is  increased  by  allowing  the  possibility  to  use  and  re-use  the  funds  invested  and 
generated by the financial instruments. 

(11) 

 In order to adapt the scope of this Regulation to the rapidly evolving reality, the power 
to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the 
European  Union  should  be  delegated  to  the  Commission  in  respect  of  the  detailed 
areas of technical and financial assistance provided in the Annexes to this Regulation, 
and to adopt additional procedures for exchanging information and cooperation. It is 
the  Commission  should  carry  out  appropriate 
of  particular 
consultations during its preparatory work, including at expert level. The Commission, 
when  preparing  and  drawing-up  delegated  acts,  should  further  ensure  timely 
transmission of relevant documents to the European Parliament and Council.  

importance 

that 

(12) 

In  order  to  ensure  uniform  conditions  for  implementation  of  this  Regulation, 
implementing powers should be conferred on the Commission.  

(13)  The implementing powers relating to programming and implementation measures laid 
down in this Regulation should be exercised in accordance with Regulation (EU) No 
182/2011  of  the  European  Parliament  and  of  the  Council  laying  down  the  rules  and 
general  principles  concerning  mechanisms  for  control  by  Member  States  of  the 
Commission’s  exercise  of  implementing  powers8.  Taking  into  account  the  nature  of 
those  implementing  acts,  in  particular  their  policy  orientation  nature  or  budgetary 
implications, the examination procedure should in principle be used for their adoption, 
except  for  measures  of  a  small  financial  scale.  The  Commission  should  adopt 
immediately applicable implementing acts where in duly justified cases relating to the 
need for a swift response from the Union, imperative grounds of urgency so require.  

(14)  Common rules and procedures for the implementation of the Union's instruments for 
external action9 are laid down in Regulation (EU, Euratom) No …/…of the European 
Parliament  and  of  the  Council  of  …10,  hereafter  referred  to  as  ‘the  Common 
Implementing Regulation’. 

(15)  The  organisation  and  functioning  of  the  European  External Action  Service are 

described in Council Decision 2010/427 EU, 

HAVE ADOPTED THIS REGULATION: 

TITLE I 

OBJECTIVES AND SCOPE 

OJ L 55, 28.2.2011, p.13. 

8 
9 
10 

EN 

10 

   EN 

 
                                                 
 
 
1. 

2. 

1. 

2. 

3. 

4. 

5. 

Article 1 

Objectives 

The Union shall undertake development cooperation measures, as well as financial, 
economic  and  technical  cooperation  measures  with  third  countries,  regional  and 
international organisations and other state and non state actors under the conditions 
set out in this Regulation. 

In  accordance  with  the  objectives  of  such  cooperation,  the  specific  aims  of  this 
Regulation shall be: 

(a) 

(b) 

(c) 

in  a  situation  of  crisis  or  emerging  crisis,  to  swiftly  contribute  to  stability  by 
providing  an  effective  response  to  help  preserve,  establish  or  re-establish  the 
conditions essential to the proper implementation of the Union's development 
and cooperation policies; 

to  prevent  conflicts,  ensure  preparedness  to  address  pre-  and  post-crisis 
situations and build peace; 

to  address  specific  global  and  trans-regional  threats  having  a  destabilising 
effect, including climate change. 

Article 2 

Coherence and complementarity of Union assistance 

The  Commission  shall  ensure  that  measures  adopted  under  this  Regulation  are 
consistent  with  the  Union's  overall  strategic  policy  framework  for  the  partner 
country,  and  in  particular  with  the  objectives  of  the  instruments  referred  to  in 
paragraph 2, as well as with other relevant Union measures. 

Measures  taken  under  this  Regulation  may  be  complementary  to,  and  shall  be 
consistent with measures adopted under Title V of the Treaty on European Union and 
Title V of the Treaty on the Functioning of the European Union. 

Union assistance under this Regulation shall be complementary to that provided for 
under related Union instruments for external assistance. It shall be provided only to 
the  extent  that  an  adequate  and  effective  response  cannot  be  provided  under  those 
instruments. 

Activities  covered  by  Regulation  (EC)  No  1257/96  of  20  June  1996  concerning 
humanitarian aid and Council Decision (EC, Euratom) No 162/2007 of 5 March 2007 
establishing  a  Civil  Protection  Financial  Instrument  and  eligible  for  funding 
thereunder may not be funded under this Regulation. 

In  order  to  enhance  the  effectiveness  and  consistency  of  Union  and  national 
assistance  measures  and  to  prevent  double-funding,  the  Commission  shall  promote 
close coordination between its own activities and those of the Member States, both at 
decision-making  level  and  on  the  ground.  To  that  end,  the  Member  States  and  the 
Commission  shall  operate  a  system  for  exchange  of  information.  If  necessary,  the 

EN 

11 

   EN 

 
 
 
Commission  may  adopt,  in  accordance  with  Article  9,  additional  procedures  for 
exchanging information and cooperation. 

Assistance in response to situations of crisis or emerging crisis to prevent conflicts 

Article 3 

Union  technical  and  financial  assistance  in  pursuit  of  the  specific  aims  set  out  in 
point  (a)  of  Article  1(2)  may  be  undertaken  in  response  to  a  situation  of  urgency, 
crisis or emerging crisis, a situation posing a threat to democracy, law and order, the 
protection of human rights and fundamental freedoms, or the security and safety of 
individuals,  or  a  situation  threatening  to  escalate  into  armed  conflict  or  severely  to 
destabilise the third country or countries concerned. Such measures may also address 
situations  where  the  Union  has  invoked  the  essential  elements  clauses  of 
international  Agreements  in  order  to  suspend,  partially  or  totally,  cooperation  with 
third countries. 

Technical and financial assistance referred to in paragraph 1 may cover the detailed 
areas  specified  in  Annex  I.  The  performance  indicator  for  assistance  shall  be  the 
percentage of projects adopted within 3 months of a crisis context. 

In  the  exceptional  and  unforeseen  situations  referred  to  in  paragraph  1,  the  Union 
may  also  provide  technical  and  financial  assistance  not  expressly  covered  by  the 
specific areas of assistance set out in paragraph 2. Such assistance shall be limited to 
Exceptional Assistance Measures as referred to in Article 7(2), which: 

(a) 

fall within the general scope and specific aims set out in Article 1(2)(a), and 

(b) 

are limited in duration to the period laid down in Article 7(2), and 

(c)  would normally be eligible under other EU instruments for external assistance 
or  the  other  components  of  this  instrument  but  which,  in  accordance  with 
Article  2,  should  be  addressed  through  crisis  or  emerging  crisis  measures 
because of the need to respond rapidly to the situation. 

Article 4 

Assistance for conflict prevention, crisis preparedness and peace-building 

The Union shall provide technical and financial assistance in pursuit of the specific 
aims  set  out  in  point  (b)  of  Article  1(2)  in  the  area  of  conflict  prevention,  crisis 
preparedness and peace-building. 

Technical and financial assistance referred to in paragraph 1 may cover the detailed 
areas specified in Annex II. The performance indicator for the assistance shall be the 
degree  to  which  recipients’  capacities  to  prevent  conflicts  address  pre-  and  post-
conflict situations and build peace have been strengthened. 

1. 

2. 

3. 

1. 

2. 

EN 

12 

   EN 

 
 
 
Article 5 

Assistance in addressing global and transregional threats 

The Union shall provide technical and financial assistance in pursuit of the specific aims set 
out in point (c) of Article 1(2) in the detailed areas specified in Annex III. The performance 
indicator for the assistance shall be the degree of alignment with relevant EU external security 
policy, including the external dimension of internal security. 

EN 

13 

   EN 

 
 
TITLE II 

PROGRAMMING AND IMPLEMENTATION 

Article 6 

General framework for programming and implementation 

1. 

(a) 

(b) 

(c) 

(d) 

1. 

2. 

3. 

4. 

5. 

Union  assistance  shall  be 
the  Common 
Implementing  Regulation  and  through  the  following  programming  documents  and 
financial implementation measures: 

in  accordance  with 

implemented 

Thematic Strategy Papers and Multiannual Indicative Programmes; 

Exceptional Assistance Measures and Interim Response Programmes; 

Annual Action Programmes and Individual Measures; 

Special Measures. 

Article 7 

Exceptional Assistance Measures and Interim Response Programmes 

Union assistance under Article 3 shall be carried out through Exceptional Assistance 
Measures and through Interim Response Programmes. 

The Commission may adopt Exceptional Assistance Measures in a situation of crisis 
as referred to in Article 3(1), as well as in exceptional and unforeseen situations as 
referred to in Article 3(3), where the effectiveness of the measures is dependent on 
rapid  or  flexible  implementation.  Such  measures  may  have  duration  of  up  to  18 
months. Measures may be extended twice in duration by a further six months (up to 
maximum  of  30  months)  in  the  case  of  objective  and  unforeseen  obstacles  to  their 
implementation, provided that the financial amount of the measure does not increase. 
In  cases  of  protracted  crisis  and  conflict,  the  Commission  may  adopt  a  second 
Exceptional Assistance Measure. 

Where  an  Exceptional  Assistance  Measure  is  costing  more  than  EUR 30 000 000, 
that measure shall be adopted in accordance with the examination procedure referred 
to in Article 15 (3) of the Common Implementing Regulation. 

The  Commission  may  adopt  Interim  Response  Programmes  in  accordance  with  the 
same procedure with a view to establishing or re-establishing the essential conditions 
necessary  for  the  effective  implementation  of  the  Union's  external  cooperation 
policies.  Interim  Response  Programmes  shall  build  on  Exceptional  Assistance 
Measures.  

Before  adopting  or  renewing  Exceptional  Assistance  Measures  costing  up  to 
EUR 30 000 000, the Commission shall inform the Council of their nature, objectives 
and  the  financial  amounts  envisaged.  The  Commission  shall  likewise  inform  the 

EN 

14 

   EN 

 
 
 
Council  before  making  significant  substantive  changes  to  Exceptional  Assistance 
Measures already adopted. It shall take account of the relevant policy approach of the 
Council both in its planning and subsequent implementation of such measures, in the 
interest of the coherence of EU external action.  

However,  in  exceptional  situations  of  urgency  referred  to  Article  3(1),  the 
Commission  may  adopt  Exceptional  Assistance  Measures  costing  up 
to 
EUR 3 000 000 without prior information to the Council. 

As early as possible following the adoption of Exceptional Assistance Measures, and 
in  any  case  within  seven  months  of  doing  so,  the  Commission  shall  report  to  the 
Council and to the European Parliament by giving an overview of the nature of the 
measure adopted and its context.  

The  Commission  shall  keep  the  European  Parliament  regularly  informed  about  its 
planning of Union assistance under Article 3.  

Article 8 

Thematic Strategy Papers and Multiannual Indicative Programmes 

Thematic Strategy Papers shall constitute the general basis for the implementation of 
assistance  under  Article  4  and  5.  Thematic  Strategy  Papers  shall  provide  a 
framework  for  cooperation  between  the  Union  and  the  partner  country  or  regions 
concerned, consistent with the overall purpose and scope, objectives, principles and 
policy of the Union.  

The  preparation  and  implementation  of  Thematic  Strategy  papers  shall  implement 
the principles of aid effectiveness: partnership, coordination, and harmonisation. To 
that end, Thematic Strategy Papers shall be consistent with, and avoid duplication of 
programming  documents  approved  or  adopted  under  other  Union  instruments  for 
external  assistance.  Thematic  Strategy  Papers  shall,  in  principle,  be  based  on  a 
dialogue  of  the  EU  and,  where  appropriate,  the  relevant  Member  States,  with  the 
partner  country  or  regions  concerned  involving  civil  society  and  regional  and  local 
authorities,  so  as  to  ensure  that  the  country  or  regions  concerned  takes  sufficient 
ownership of the process. The Union and its Member States shall consult each other 
at  an  early  stage  of  the  programming  process  in  order  to  promote  consistency  and 
complementarity among their cooperation activities.  

Each  Thematic  Strategy  Paper  shall  be  accompanied  by  a  Multiannual  Indicative 
Programme summarising the priority areas selected for Union financing, the specific 
objectives,  the  expected  results  and  timeframe  of  Union  support.  The  Multiannual 
Indicative  Programmes  shall  determine  the  indicative  financial  allocations  for  each 
programme taking into account the needs and the particular difficulties of the partner 
countries or regions concerned. The financial allocations may be given in the form of 
a range where necessary. 

Thematic Strategy Papers shall be approved and Multiannual Indicative Programmes 
shall be adopted by the Commission in accordance with the examination procedure 
referred  to  in  Article  15  (3)  of  the  Common  Implementing  Regulation.  This 

6. 

7. 

8. 

1. 

2. 

3. 

4. 

EN 

15 

   EN 

 
 
5. 

6. 

procedure shall also apply to substantial reviews which have the effect of modifying 
significantly the strategy or its programming. 

The  examination  procedure  referred  to  in  paragraph  4  shall  not  apply  to  non-
substantial  modifications  to  Thematic  Strategy  Papers  and  Multiannual  Indicative 
Programmes,  making  technical  adjustments,  reassigning  funds  within  the  indicative 
allocations  per  priority  area,  or  increasing  or  decreasing  the  size  of  the  initial 
indicative  allocation  by  less  than  20%,  provided  that  these  modifications  do  not 
affect  the  priority  areas  and  objectives  set  out  in  these  documents.  In  such  case, 
adjustments  shall  be  communicated  to  the  European  Parliament  and  to  the  Council 
within one month. 

The  urgency  procedure  referred  in  Article  15(4)  of  the  Common  Implementing 
Regulation may be applied for modifying Thematic Strategy Papers and Multiannual 
Indicative Programmes where, on duly justified imperative grounds of emergency, a 
swift response from the Union is required. 

TITLE III 

FINAL PROVISIONS 

Article 9 

Delegation of powers to the Commission 

The Commission shall be empowered to adopt delegated acts in accordance with Article 10 to 
amend  or  supplement  Annexes  I,  II  and  III  to  this  Regulation,  and  to  adopt  additional 
procedures for exchanging information and cooperation.  

Article 10 

Exercise of the delegation 

1. 

2. 

3. 

4. 

The delegation of powers referred to in Article 9 shall be conferred for the period of 
validity of this Regulation. 

The delegation of powers may be revoked at any time by the European Parliament or 
by the Council. A decision of revocation shall put an end to the delegation of power 
specified in that decision. It shall take effect the day following the publication of the 
decision  in  the  Official  Journal  of  the  European  Union  or  at  a  later  date  specified 
therein. It shall not affect the validity of any delegated acts already in force. 

As soon as it adopts a delegated act, the Commission shall notify it simultaneously to 
the European Parliament and the Council. 

A delegated act adopted shall enter into force only if no objection has been expressed 
either  by  the  European  Parliament  or  the  Council  within  a  period  of  2  months  of 
notification  of  the  act  to  the  European  Parliament  and  the  Council  or  if,  before  the 
expiry of that period, the European Parliament and the Council have both informed 

EN 

16 

   EN 

 
 
 
the Commission that they will not object. That period shall be extended by 2 months 
at the initiative of the European Parliament or the Council. 

Article 11 

Committee  

The Commission shall be assisted by the Instrument for Stability Committee. That Committee 
shall be a committee within the meaning of Regulation (EU) No 182/2011. 

Article 12 

European External Action Service 

The  application  of  this  Regulation  shall  be  in  accordance  with  Council  Decision  2010/427 
EU, establishing the organisation and functioning of the European External Action Service. 

Article 13 

Financial reference amount 

The financial envelope for implementation of this Regulation over the period 2014 to 2020 is 
EUR 2 828 900 000.  Annual  appropriations  shall  be  authorised  by  the  budgetary  authority 
within the limits of the financial framework. 

In  the  period  2014  to  2020  at  least  65  percentage  points  of  the  financial  envelope  shall  be 
allocated to measures falling under Article 3. 

Article 14 

Entry into force 

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

It shall apply from 1 January 2014. 

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

Done at Brussels, 

For the European Parliament 
The President 

For the Council 
The President 

EN 

17 

   EN 

 
 
 
 
 
ANNEX I  

Areas of technical and financial assistance as referred to in Article 3 

Technical  and  financial  assistance  as  referred  to  in  paragraph  2  of  Article  3  shall  cover  the 
following areas: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

support,  through  the  provision  of  technical  and  logistical  assistance,  for  the  efforts 
undertaken by international and regional organisations, state and non-state actors in 
promoting confidence-building, mediation, dialogue and reconciliation; 

support  for  the  establishment  and  the  functioning  of  interim  administrations 
mandated in accordance with international law; 

support  for  the  development  of  democratic,  pluralistic  state  institutions,  including 
measures  to  enhance  the  role  of  women  in  such  institutions,  effective  civilian 
administration  and  related  legal  frameworks  at  national  and  local  level,  an 
independent  judiciary,  good  governance  and  law  and  order,  including  non-military 
technical  cooperation  to  strengthen  overall  civilian  control,  and  oversight  over  the 
security  system  and  measures  to  strengthen  the  capacity  of  law  enforcement  and 
judicial  authorities  involved  in  the  fight  against  terrorism,  organised  crime  and  all 
forms of illicit trafficking; 

support  for  international  criminal  tribunals  and  ad  hoc  national  tribunals,  truth  and 
reconciliation commissions, and mechanisms for the legal settlement of human rights 
claims  and  the  assertion  and  adjudication  of  property  rights,  established  in 
accordance with international human rights and rule of law standards; 

support  for  measures  necessary  to  start  the  rehabilitation  and  reconstruction  of  key 
infrastructure,  housing,  public  buildings  and  economic  assets,  as  well  as  essential 
productive capacity, as well as other measures for the re-starting of economic activity 
and the generation of employment and the establishment of the minimum conditions 
necessary for sustainable social development; 

support  for  civilian  measures  related  to  the  demobilisation  and  reintegration  of 
former combatants into civil society, and where appropriate their repatriation, as well 
as measures to address the situation of child soldiers and female combatants; 

support  for  measures  to  mitigate  the  social  effects  of  restructuring  of  the  armed 
forces; 

support for measures to address, within the framework of Union cooperation policies 
and  their  objectives,  the  socio-economic  impact  on  the  civilian  population  of  anti-
personnel  landmines, unexploded ordnance or explosive remnants of  war; activities 
financed  under  this  Regulation  shall  cover  risk  education,  victim  assistance,  mine 
detection and clearance and, in conjunction therewith, stockpile destruction; 

support for measures to combat, within the framework of Union cooperation policies 
and  their  objectives,  the  illicit  use  of  and  access  to  firearms,  small  arms  and  light 
weapons; such support could also include survey activities, victim assistance, raising 

EN 

18 

   EN 

 
(j) 

(k) 

(l) 

(m) 

(n) 

(o) 

(p) 

public awareness and the development of legal and administrative expertise and good 
practice; 

support  for  measures  to  ensure  that  the  specific  needs  of  women  and  children  in 
crisis and conflict situations, including their exposure to gender-based violence, are 
adequately met; 

support  for  the  rehabilitation  and  reintegration  of  the  victims  of  armed  conflict, 
including measures to address the specific needs of women and children; 

support  for  measures  to  promote  and  defend  respect  for  human  rights  and 
fundamental freedoms, democracy and the rule of law, and the related international 
instruments; 

support for socio-economic measures to promote equitable access to and transparent 
management of natural resources in a situation of crisis or emerging crisis; 

support  for  socio-economic  measures  to  address  the  impact  of  sudden  population 
movements,  including  measures  addressing  the  needs  of  host  communities  in  a 
situation of crisis or emerging crisis; 

support  for  measures  to  support  the  development  and  organisation  of  civil  society 
and its participation in the political process, including measures to enhance the role 
of  women  in  such  processes  and  measures  to  promote  independent,  pluralist  and 
professional media; 

support  for  measures  in  response  to  natural  or  man-made  disasters  and  threats  to 
public  health  in  the  absence  of,  or  to  complement,  Union  humanitarian  and  civil 
protection assistance in accordance with Article 2. 

EN 

19 

   EN 

 
ANNEX II  

Areas of technical and financial assistance as referred to in Article 4 

Technical  and  financial  assistance  referred  to  in  Article  4  may  cover  support  for  measures 
aimed at building and strengthening the capacity of the EU and its partners to prevent conflict, 
build  peace  and  address  pre-  and  post-crisis  needs  in  close  coordination  with  international, 
regional and sub-regional organisations, state and non-state actors  in relation to their efforts 
in: 

(a) 

(b) 

(c) 

(d) 

promoting early warning, and confidence-sensitive risk analysis in policy making; 

facilitating  confidence-building,  mediation  and  reconciliation  with  particular  regard 
to emerging inter-community tensions; 

strengthening capacities to participate in civilian stabilization missions; 

improving post-conflict and post-disaster recovery. 

Measures under this point shall include know-how transfer, the exchange of information and 
best  practices,  risk/threat  assessment,  research  and  analysis,  early  warning  systems,  training 
and  service  delivery.  Measures  may  also  include  financial  and  technical  assistance  for  the 
implementation of peace building and state building support actions. 

EN 

20 

   EN 

 
ANNEX III 

Areas of technical and financial assistance as referred to in Article 5 

Technical and financial assistance as referred to in Article 5 shall cover the following areas: 

1. 

threats  to  law  and  order,  to  the  security  and  safety  of  individuals,  to  critical 
infrastructure and to public health; 

assistance may cover support for measures aimed at: 

(a) 

strengthening  the  capacity  of  law  enforcement  and  judicial  and  civil 
authorities involved in the fight against terrorism, organised crime and all 
forms of illicit trafficking and in the effective control of illegal trade and 
transit. 

Priority  shall  be  given  to  trans-regional  cooperation  involving  two  or 
more  third  countries  which  have  demonstrated  a  clear  political  will  to 
address  these  problems.  Cooperation  in  the  fight  against  terrorism  may 
also  be  conducted  with  individual  countries,  regions  or  international, 
regional and sub-regional organisations 

Measures in this area shall place particular emphasis on good governance 
and  shall  be  in  accordance  with  international  law,  in  particular  human 
rights law and international humanitarian law. 

With  regard  to  assistance  to  authorities  involved  in  the  fight  against 
terrorism, priority shall be given to supporting measures concerning the 
development  and  strengthening  of  counter-terrorism  legislation,  the 
implementation  and  practice  of  financial  law,  of  customs  law  and  of 
immigration  law,  the  development  of  law  enforcement  procedures 
aligned  with  the  highest  international  standards,  the  strengthening  of 
democratic  control  and  institutional  oversight  mechanisms,  and  the 
prevention of radicalism. 

With regard to assistance relating to the problem of drugs, due attention 
shall  be  given  to  international  cooperation  aimed  at  promoting  best 
practices relating to the reduction of demand, production and harm; 

(b) 

threats 

to  critical 

addressing 
include 
international  transport,  including  passenger  and  freight  traffic,  energy 
information  and 
operations  and  energy  distribution,  electronic 
communication networks. 

infrastructure,  which  may 

Measures  adopted  in  this  area  shall  place  particular  emphasis  on  trans-
regional cooperation and the implementation of international standards in 
the 
risk  awareness,  vulnerability  analysis,  emergency 
preparedness, alert and consequence management; 

fields  of 

(c) 

ensuring an adequate response to major threats to public health, including 
sudden epidemics with a potential trans-national impact. 

EN 

21 

   EN 

 
Particular emphasis shall be placed on emergency-planning, management 
of vaccine and pharmaceutical stockpiles, international cooperation, early 
warning and alert systems; 

(d) 

addressing  global  and  trans-regional  effects  of  climate  change  with  a 
potentially destabilising impact  

2. 

mitigation  of  and  preparedness  against  risks,  either  of  an  intentional,  accidental  or 
natural  origin,  related  to  chemical,  biological,  radiological  and  nuclear  materials  or 
agents; 

assistance may cover support for measures aimed at: 

(a) 

the promotion of civilian research activities as an alternative to defence-
related  research;  support  and  awareness  (e.g.  awareness-raising  on 
information  sensitivity)  for  scientists  as  well  as  for  the  retraining  and 
alternative employment of scientists and engineers formerly employed in 
weapons-related  areas  (e.g.  de-militarisation  of  scientific  programmes, 
separation of military and civilian nuclear fuel cycles); 

(b) 

enhancing  safety  practices  related  to  civilian  facilities  where  sensitive 
chemical,  biological,  radiological  and  nuclear  materials  or  agents  are 
stored, or are handled in the context of civilian research programmes; 

(c)  within the framework of Union cooperation policies and their objectives, 
the  establishment  of  civil  infrastructure  and  relevant  civilian  studies 
necessary for the dismantlement, remediation or conversion of weapons-
related  facilities  and  sites  where  these  are  declared  as  no  longer 
belonging to a defence programme; 

(d) 

(e) 

(f) 

(g) 

strengthening the capacity of the competent civilian authorities involved 
in  the  development  and  enforcement  of  effective  control  of  illicit 
trafficking in chemical, biological, radiological and nuclear materials or 
agents  (including  the  equipment  for  their  production  or  delivery), 
including  through  the  installation  of  modern  logistical  evaluation  and 
control equipment; 

the  development  of  the  legal  framework  and  institutional  capacities  for 
the  establishment  and  enforcement  of  effective  export  controls  on  dual-
use goods, including regional cooperation measures; 

the  development  of  effective  civilian  disaster-preparedness,  emergency-
planning,  crisis  response,  and  capabilities  for  clean-up  measures  in 
relation to possible major environmental incidents in this field; 

as  regards  the  measures  covered  by  points  (b)  and  (d),  particular 
emphasis  shall  be  placed  on  assistance  to  those  regions  or  countries 
where  stockpiles  of  materials  or  agents  referred  to  in  points  (b)  and  (d) 
still  exist  and  where  there  is  a  risk  of  proliferation  of  such  materials  or 
agents. 

EN 

22 

   EN 

 
LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative  

1.2.  Policy area(s) concerned in the ABM/ABB structure 

1.3.  Nature of the proposal/initiative  

1.4.  Objective(s)  

1.5.  Grounds for the proposal/initiative  

1.6.  Duration and financial impact  

1.7.  Management method(s) envisaged  

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

2.2.  Management and control system  

2.3.  Measures to prevent fraud and irregularities  

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1.  Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected  

3.2.  Estimated impact on expenditure  

3.2.1. Summary of estimated impact on expenditure  

3.2.2. Estimated impact on operational appropriations  

3.2.3. Estimated impact on appropriations of an administrative nature 

3.2.4. Compatibility with the current multiannual financial framework 

3.2.5. Third-party participation in financing  

3.3.  Estimated impact on revenue

EN 

23 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE 

1.1. 

Title of the proposal/initiative  

Proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council  establishing  an 
Instrument for Stability  

1.2. 

Policy area(s) concerned in the ABM/ABB structure11  

Title 19: External relations 

Activity 19 06 : Crisis response and global threats to security  

The  title  of  this  budget  chapter  19  06  corresponds  to  the  current  structure  of  the  financial 
instruments 2007-2013. It is proposed to keep the same activity and title 19 06  

1.3. 

Nature of the proposal/initiative  

(cid:133) The proposal/initiative relates to a new action  

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action12  

⌧ The proposal/initiative relates to the extension of an existing action  

(cid:133) The proposal/initiative relates to an action redirected towards a new action  

1.4. 

Objectives 

1.4.1.  The Commission's multiannual strategic objective(s) targeted by the proposal/initiative  

This  financing  instrument  aims  to  support  the  following  strategic  objective  as  stated  in  the 
Commission’s  Communication  “A  budget  for  Europe  2020  –  Part  II”  of  29  June  2011 
(COM/2011/500 - Budget for Europe 2020 - Part II. Policy Fiche “External Action”, p. 43): 

“Improving  crisis  prevention  and  resolution,  EU  action  on  crisis  prevention  and  resolution, 
preserving peace and strengthening international security, including enhancing EU capacities 
for crisis preparedness will be increased “.  

Furthermore, it responds to the general indication given in relation to all external instruments 
in  the  June  Communication  referred  to  above  (p.19)  which  proposed  that  “new  instruments 
allow the EU to respond rapidly and effectively to man-made and natural disasters”  

11 
12 

ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 

EN 

24 

   EN 

 
                                                 
1.4.2. 

Specific objective(s) and ABM/ABB activity(ies) concerned initiative  

Specific objective No 1 .. 

In  situations  of  crisis  or  emerging  crisis  either  man-made  or  as  a  result  of  a  natural 
disaster,  to  contribute  to  stability  by  providing  an  effective  response  to  help  preserve, 
establish or re-establish the conditions essential to the proper implementation of the Union’s 
development and cooperation policies. 

Specific objective No 2 .. 

to  help  strengthen  capacity  to  ensure  the  preparedness  of  the  EU  and  its  partners  to 
prevent  conflicts,  build  peace  and  address  pre-  and  post-crisis  situations  in  close 
coordination  with  international,  regional  and  sub-regional  organisations,  state  and  non  state 
actors. 

Specific objective No 3 .. 

to address global and trans-regional security threats that pose a risk to peace and stability.  

ABM/ABB activity(ies) concerned 

19.06 : Crisis response and global threats to security 

1.4.3.  Expected result(s) and impact 

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted. 

– 

– 

– 

– 

To  contribute  to  a  EU  comprehensive  response  to  address  situations  of  fragility  and 
instability,  e.g.  emerging  crises,  natural  disasters,  with  targeted  and  complementary 
measures under the IfS crisis response.  

To  enhance  EU’s  capacity  to  effectively  contribute  to  multilateral  and  international 
efforts for global conflict prevention and resolution. 

To support conflict prevention and peace-building with a view to reduce the number of 
armed  conflicts  worldwide  and  diminish  the  number  of  countries  that  relapse  into 
conflict. 

To address global and trans-regional threats complementary with other EU instruments 
and  international  actors,  through  capacity  building  aimed  at  better  integration  of 
beneficiaries  in  the  international  community.  (including  development  of  networks, 
improved capacity to collect and exchange information, support to regional cooperation 
and platforms).  

1.4.4. 

Indicators of results and impact 

Specify the indicators for monitoring implementation of the proposal/initiative. 

EN 

25 

   EN 

 
– 

– 

– 

In  situations  of  crisis  or  emerging  crisis,  the  percentage  of  projects  adopted  within  3 
months of a crisis context enabling the EU to efficiently contribute to their prevention, 
resolution or stabilization. 

The strengthened capacity of recipients of assistance to prevent conflicts, to address pre-
and post-conflict situations and to build peace. 

The  degree  of  alignment  with  relevant  EU  external  security  policy,  including  the 
external dimension of internal security 

1.4.5.  Requirement(s) to be met in the short or long term 

Section  1  of  the  Explanatory  Memorandum  outlines  the  policy  requirements  which  the 
Instrument aims to meet within a context of evolving political guidance. Taking into account 
the specific nature and context of crisis preparedness and response measures as well as those 
addressing global and transnational security threats, requirements to be met will be both short 
and long-term.  

1.4.6.  Added value of EU involvement 

As a global player, the EU has credibility and a perception of neutrality as an honest broker 
that provides a competitive advantage to intervene in many conflict areas to avoid escalation 
or to offer good offices in preventing conflict. An increased level of impact is achieved when 
the  response  is  provided  at  EU  level,  as  combined  efforts  provide  increased  leverage  over 
authorities  and  international  partners. Crisis  response  actions when  addressed  at  EU  level, 
maximise the  coherence  of response  and  aid  efficiency.  Synergies  and  cooperation  are 
increasingly  needed  at  international  level,  as  donors  are  facing  similar  problems  in  terms  of 
scarce resources. In this regard, it should be noted that a very limited number of EU Member 
States  operate  a  crisis  response  or  peace-building  facility  comparable  in  scope  to  the 
Instrument for Stability 

In the face of increasingly complex challenges, none of the EU's internal priorities – security, 
growth  and  job  creation,  climate  change,  access  to  energy,  health  and  pandemics  and 
migration - will be achieved in isolation from the wider world. In times of economic crisis, a 
more  coordinated  and  integrated  approach  between  the  EU  and  its  Member  States  through 
joint programming will bring about more added-value, increased strength and legitimacy, and 
more impact and effectiveness 

The  Instrument  for  Stability  2007-13  has  demonstrated  a  catalytic  effect  in  preparing  and 
improving the delivery of EU long-term external assistance and actions adopted by the EU in 
pursuit of Common Foreign and Security Policy objectives within the framework of Title V of 
the TEU 

1.4.7.  Lessons learned from similar experiences in the past  

Four years after its launch in 2007, the Instrument for Stability is now well established as a 
highly complementary EU crisis response tool.  

EN 

26 

   EN 

 
To date, it has been successful in enabling the EU to fund a broad range of critical conflict-
prevention,  crisis  preparedness  and  response  initiatives  as  part  of  its  peace,  security  and 
development policy framework, when no other EU cooperation instruments was available or 
complementing interventions carried out under other instruments. However, it needs to speed 
up  its  deployment  and  increase  its  overall  programming  and  implementation  flexibility  in 
order to better respond to, inter alia,  political  guidance  from  Council  and  meet  future  peace 
and security challenges in a sustainable manner. 

The  maximum  amount  set  under  the  Regulation  for  actions  in  relation  to  threats  to  law  and 
order,  to  the  security  and  safety  of  individuals,  to  critical  infrastructure  and  to  public  health 
has also proven insufficient. Ceilings in relation to global threats to security (including as well 
risk  mitigation  and  preparedness  measures  relating  to  chemical,  biological,  radiological  and 
nuclear materials or agents) should be reviewed in line with the Commission proposal in the 
framework of the 2009 Mid-Term Review of the Regulation to have the flexibility to respond 
to evolving threats in an adequate manner. 

1.4.8.  Coherence and possible synergy with other relevant instruments 

The Treaty  on  the  European  Union  (Article  21)  has  defined  common  overarching  objectives 
for  the  external  action  of  the  Union  inter  alia  to  “preserve  peace,  prevent  conflict  and 
strengthen  international  security”.  The  Instrument  for  Stability  will  support  EU  action  to 
strengthen  security,  preserve  peace  and  prevent  conflict,  and  as  with  all  EU  external 
cooperation  instruments,  safeguard  EU  values,  notably  human  rights  and  democracy.  It  will 
contribute to a complementary and coherent EU response to crisis, and in this framework, will 
be  available  for  deployment  alongside  CFSP  operations,  the  provision  of  Humanitarian  Aid 
and  Civil  Protection  assistance,  Macro-Financial  Assistance  and  the  Instrument  for  Nuclear 
Safety Cooperation. It will equally contribute to conflict prevention, peace-building and state-
building in synergy with mainstream EU geographic instruments (ENI, DCI, EDF, IPA) and 
thematic  instruments  such  as  the  European  Instrument  for  Democracy  and  Human  Rights 
(EIDHR).  Following  political  crisis  or  natural  disasters,  it  could  be  called  to  intervene  inter 
alia to finance actions that link humanitarian assistance and development aid (Linking Relief 
Rehabilitation  and  Development  or  LRRD)  in  a  subsidiary  manner,  i.e.  whenever  the  main 
geographical  or  thematic  instruments  cannot  be  mobilised  in  good  time  or  require 
complementary interventions to provide an efficient response 

Obvious  links  exist  between  EU  external  action  on  crisis  response  and  prevention  and  on 
addressing global security threats with internal EU policies on migration, justice, freedom and 
security. The Council Conclusions on enhancing links between Internal and External Aspects 
of Counter-Terrorism of 9 June 2011 is of particular relevance alongside the Working Method 
for  Closer  Cooperation  and  Coordination  in  the  Field  of  External  Security  of  6  June  2011. 
Considering  that  many  trans-regional  threats  and  risks  are  also  top  EU  external  security 
priorities,  the  Instrument  would  also  contribute  to  the  implementation  of  the  European 
Security Strategy (as revised in 2008) and to addressing the “external dimension” of the EU’s 
Internal  Security  Strategy  (2010).  Natural  disasters,  environmental  degradation  and 
competition  for  resources  exacerbate  conflict,  especially  in  situations  of  poverty  and 
population  growth,  with  humanitarian,  health,  political  and  security  consequences,  including 
greater migration.  

EN 

27 

   EN 

 
1.5. 

Duration and financial impact  

⌧ Proposal/initiative of limited duration  

–  ⌧ Proposal/initiative in effect from 01/01/2014 to 31/12/2020  

–  ⌧ Financial impact from 01/01/2014 to 31/12/2020  

–  (cid:133) Proposal/initiative of unlimited duration 

–  Implementation with a start-up period from YYYY to YYYY, 

–  followed by full-scale operation. 

1.6.  Management mode(s) envisaged13  

⌧ Centralised direct management by the Commission  

⌧ Centralised indirect management with the delegation of implementation tasks to: 

–  ⌧ executive agencies  

–  ⌧ bodies set up by the Communities14  

–  ⌧ national public-sector bodies/bodies with public-service mission  

–  ⌧ persons entrusted with the implementation of specific actions pursuant to Title V of the 
Treaty  on  European  Union  and  identified  in  the  relevant  basic  act  within  the  meaning  of 
Article 49 of the Financial Regulation  

(cid:133) Shared management with the Member States  

⌧ Decentralised management with third countries  

⌧ Joint management with international organisations (to be specified) 

If more than one management mode is indicated, please provide details in the "Comments" section. 

Comments  

The  specific  nature  of  the  Instrument  to  respond  to  crisis  and  conflicts  as  well  as  to  enhance  crisis 
preparedness  actions  as  well  as  to  address  global  and  transnational  security-threats  requires  it  have 
recourse to the maximum range of management modes. 

13 

14 

Details  of  management  modes  and  references  to  the  Financial  Regulation  may  be  found  on  the  BudgWeb  site: 
http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html 
As referred to in Article 185 of the Financial Regulation. 

EN 

28 

   EN 

 
                                                 
2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

The European Commission's Monitoring and Evaluation systems are increasingly focussed on results. 
They involve internal staff as well as external expertise. 

Task Managers in Delegations and Headquarters continuously monitor the implementation of projects 
and programmes in various ways, including wherever possible through field visits. Monitoring provides 
valuable information on progress; it helps managers to identify actual and potential bottlenecks, and to 
take corrective action. 

External, independent experts are contracted to assess the performance of EU external actions through 
three  different  systems.  These  assessments  contribute  to  accountability,  and  to  the  improvement  of 
ongoing  interventions;  they  also  draw  lessons  from  past  experience  to  inform  future  policies  and 
actions.  The  tools  all  use  the  internationally-recognised  OECD-DAC  evaluation  criteria  including 
(potential) impact. 

Firstly,  at  the  project  level,  the  Headquarters-managed  Results  Oriented  Monitoring  (ROM)  system 
provides a brief, focused snapshot of the quality of a sample of interventions. Using a highly structured, 
standardised  methodology,  independent  ROM  experts  attribute  grades  which  highlight  the  strengths 
and weaknesses of the project and give recommendations on how to improve effectiveness.  

Project-level evaluations, which are managed by the EU Delegation in charge of the project, deliver a 
more  detailed,  in  depth  analysis  and  help  project  managers  to  improve  ongoing  interventions  and 
prepare future ones. External, independent experts with thematic and geographic expertise are hired to 
conduct  the  analysis  and  gather  feedback  and  evidence  from  all  stakeholders,  not  least  the  final 
beneficiaries. 

The Commission also conducts strategic evaluations of its policies, from programming and strategy to 
the implementation of interventions in a specific sector (such as health, education etc), in a country or 
region,  or  of  a  specific  instrument.  These  evaluations  are  an  important  input  to  the  formulation  of 
policies  and  the  design  of  instruments  and  projects.  These  evaluations  are  all  published  on  the 
Commission's website and a summary of the findings is included in the Annual Report to the Council 
and the European Parliament. 

Specific information on the amount of climate related expenditure,  calculated  in accordance with the 
Rio markers based methodology, as specified in the June 2011 MFF Communication, will be included 
at the level of the budget expenditure lines for the IFS as included in the ABB/ABM annual activity 
statements, throughout the programming documents, as well as within the evaluations at all levels and 
in the annual reports.  

2.2.  Management and control system  

2.2.1.  Risk(s) identified 

Risk environment  

EN 

29 

   EN 

 
The  operational  environment  of  aid  under  this  instrument  is  characterised  by  the  following 
risks of not achieving the instrument's objectives, suboptimal financial management and/or of 
not complying with the applicable rules (legality and regularity errors): 

– 

– 

– 

– 

– 

economic/political instability and/or natural disaster may lead to difficulties and delays 
in the design and implementation of interventions, particularly in fragile states;  

a  lack  of  institutional  and  administrative  capacity  in  partner  countries  may  lead  to 
difficulties and delays in the design and implementation of interventions;  

geographically  dispersed  projects  and  programmes  (covering  approximately  many 
states/territories/regions)  may  pose  logistical/resource  challenges  to  monitoring  - 
particularly any 'on-the-spot' follow-up of activities; 

diversity of potential partners / beneficiaries with their diverse internal control structures 
and capacities can fragment and therefore reduce the effectiveness and efficiency of the 
Commission's available resources to support and monitor implementation; 

poor quality and quantity of available data on the outcomes and impact of external aid / 
national  development  plan  implementation  in  partner  countries  may  hinder  the 
Commission's ability to report on and be accountable for results; 

Expected level of risk of non-compliance with applicable rules 

The  compliance  objective  for  the  instrument  is  to  maintain  the  historic  level  of  risk  of  non-
compliance (error rate) for FPI/DEVCO portfolio which is a residual 'net' level of error (on a 
multi-annual  basis  after  all  planned  controls  and  corrections  have  been  executed  on  closed 
contracts) of less than 2%. This has traditionally implied an estimated error range of 2-5% in 
terms  of  an  annual  randomised  sample  of  transactions  undertaken  by  the  European  Court  of 
Auditors  for  the  purposes  of  the  annual  Statement  of  Assurance  (DAS).  FPI/DEVCO 
considers  this  to  be  the  lowest  risk  of  non  compliance  achievable  in  relation  to  its  high  risk 
environment  and  taking  into  account  the  administrative  burden  and  necessary  cost 
effectiveness of compliance controls.  

2.2.2.  Control method(s) envisaged  

FPI/DEVCO Internal Control architecture 

FPI/DEVCO's  internal  control  /  management  process  is  designed  to  provide  reasonable 
assurance  regarding  the  achievement  of  objectives  in  the  effectiveness  and  efficiency  of  its 
operations, the reliability of its financial reporting and compliance with the relevant legislative 
and procedural framework. 

Effectiveness and efficiency 

To ensure the effectiveness and efficiency of its operations (and to mitigate the high level of 
risk in its external aid environment), in addition to all the elements of the Commission wide 
Strategic  Policy  and  Planning  process,  internal  audit  environment  and  other  requirements  of 

EN 

30 

   EN 

 
the Commission's Internal Control Standards, FPI/DEVCO will continue to have a tailored aid 
management framework in operation under all its instruments which will include: 

– 

– 

– 

– 

– 

– 

– 

– 

A devolved management of the majority of external aid by EU delegations in the field. 

Clear  and  formalised  lines  of  financial  accountability  (from  the  Delegated  Authorising 
officer) by means of a subdelegation to the Head of Delegation (for FPI); 

Clear  and  formalised  lines  of  financial  accountability  (from  the  Delegated  Authorising 
officer  (Director  General))  by  means  of  a  subdelegation  from  the  Subdelegated 
Authorising Officer (Director) at HQ to the Head of Delegation (for DEVCO); 

Regular  reporting  from  EU  Delegations  to  HQ  (External  Assistance  Management 
Reports  for  DEVCO)  including  an  annual  Statement  of  Assurance  by  the  Head  of 
Delegation; 

Provision of a substantial programme of training for staff both at HQ and in delegation, 

Significant HQ/Delegation support and guidance (including via internet); 

Regular 'verification' visits to 'devolved' delegations every 3 to 6 years; 

A project and programme cycle management methodology including:  

–  Where appropriate, quality support tools for the design of the intervention, its delivery 
method,  financing  mechanism,  management  system,  assessment  and  selection  of  any 
implementing partners, etc. 

– 

– 

Programme  and  project  management,  monitoring  and  reporting  tools  for  effective 
implementation including regular external on-the-spot monitoring of projects. 

Significant evaluation and audit components. 

Financial Reporting and Accounting 

FPI/DEVCO  will  continue  to  pursue  the  highest  standards  of  accounting  and  financial 
reporting  using  the  Commission's  accruals  based  accounting  system  (ABAC)  as  well  as 
external aid specific tools such as the Common Relex Information System (CRIS).  

In relation to compliance with the relevant legislative and procedural framework, compliance 
control methods are set out in section 2.2 (measures to prevent fraud and irregularities) 

2.3.  Measures to prevent fraud and irregularities 

Specify existing or envisaged prevention and protection measures. 

Given  the  high  risk  environment  in  which  FPI/EuropeAid  operate,  their  systems  need  to  anticipate  a 
significant occurrence of potential compliance errors (irregularities) in transactions and build in a high 
level of prevention, detection and correction controls as early as possible in the payment process. This 
means in practice that FPI/EuropeAid's compliance controls will place most reliance on significant ex-

EN 

31 

   EN 

 
ante checks on a multi-annual basis by both external auditors and Commission staff in the field before 
final project payments (while still executing some ex-post audits and checks), going well beyond the 
financial safeguards  required by  the Financial Regulation. FPI/EuropeAid's  compliance  framework is 
made up inter alia of the following significant components: 

Preventative measures 

- Compulsory core training covering fraud issues for aid management staff and auditors; 

-  Provision  of  guidance  (including  via  internet)  including  the  Practical  Guide  to  Contracts,  the 
EuropeAid Companion and the Financial Management Toolkit (for implementing partners); 

- Ex-ante assessment to ensure that appropriate anti-fraud measures to prevent and detect fraud in the 
management of EU funds are in place in the authorities managing  the relevant funds under joint and 
decentralised management); 

-  Ex-ante  screening  of  the  anti-fraud  mechanisms  available  in  the  partner  country  as  part  of  the 
assessment of the eligibility criterion of public finance management for receiving budget support (i.e. 
active  commitment  to  fight  fraud  and  corruption,  adequate  inspection  authorities,  sufficient  judicial 
capacity and efficient response and sanction mechanisms); 

-  The  Commission  signed  the  International  Aid  Transparency  Initiative  (IATI)  in  Accra  in  2008, 
agreeing on a standard for aid transparency which ensures more timely, detailed and regular data on aid 
flows and documents.  

-  The  Commission  implements  since  14  October  2011  the  first  phase  of  the  IATI  standard  for 
publishing  aid  information  transparency  before  the  next  High  Level  Forum  on  aid  effectiveness  in 
Busan in November 2011. In addition, the Commission will work in cooperation with the EU Member 
States on a joint web-based IT application called TR-AID which transforms the EU aid data provided 
through the IATI and other sources into user-friendly aid information. 

Detective and corrective measures 

-  External  audits  and  verifications  (both  mandatory  and  risk  based)  including  the  European  Court  of 
Auditors; 

- Retrospective checks (on a risk basis) and recoveries; 

- Suspension of EU funding where there is a serious fraud case, including large scale corruption, until 
the authorities have taken appropriate action with a view to correcting and preventing such fraud in the 
future 

FPI/EuropeAid  will  further  devise  their  anti-fraud  strategy  in  line  with  the  Commission's  new  anti-
fraud strategy (CAFS) adopted on 24 June 2011 in order to ensure inter alia that: 

- FPI/EuropeAid's internal anti-fraud related controls are fully aligned with the CAFS;  

- FPI/EuropeAid's fraud risk management approach is geared to identify fraud risk areas and adequate 
responses; 

EN 

32 

   EN 

 
- The systems used for spending EU funds in third countries enable relevant data to be retrieved with a 
view to feeding this data into fraud risk management (e.g. double funding); 

- Where necessary, networking groups and adequate IT tools dedicated to analysing fraud cases related 
to the external aid sector could be set up. 

2.4. 

Estimate of the costs and benefits of the controls 

The  Instrument  for  Stability’s  internal  control/management  costs  should  be  similar  to  the  costs 
calculated  by  EuropeAid  for  the  management  of  its  external  actions  instruments  (i.e.  6%  of  the 
envelope):  

For the EuropeAid portfolio as a whole, internal control / management costs total an estimated annual 
in commitments in the 2014-2020 budget planning. This figure includes the 
average of € 658 million 
management  of  the  EDF  which  operates  in  an  integrated  way  within  the  management  structure  of 
EuropeAid.  These  'non  operational'  costs  represent  approximately  6,4  %  of  the  estimated  annual 
average  of  €  10.2  billion  planned  for  the  overall  (operational  +  administrative)  commitments  by 
EuropeAid  on  its  expenditure  portfolio  financed  by  the  General  Budget  of  the  EU  and  the  European 
Development Fund for the period 2014-2020.  

These management costs take into account all EuropeAid staff at HQ and in Delegations, infrastructure, 
travel, training, monitoring, evaluation and audit contracts (including those launched by beneficiaries). 

EuropeAid plans to reduce the management / operational activities ratio over time under the improved 
and simplified arrangements of the new instruments, building on changes likely to come in under the 
revised  Financial  Regulation.  The  key  benefits  of  these  management  costs  are  realised  in  terms  of 
meeting  policy  objectives,  efficient  and  effective  use  of  resources,  and  the  exercise  of  robust  cost-
effective preventive measures and other checks to ensure the legal and regular use of funds. 

While  improvements  in  the  nature  and  targeting  of  management  activities  and  compliance  checks  in 
relation  to  the  portfolio  will  continue  to  be  pursued,  these  costs  are  globally  necessary  to  effectively 
and efficiently  achieve the objectives of the instruments at a minimal risk of non compliance (below 
2% residual error). They are significantly less than risks involved in removing or scaling back internal 
controls in this high risk area.  

3. 

3.1. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected  

•  Existing expenditure budget lines  

In order of multiannual financial framework headings and budget lines. 

Heading of 
multiannual 

Budget line 

Type of  
expenditure

Contribution  

EN 

33 

   EN 

 
financial 
framework  Number  

[Description………………………...……….] 

DA/NDA 
(15) 

from 
EFTA16 
countries 

from 
candidate 
countries17 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

19  06  :  Crisis  response  and  global  threats  to 
security  

19 06 01 
preparedness 

19 06 01 01 
preparedness 

19 06 01 02 
cooperation 

Crisis response and 

Crisis response and 

Completion of the former 

19 06 02 
and their populations against criticial 
technological threats 

Actions to protect countries 

IV 

19 06 02 01 
mitigation and preparedness relating to chemical, 
nuclear and biological materials or agents 

Actions in the area of risk 

DA 

NO 

NO 

NO 

NO 

19 06 02 02 
nuclear, biological and chemical weapons and 
small arms  

Preparatory Action to reduce 

19 06 02 03 
Community policy on 
combating the proliferation of light arms 

Trans-regional actions in the 

19 06 03 
areas of organised crime, trafficking, protection of 
critical infrastructure and threats to public health 
and fight against terrorism 

19 06 09 
NGO-led peacebuilding activities 

Pilot Project: Programme for 

•  New budget lines requested  

In order of multiannual financial framework headings and budget lines. 

Heading of 
multiannual 
financial 
framework 

Budget line 

Type of 
expenditure

Contribution  

Number  
[Heading……………………………………..] 

Diff./non-
diff. 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

IV 

19  06:  Crisis  Response  and  Global  threats  to 
security  

19 06 01 

Response to crisis and 

Diff.  

NO 

NO 

NO 

NO 

15 
16 
17 

DA= Differentiated appropriations / DNA= Non-Differentiated Appropriations 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 

EN 

34 

   EN 

 
 
                                                 
emerging crisis  

19 06 02 
preparedness and peace-building 

conflict prevention, crisis 

19 06 03 
security threats 

Global and trans-regional 

EN 

35 

   EN 

 
 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial 
framework:  

Number  Heading IV - Global Europe  

EUR million (to 3 decimal places) 

DG FPI/DEVCO  

(cid:121) Operational appropriations  

Number of budget line 19 06 01  

Commitments 

Number of budget line 19 06 02 

Number of budget line 19 06 03 

Payments 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1) 

(2) 

(1a) 

(2a) 

Year 
N18 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the duration 
of the impact (see point 1.6) 

TOTAL 

252,315  257,577  262,837  268,232   272,923  279,274  285,370 

1.878,529 

163,073  182,596  230,065  284,946   316,965  324,193  376,691 

1.878,529 

22,824  
15,064  
95,100  

23,286 

23,748 

24,222  

24,708 

25,200 

25,740 

16,766  
97,025  

33,681  
28,538  
20,898  
98,950   100,925   102,950  105,000  107,250 

25,675  

29,106  

169,728 
169,728 
707,200 

Appropriations 
of 
 from the envelop of specific programs19  
Number of budget line 19 01 04 03 

an 

administrative 

nature 

financed 

62,766  

69,858  

87,076   106,981   118,907  121,275  140,337 

707,200 

(3) 

10,161  

10,212  

10,265  

10,321  

11,219  

10,526  

10,640  

73,343 

18 
19 

EN 

Year N is the year in which implementation of the proposal/initiative starts. 
Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect research, 
direct research. 

36 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
TOTAL appropriations 
for DG FPI/DEVCO 

Commitments 

Payments 

=1+1a 
+3 

=2+2a 

+3 

380,400  388,100  395,800  403,700   411,800  420,000  429,000 

2.828,800 

251,064  279,432  348,304  427,922   475,629  485,100  561,349 

2.828,800 

EN 

37 

EN 

 
  
 
 
Heading of multiannual financial 
framework:  

5 

" Administrative expenditure " 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the duration 
of the impact (see point 1.6)  

TOTAL 

EUR million (to 3 decimal places) 

 DG FPI/DEVCO 

(cid:121) Human resources  
(cid:121) Other administrative expenditure  

6,447 

6,382 

6,318 

6,255 

6,255 

6,255 

6,255 

0,766 

0,693 

0,693 

0,693 

0,693 

0,693 

0,693 

TOTAL DG FPI/DEVCO 

Appropriations  

7,213 

7,075 

7,011 

6,948 

6,948 

6,948 

6,948 

44,168 

4,923 

49,091 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

7,213 

7,075 

7,011 

6,948 

6,948 

6,948 

6,948 

49,091 

EUR million (to 3 decimal places) 

Year 
N20 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the duration 
of the impact (see point 1.6) 

TOTAL 

TOTAL appropriations  
under HEADINGS 1 to 5 
of the multiannual financial framework  

Commitments 

Payments 

387,613  395,175  402,811  410,648  418,748  426,948  435,948 

2.877,891 

258,277  286,507  355,315  434,870  482,577  492,048  568,297 

2.877,891 

20 

Year N is the year in which implementation of the proposal/initiative starts. 

EN 

38 

EN 

 
  
 
 
 
 
 
 
 
 
                                                 
3.2.2.  Estimated impact on operational appropriations  

–  (cid:133)  The proposal/initiative does not require the use of operational appropriations  

–  (cid:58)  The proposal/initiative requires the use of operational appropriations, as explained below: 

Commitment appropriations in EUR million (to 3 decimal places) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as necessary to show 
the duration of the impact (see point 1.6) 

TOTAL 

OUTPUTS 

Avera
ge 
cost  
of the 
ouput 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

Total 
numbe
r of 
ouputs 

Total  
cost 

Indicate objectives 
and outputs  

(cid:216) 

T
y
p
e

o
f

o
u
t
p
u
t
21 

SPECIFIC OBJECTIVE No 1 In 
situations of crisis or emerging crisis 
either manmade or as a result of a 
natural disaster, to contribute to 
stability by providing an effective 

21 

Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 

EN 

39 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
response to help preserve, establish 
or re-establish the conditions 
essential to the proper 
implementation of the Union’s 
development and cooperation 
policies22… 

Timely and effective 
launch of response 
actions in situations of 
crisis, post-crisis or 
emerging crisis  

- Output 

- Output 

Sub-total for specific objective N°1 

SPECIFIC OBJECTIVE No 2 to 
help strengthen capacity to ensure 
the preparedness of the EU and its 
partners to prevent conflicts, build 
peace and address pre- and post-
crisis situations in close coordination 
with international, regional and sub-
regional organisations, state and non 
state actors… 

- Output: Number of 
policy dialogues and 
engagement actions on 
conflict prevention, 
crisis preparedness and 
peace-building 
launched under Article 
4 – Peace-Building 
Partnership (PbP)  

32 

32 

257,5
77  

32 

262,8
37 

32 

268,2
32  

32 

272,9
23  

32 

279,2
74  

32 

224 

1.878,52
9 

252,3
15  

285,3
70  

5 

22,82
4 

5 

23,28
6 

5 

23,74
8 

5 

24,22
2 

5 

24,70
8 

5 

25,20
0 

5 

25,74
0 

35 

169,728 

22 

As described in Section 1.4.2. "Specific objective(s)…" 

EN 

40 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                                                                                                                                                                                                                 
Sub-total for specific objective N°2 

SPECIFIC OBJECTIVE No 3 to 
help build capacity for addressing 
global and trans-regional security 
threats that pose a risk to peace and 
stability 

- Output : Number of 
beneficiary countries in 
compliance with 
relevant international 
legal frameworks 
addressing global and 
trans- regional threats  

Sub-total for specific objective N°3 

21 

95,100 

21 

97,025 

21 

98,950 

21 

100,9
25 

21 

102,9
50 

21 

105,00
0 

21 

107,25
0 

147 

707,200 

TOTAL COST 

370,2
39 

377,8
88 

385,5
35 

393,3
79 

400,5
81 

409,4
74 

418,3
60 

2.755,45
7 

EN 

41 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

–  (cid:133)  The  proposal/initiative  does  not 

require 

the  use  of  administrative 

appropriations  

–  (cid:133)  The  proposal/initiative  requires  the  use  of  administrative  appropriations,  as 

explained below: 

EUR million (to 3 decimal places) 

Year 
N 23 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as necessary 
to show the duration of the impact 
(see point 1.6) 

TOTAL 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 524 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

6,447 

6,382 

6,318 

6,255 

6,255 

6,255 

6,255 

44,168 

0,766 

0,693 

0,693 

0,693 

0,693 

0,693 

0,693 

4,923 

7,213 

7,075 

7,011 

6,948 

6,948 

6,948 

6,948 

49,091 

5,275 

5,230 

5,186 

5,142 

5,142 

5,142 

5,142 

36,257 

4,886 

4,981 

5,079 

5,179 

6,078 

5,385 

5,498 

37,085 

10,161 

10,212 

10,265 

10,321 

11,219 

10,526 

10,640 

73,343 

TOTAL 

17,374 

17,287 

17,276 

17,269 

18,167 

17,474 

17,588 

122,434

23 
24 

Year N is the year in which implementation of the proposal/initiative starts. 
Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of  EU 
programmes and/or actions (former "BA" lines), indirect research, direct research. 

EN 

42 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.  Estimated requirements of human resources  

–  (cid:133)  The proposal/initiative does not require the use of human resources  

–  (cid:133)  The  proposal/initiative  requires  the  use  of  human  resources,  as  explained 

below: 

Estimate to be expressed in full amounts (or at most to one decimal place) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the 
duration of the impact 
(see point 1.6) 

(cid:121) Establishment plan posts (officials and temporary agents) 

XX 01 01 01 (Headquarters and Commission’s 
Representation Offices) 

40,9 

40,5 

40,1 

39,7 

39,7 

39,7 

39,7 

XX 01 01 02 (Delegations) 

XX 01 05 01 (Indirect research) 

10 01 05 01 (Direct research) 

(cid:121) External personnel (in Full Time Equivalent unit: FTE)25 

XX 01 02 01 (CA, INT, SNE from the "global 
envelope") 

XX 01 02 02 (CA, INT, JED, LA and SNE in 
the delegations) 

19,4 

19,2 

19,0 

18,9 

18,9 

18,9 

18,9 

XX 01 04 yy 26 

- at Headquarters 

- in delegations  

35,2 

34,9 

34,6 

34,3 

34,3 

34,3 

34,3 

XX 01 05 02 (CA, INT, SNE - Indirect 
research) 

10 01 05 02 (CA, INT, SNE - Direct research) 

Other budget lines (specify) 

TOTAL 

95,5 

94,6 

93,7 

92,8 

92,8 

92,8 

92,8 

In 2014, human resources under Heading 5 are split as follows between DEVCO and FPI: 
- Establishment plan: 18,7 FTE for FPI and 22,2 FTE for DEVCO (Total = 40,9 FTE) 
- External personal: : 17.9 FTE for FPI and 1.5 FTE for DEVCO (Total : 19.4) 
As regards human resources under Heading 4 (BA line of the IfS programme). it is to be noted that currently a 
part of DEVCO staff in Delegations is used to manage IfS-crisis response projects under the responsibility of 
FPI. Currently some 46 projects in 30 different Delegations are on-going. Authorized staff to be deployed in 
Delegations under the DB 2012 and financed by the BA line amounts to 35 Contract Agents of which 30 for FPI 
and 5 for DEVCO. 

19 is the policy area or budget title concerned. 

The human resources required will be met by staff from the DG who are already assigned to 
management of the action and/or have been redeployed within the DG, together if necessary 
with any additional allocation which may be granted to the managing DG under the annual 
allocation procedure and in the light of budgetary constraints. 

25 

26 

CA= Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune Expert en Délégation" (Young 
Experts in Delegations); LA= Local Agent; SNE= Seconded National Expert;  
Under the ceiling for external personnel from operational appropriations (former "BA" lines). 

EN 

43 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Description of tasks to be carried out: 

Officials and temporary agents 

External personnel 

3.2.4.  Compatibility with the multiannual financial framework 2014-2020  

–  (cid:133)  Proposal/initiative  is  compatible  the  multiannual  financial  framework  2014-

2020. 

–  (cid:133)  Proposal/initiative  will  entail  reprogramming  of  the  relevant  heading  in  the 

multiannual financial framework. 

Explain what reprogramming is required, specifying the budget lines concerned and the corresponding 
amounts. 

–  (cid:133)  Proposal/initiative requires application of the flexibility instrument or revision 

of the multiannual financial framework27. 

Explain what is required, specifying the headings and budget lines concerned and the corresponding 
amounts. 

3.2.5.  Third-party contributions  

–  The proposal/initiative does not provide for co-financing by third parties  

–  The proposal/initiative provides for the co-financing estimated below: 

Appropriations in EUR million (to 3 decimal places) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the duration 
of the impact (see point 1.6) 

Total 

Specify  the  co-financing 
body  

TOTAL appropriations 
cofinanced  

27 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

44 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.3. 

Estimated impact on revenue  

–  (cid:58)  Proposal/initiative has no financial impact on revenue. 

–  (cid:133)  Proposal/initiative has the following financial impact: 

– 

– 

(cid:133) 

(cid:133) 

on own resources  

on miscellaneous revenue  

Appropriation
s available for 
the ongoing 
budget 
exercise 

Budget revenue line: 

Article …………. 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative28 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… insert as many columns as necessary 
in order to reflect the duration of the 
impact (see point 1.6) 

For miscellaneous assigned revenue, specify the budget expenditure line(s) affected. 

Specify the method for calculating the impact on revenue. 

28 

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 25% for collection costs. 

EN 

45 

   EN