Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing a financing instrument for the promotion of democracy and human rights worldwide
Date: 2011-12-07
Institutions: European Commission
Subjects: EU aid, EU financial instrument, equal treatment, fundamental rights, human rights, rule of law

EUROPEAN COMMISSION 

Brussels, 7.12.2011 
COM(2011) 844 final 

2011/0412 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing a financing instrument for the promotion of democracy and human rights 
worldwide 

{SEC(2011) 1478 final} 
{SEC(2011) 1479 final} 

 
 
  
 
EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL  

The  European  Union  is  founded  on  the  values  of  respect  for  human  dignity,  freedom, 
democracy, equality, the rule of law and respect for human rights (Article 2 of the Treaty on 
European  Union).  Furthermore,  as  also  provided  in  the  Treaty,  the  Union's  action  on  the 
international  scene  “shall  be  guided  by  the  principles  which  have  inspired  its  own  creation, 
development and enlargement, and which it seeks to advance in the wider world: democracy, 
the rule of law, the universality and indivisibility of human rights and fundamental freedoms, 
respect  for  human  dignity,  the  principles  of  equality  and  solidarity,  and  respect  for  the 
principles of the United Nations Charter and international law.” (Article 21). 

Therefore, the  promotion of  democracy and human rights is an  essential  aspect of  the  EU’s 
external action. In promoting human rights and democracy worldwide, the EU is using a wide 
range of measures, from political dialogue and diplomatic initiatives to financial and technical 
cooperation and assistance. 

The  Regulation  on  establishing  a  European  Instrument  for  Democracy  and  Human  Rights 
(EIDHR)1  constitutes  a  corner  stone  of  this  political  strategy  and  is  a  unique  and  visible 
expression of the EU’s strong commitment to democracy and human rights. The instrument 
has generated genuine results and numerous success stories, providing support to civil society 
and  human  rights  institutions  worldwide  as  well  as  election  observation.  Due  to  its 
independence from Government consent and its flexibility, the EIDHR represents a key added 
value to the EU’ policy toolbox. 

The  general  objectives  and  the  scope  of  the  EIDHR  which  are  to  contribute  to  the 
development  and  consolidation  of  human  rights  and  fundamental  freedoms,  democracy  and 
the rule of law worldwide, must be preserved in the new Regulation. 

The Regulation builds on the strong linkage between democracy and human rights. In recent 
years the EU's agenda on democracy support has constantly evolved and has grown towards a 
comprehensive  approach.  In  particular  the  November  2009  Council  Conclusions2  on 
democracy support constitute the first strategic, concrete orientation for  a broader and more 
coherent  democracy  support  policy  in  the  EU’s  external  relations.  In  December  2010,  the 
Commission  presented  a  first  report  on  the  follow-up  to  the  Conclusions  and  new 
conclusions3  were  adopted  including  the  identification  of  ten  pilot  countries  where  the 
Agenda of Action is to be implemented and immediate action to be taken. 

It is therefore deemed essential that the future EIDHR keeps a large scope encompassing the 
existing  wide  array  of  activities  of  advocacy,  core  support  and  field  operations,  including 
election observation, supporting all fundamental rights inherent to democracy together will all 

1 

2 

3 

Regulation (EC) No 1889/2006 of the European Parliament and of the Council of 20 December 2006 on 
establishing  a  financing  instrument  for  the  promotion  of  democracy  and  human  rights  worldwide  - 
OJEU L 386/1- Whereas (8). 
Council  Conclusions  on  Democracy  Support  in  the  EU’s  External  Relations  –  Towards  Increased 
Coherence and Effectiveness, 16081/09. 
Council  conclusions  on  Democracy  Support  in  the  EU's  External  Relations  -  2010  Progress  Report  and  list  of 
proposed pilot countries, 3058th FOREIGN AFFAIRS Council meeting Brussels, 13 December 2010. 

EN 

2 

   EN 

 
                                                 
other  human  rights  and  fundamental  freedoms.  It  is  a  guarantee  for  policy  rationality, 
comprehensiveness of approach, coherence of operations and economies of scale. 

The scope of the EIDHR covers five objectives since 2007: 

• 

• 

• 

• 

• 

Enhancing  respect  for  human  rights  and  fundamental  freedoms  in  countries  where 
they are most at risk; 

Strengthening  the  role  of  civil  society  in  promoting  human  rights  and  democratic 
reform,  in  supporting  the  peaceful  conciliation  of  group  interests  and,  in 
consolidating political participation and representation; 

Supporting  actions  on  human  rights  and  democracy  issues  in  areas  covered  by  EU 
Guidelines, including on human rights dialogues, on human rights defenders, on the 
death penalty, on torture, on children and armed conflict, on the rights of the child, 
on  violence  against  women  and  girls  and  combating  all  forms  of  discrimination 
against them, on International Humanitarian Law and on possible future guidelines; 

Supporting  and  strengthening  the  international  and  regional  framework  for  the 
protection and promotion of human rights, justice, the rule of law and the promotion 
of democracy; 

Building confidence in and enhancing the reliability and transparency of democratic 
electoral processes, in particular through election observation. 

The response strategy4 under the EIDHR builds on working predominantly with and through 
civil  society  organizations,  aimed  at  defending  the  fundamental  freedoms  which  form  the 
basis for all democratic processes and helping civil society to become an effective force for 
political reform and defence of human rights. This specificity of the response strategy will be 
fully  preserved  in  the  new  Regulation.  In  this  way,  it  complements  the  new  generation  of 
geographical  programmes,  which  increasingly  mainstream  democracy  and  human  rights, 
though focusing primarily on public institution-building. 

Furthermore,  the  new  EIDHR  regulation  will  enhance  the  EU  toolbox  to  address  more 
efficiently the situation in difficult countries or in emergency situations where human rights 
and  fundamental  freedoms  are  most  at  risk.  Recent  developments  in  the  European 
Neighbourhood, in particular the Arab Spring, have shown that there is a strong home-grown 
demand  for  increased  freedoms  and  rights  together  with  democracy  that  the  EU  needs  to 
support. In such cases, the European Union will have the possibility to fund directly ad hoc 
actions through direct grants or low value grants. This will be the case where the procedural 
modalities  could  affect  negatively  the  effectiveness  of  the  actions  or  could  subject  the 
beneficiaries to serious intimidation, retaliation or other types of risks. Ad hoc actions would, 
in  principle,  be  included  in  the  Strategy  Papers  and  Annual  Programmes.  However,  in 
exceptional circumstances, ad hoc actions could be adopted through special measures outside 
of the programming cycle. 

From a wider perspective, the proposed EIDHR regulation should be viewed in the context of 
all  proposed  financial  instruments  for  the  2014-2020  Multi-annual  Financial  Framework  as 
outlined in the Communication “A Budget For Europe 2020”. Together with the instruments 

4 

Commission Communication of 25 January 2006. 

EN 

3 

   EN 

 
                                                 
under  the  Heading  4  (Global  Europe)  and  with  the  European  Development  Fund,  the  new 
EIDHR will ensure more coherence and effectiveness to the EU’s external action. 

In accordance with the Council decision establishing the organisation and functioning of the 
European  External  Action  Service  (EEAS)5
  ,  the  High  Representative/Vice-President  shall 
ensure  overall  political  coordination  of  the  Union’s  external  action,  including  through  the 
EIDHR. In particular, the EEAS shall contribute to the programming and management cycle 
of the EIDHR as outlined in Article 9(3) of the above mentioned Council Decision. 

2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENTS 

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 services involved. The 220 contributions received 
to the public consultation reflected a broad and diverse spectrum representing the variety of 
structures, views and traditions characterising the external action community. 

A  majority  of  the  respondents  (around  70%)  confirmed  that  EU  financial  intervention 
provided substantial added value in the main policy areas supported through EU Financial 
Instruments for external action6. The criterion of EU added value was put forward by many 
respondents as the main driver for the future: they considered that the EU should exploit its 
comparative  advantage  linked  to  its  global  field  presence,  its  wide-ranging  expertise,  its 
supranational nature, its role as facilitator of coordination, and exploit economies of scale. 

Nearly all respondents (92%) support a more differentiated approach, tailored to the situation 
of the beneficiary country, based on sound criteria and efficient data collection, to be used as 
a  way  to  increase  the  impact  of  EU  financial  instruments.  Over  two  thirds  of  respondents 
believe that EU interests are sufficiently taken into account in its external action, and that the 
latter  should  be  based  to  a  larger  extent  on  EU  values  and  principles,  and  on  development 
objectives  of  the  partner  countries.  Inversely,  a  minority  considers  that  EU  external  action 
should  concentrate  more  on  EU's  own  interests  in  the  global  economy,  particularly  towards 
emerging economies. 

Regarding  simplification  of  instruments  and  the  balance  between  geographic  and  thematic 
instruments,  opinions  are  mixed  regarding  a  review  of  EU  thematic  programmes  and  a 
possible  reduction  in  number.  Many  fear  that  this  could  imply  a  decrease  in  the  overall 
amount  available  for  thematic  action,  and  rather  call  for  a  simplification  of  the  rules 
governing  access  and  implementation  of  thematic  funding.  Several  thematic  issues  are 
highlighted as important such as the reinforcement of the European Instrument for Democracy 
and  Human  Rights,  climate  financing  or  the  current  DCI  thematic  programmes.  Increased 
flexibility of the geographic limits of EU instruments is supported by a significant majority of 
respondents as a way to respond to interregional challenges. 

5 
6 

Council decision 2010/427/EU of 26 July 2010. 
i.e.  peace  and  security,  poverty  reduction,  humanitarian  aid,  investing  in  stability  and  growth  in 
enlargement and neighbourhood countries, tackling global challenges, promoting EU and international 
standards and values, and supporting growth and competitiveness abroad 

EN 

4 

   EN 

 
                                                 
A majority of respondents agree that joint programming and co-financing with Member States 
can increase the impact and the coherence of EU external action, simplify the delivery of aid 
and reduce overall transaction costs.  

Regarding like-mindedness and conditionality, there is wide support among respondents for 
exploring  conditionality  based  on  the  beneficiary  country's  respect  for  human  rights, 
minorities, good governance and diversity of cultural expressions (78%), or on the quality of 
its policies and of its ability and willingness to implement sound policies (63%). A majority 
of respondents is critical towards basing external cooperation on the EU's own interests. 

Regarding EU external action on human rights and democracy, all respondents highlighted 
the  need  to  further  promote  and  support  these  objectives  worldwide  both  by  mainstreaming 
them within all EU policies and actions and by upholding them in a dedicated, separate but 
complementary,  financial  instrument.  The  European  Instrument  for  Democracy  and  Human 
Rights is highly valued and all stakeholders asked the EU to enhance its potential, safeguard 
its added value and further develop its speed of delivery, in particular for the most difficult 
and urgent cases. 

Impact assessment 

The  Commission  carried  out  an  Impact  Assessment  (IA)  that  considered  3  main  policy 
alternatives (with some sub-options): 

(1) No separate EIDHR Regulation and mainstream human rights and democracy under other 
instruments; 

(2) No change to the current regulation with only an increase in the budget allocation that will 
provide for additional activities under the current framework; 

(3)  Building  a  better  enabling  regulation,  while  preserving  the  key  features  of  the  existing 
Regulation. 

The first option was not retained as it appeared clearly that the suppression of a self standing 
instrument for human rights and democracy would send a negative political signal and would 
lead to the abolition of specific, valuable working principles such as the absence of consent of 
the host country or the targeting of civil society actors. This in turn would reduce efficiency in 
delivery and create a strong loss of EU visibility and reputation. 

The second option was also discarded as it would not allow seizing the opportunity of facing 
new challenges adequately, correcting some lessons learned and answering new demands. 

The  third  option  was  retained  as  it  would  allow  preserving  the  political  and  operational 
benefits of the instruments, while allowing for a better adaptation of the regulation. Under this 
option, the new draft should be built as a better enabling regulation. The revised instrument 
set up would offer a process oriented tool focusing on four different windows: 

• 

thematic  campaigns,  mixing  advocacy  and  field  operations  for  great  causes(e.g. 
democracy  support)  and  addressing  serious  violations  of  rights  (e.g.  torture,  death 
penalty,  discrimination,  etc..),  as  well  as  providing  core  support  to  key  actors  and 
related civic education; 

EN 

5 

   EN 

 
• 

• 

• 

targeted  support  to  the  development  of  thriving  civil  societies  empowering  it  in  its 
quest  for  and  defence  of  democracy  and  human  rights  and  to  their  specific  role  as 
actors for positive change; 

reinforced capacity for the EU to be able to react quickly to human rights urgencies 
and establishment of a comprehensive EU Human Rights Defender mechanism; 

strengthened  and  better  integrated  approach  to  democratic  cycles,  through  election 
observation and other types of support to democratic and electoral processes; 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

The  instrument  proposed  is  based  on  Article  209  of  the  Treaty  on  the  Functioning  of  the 
European  Union  which  provides  the  legal  basis  for  development  cooperation  within  the 
framework  of  the  principles  and  objectives  of  the  Union’s  external  action.  In  addition, 
Articles  2  and  21  of  the  Treaty  on  European  Union  further  underpin  the  importance  for  the 
European Union to support democracy and human rights as part of its external action. 

Since  the  objectives  of  the  proposed  Regulation  cannot  be  sufficiently  achieved  by  the 
Member States alone and can therefore, by reason of the scale and coverage of the action, be 
better  achieved  at  Union  level,  the  Union  may  adopt  measures,  in  accordance  with  the 
principle of subsidiarity as set out in Article 5 of the Treaty. The EU is in a unique position to 
deliver  part  of  the  external  assistance  on  behalf  of  and  with  Member  States,  giving  it 
enhanced  credibility  in  the  countries  where  it  operates.  Many  Member  States  have  not  the 
capacity  and/or  the  willingness  to  develop  global  external  instruments.  Therefore,  an 
intervention  at  EU  level  is  the  only  possibility  to  promote  EU  values  globally  and  ensure  a 
worldwide EU presence. 

The  proposed  regulation  also  strengthens  the  coordination  capacity  and  facilitates  joint 
programming  with  the  Member  States,  ensuring  efficient  labour  division  and  effective  aid 
delivery. The Union assistance shall focus where it has more impact, worldwide promotion of 
democracy,  good  governance,  human  rights  and  the  rule  law,  its  long-term  and  predictable 
engagement in development assistance and its role in coordinating with its Member States. In 
accordance  with  the  principle  of  proportionality,  as  set  out  in  Article  5  of  the  Treaty,  the 
proposed Regulation does not go beyond what is necessary to achieve its objectives. 

4. 

BUDGETARY IMPLICATION 

The  instrument  proposed  is  part  of  the  measures  to  be  implemented  under  the  Heading  IV 
"Global  Europe"  of  the  European  Union's  Multiannual  Financial  Framework.  The  financial 
envelope  for  the  implementation  of  this  Regulation  for  the  period  2014-2020  shall  be 
EUR 1 578 000 000  (current  prices).  It  corresponds  to  an  approximate  average  annual 
envelope of EUR 225 000 000. 

EN 

6 

   EN 

 
2011/0412 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing a financing instrument for the promotion of democracy and human rights 
worldwide 

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 Article 209 
and 212 thereof, 

Having regard to the proposal from the Commission, 

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

Having regard to the opinion of the European Economic and Social Committee7, 

Having regard to the opinion of the Committee of the Regions8, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

This Regulation constitutes one of the instruments providing direct support for the European 
Union’s external policies. It will replace the Regulation (EC) No 1889/2006 of the European 
Parliament and of the Council of 20 December 2006 on establishing a financing instrument 
for the promotion of democracy and human rights worldwide9. 

This  Regulation  establishes  a  financing  instrument  for  the  promotion  of  democracy  and 
human  rights  worldwide  allowing  for  assistance  independent  from  the  consent  of  third 
country governments and other public authorities. 

Article 2 of the Treaty on European Union provides that the Union is founded on the values 
of respect for human dignity, freedom, democracy, equality, the rule of law and respect for 
human  rights,  including  the  rights  of  persons  belonging  to  minorities.  These  values  are 
common  to  the  Member  States  in  a  society  in  which  pluralism,  non-discrimination, 
tolerance, justice, solidarity and equality between women and men prevail. 

Article  21  of  the  Treaty  on  European  Union  provides  that  the  external  action  of  the 
European  shall  be  guided  by  the  same  principles  which  have  inspired  its  own  creation: 
democracy,  the  rule  of  law,  the  universality  and  indivisibility  of  human  rights  and 
fundamental  freedoms,  respect  for  human  dignity,  the  principles  of  equality  and  solidarity 
and respect for the principles of the United Nations Charter and international law. 

7 
8 
9 

OJ C , , p. . 
OJ C , , p. . 
OJ L 386, 29.12.2006, p. 1–11  

EN 

7 

   EN 

 
                                                 
(5) 

(6) 

(7) 

(8) 

(9) 

This  financing  instrument  contributes  to  achieving  the  objectives  of  the  Union’s  external 
action, including those of the European Development Policy. 

The Union's contribution to democracy and the rule of law and to respect for human rights 
and  fundamental  freedoms  is  rooted  in  the  universally  accepted  general  principles 
established  by  the  International  Bill  of  Human  Rights,  and  any  other  human  rights 
instrument adopted within the framework of the United Nations, as well as relevant regional 
human rights instruments. 

Gender equality and women's rights are fundamental human rights and a question of social 
justice and their promotion is a strong component of this Regulation. 

Democracy and human rights are inextricably linked, as recalled in the Council Conclusions 
of  18  November  2009,  on  democracy  support  in  the  EU’s  external  relations.  The 
fundamental  freedoms  of  expression  and  association  are  the  preconditions  for  political 
pluralism  and  democratic  processes,  whereas  democratic  control  and  separation  of  powers 
are  essential  to  sustain  an  independent  judiciary  and  the  rule  of  law  which  in  turn  are 
required for effective protection of human rights. 

The task of building and sustaining a culture of human rights and making democracy work 
for citizens, though especially urgent and difficult in emerging democracies, is essentially a 
continuous  challenge,  belonging  first  and  foremost  to  the  people  of  the  country  concerned 
but without diminishing the commitment of the international community. It also requires a 
range  of  institutions,  in  particular  national  democratic  parliaments  that  should  ensure 
participation, representation, responsiveness and accountability. 

(10) 

In order to address these issues in an effective, transparent, timely and flexible manner after 
Regulation  (EC)  No1889/2006  expires,  there  is  a  continued  need  for  specific  financial 
resources  and  a  specific  financing  instrument  that  can  continue  to  work  in  an  independent 
manner. 

(11)  Union assistance under this Regulation is designed to complement the various other tools for 
implementing of Union policies on democracy and human rights, which range from political 
dialogue  and  diplomatic  demarches  to  various  instruments  for  financial  and  technical 
cooperation, including both geographic and thematic programmes. It will also complement 
the more crisis-related actions under the Instrument for Stability. 

(12)  Under this Regulation, the Union will provide assistance to address global, regional, national 
and  local  human  rights  and  democratisation  issues  in  partnership  with  civil  society 
understood to span all types of social action by individuals or groups that are independent 
from the state and active in the field of human rights and democracy support. 

(13)  Furthermore,  whilst  democracy  and  human  rights  objectives  must  be  increasingly 
mainstreamed  in  all  external  assistance  financing  instruments,  Union  assistance  under  this 
Regulation  will  have  a  specific  complementary  and  additional  role  by  virtue  of  its  global 
nature  and  its  independence  of  action  from  the  consent  of  third  country  governments  and 
other  public  authorities.  This  will  allow  for  cooperation  with  civil  society  on  sensitive 
human rights and democracy issues possible, providing the flexibility to respond to changing 
circumstances.  It  should  also  provide  Union  capacity  to  articulate  and  support  specific 
objectives  and  measures  at  international  level  which  are  neither  geographically  linked  nor 
crisis  related  and  which  may  require  a  transnational  approach  or  involve  operations  both 
within the Union and in a range of third countries. Moreover, it will provide the necessary 
framework  for  operations,  such  as  support  for  independent  European  Union  election 

EN 

8 

   EN 

 
observation  missions  requiring  policy  coherence,  a  unified  management  system  and 
common operating standards. 

(14)  The  Union  will  pay  particular  attention  to  countries  and  urgency  situations  where  human 
rights and fundamental freedoms are most at risk and where disrespect for these rights and 
freedoms  is  particularly  pronounced  and  systematic.  In  such  situations,  the  political 
priorities will be to promote respect for the relevant international laws, to provide tangible 
support and means of action to local civil society and to contribute to its work, carried out in 
very difficult circumstances. In conflict situations, the Union will promote the compliance of 
all  warring  parties  with  their  legal  obligations  under  international  humanitarian  law,  in 
accordance with the relevant Union guidelines. 

(15) 

In such most difficult countries or situations and in order to address urgent protection needs 
of  human  rights  defenders,  the  Union  should  be  able  to  respond  in  a  flexible  and  timely 
manner  by  means  of  ad  hoc  grants.  This  will  particularly  be  the  case  when  the  choice  of 
procedural  modalities  could  impact  directly  on  the  effectiveness  of  the  measures  or  could 
subject beneficiaries to serious intimidation, retaliation or other types of risks. 

(16)  European Union Election Observation Missions contribute significantly and successfully to 
democratic processes in third countries. However, the promotion of democracy extends far 
beyond  the  electoral  process  alone.  Expenditure  for  election  observation  missions  should 
therefore  not  take  up  a  disproportionate  amount  of  the  total  funding  available  under  this 
Regulation. 

(17)  The  implementing  powers  relating  to  the  programming  and  financing  of  the  actions 
supported under this Regulation should be exercised in accordance with Regulation (EU) N° 
182/2011 of the European Parliament and the Council of 16 February 2011 laying down the 
rules  and  general  principles  concerning  mechanisms  for  control  by  Member  States  of  the 
Commission's  exercise  of  implementing  powers.  Taking  into  account  the  nature  of  those 
implementing  acts,  in  particular  their  policy  orientation  nature  or  their  financial 
implications,  the  examination  procedure  should  in  principle  be  used  for  their  adoption, 
except for technical implementing measures of a small financial scale. 

(18)  Common  Rules  and  procedures  for  the  implementation  of  the  Union's  instruments  for 
external action are laid down in regulation (EU N° …/…of the European Parliament and of 
the Council of …10, hereinafter referred as "the Common Implementing Regulation". 

(19)  The organisation and functioning of the European External Action Service are described in 

Council Decision 2010/427/EU, 

HAVE ADOPTED THIS REGULATION: 

Article 1 

Subject-matter and objectives  

This Regulation establishes a European Instrument for Democracy and Human Rights under which 
the Union shall provide assistance to the development and consolidation of democracy and the rule 
of law and of respect for all human rights and fundamental freedoms. 

10 

OJ… 

EN 

9 

   EN 

 
 
                                                 
Such assistance shall aim in particular at 

(a) 

(b) 

enhancing  the  respect  for  and  observance  of human  rights  and  fundamental  freedoms,  as 
proclaimed  in  the  Universal  Declaration  of  Human  Rights  and  other  international  and 
regional  human  rights  instruments,  and  strengthening  their  protection,  promotion  and 
monitoring,  mainly  through  support  to  relevant  civil  society  organisations,  human  rights 
defenders and victims of repression and abuse; 

supporting  and  consolidating  democratic  reforms  in  third  countries,  by  enhancing 
participatory  and  representative  democracy,  strengthening  the  overall  democratic  cycle, 
and  improving  the  reliability  of  electoral  processes,  in  particular  by  means  of  election 
observation missions.  

Article 2 

Scope 

1. 

Union assistance shall relate to the following fields: 

(a) 

support to and enhancement of participatory and representative democracy, including 
parliamentary democracy, and the processes of democratisation, mainly through civil 
society organisations, inter alia in: 

(i)  promoting  freedom  of  association  and  assembly,  unhindered  movement  of 
persons,  freedom  of  opinion  and  expression,  including  artistic  and  cultural 
expression,  free  press  and  independent  pluralistic  media,  both  traditional  and  ICT 
based,  internet  freedom  and  measures  to  combat  administrative  obstacles  to  the 
exercise of these freedoms, including the fight against censorship; 

(ii)  strengthening  the  rule  of  law,  promoting  the  independence  of  the  judiciary, 
encouraging and evaluating legal and institutional reforms, and promoting access to 
justice; 

(iii)  promoting  and  strengthening  the  International  Criminal  Court,  ad  hoc 
international criminal tribunals and the processes of transitional justice and truth and 
reconciliation mechanisms; 

(iv)  supporting 
transparent  democratic 
to  achieve  effective  and 
accountability  and  oversight,  including  that  of  the  security  and  justice  sectors,  and 
encouraging measures against corruption; 

reforms 

(v)  promoting  political  pluralism  and  democratic  political  representation,  and 
encouraging political participation  by citizens, in particular marginalised groups, in 
democratic reform processes at local, regional and national level; 

(vi)  promoting  the  equal  participation  of  men  and  women  in  social,  economic  and 
political  life,  and  supporting  equality  of  opportunity,  and  the  participation  and 
political representation of women; 

(vii)  supporting  measures  to  facilitate  the  peaceful  conciliation  of  group  interests, 
including  support  for  confidence-building  measures  relating  to  human  rights  and 
democratisation. 

EN 

10 

   EN 

 
 
(b)  promotion and protection of human rights and fundamental freedoms, as proclaimed 
in  the  Universal  Declaration  of  Human  Rights  and  other  international  and  regional 
instruments  concerning  civil,  political,  economic,  social  and  cultural  rights,  mainly 
through civil society organisations, relating to inter alia: 

(i)  the  abolition  of  the  death  penalty,  prevention  of  torture,  ill-treatment  and  other 
cruel, inhuman and degrading treatment or punishment and rehabilitation of victims 
of torture; 

(ii) support for, protection of, and assistance to human rights defenders, in terms of 
Article  1  of  the  UN  Declaration  on  the  Right  and  Responsibility  of  Individuals, 
Groups  and  Organs  of  Society  to  Promote  and  Protect  Universally  Recognized 
Human Rights and Fundamental Freedoms; 

(iii)  the  fight  against  racism  and  xenophobia  and  discrimination  based  on  any 
ground,including sex, race, colour, ethnic or social origin, genetic features, language, 
religion or belief, political or any other opinion, membership of a national minority, 
property, birth, disability, age or sexual orientation; 

(iv) promotion of freedom of thought, conscience and religion or belief, including by 
measures  to  eliminate  all  forms  of  hatred,  intolerance  and  discrimination  based  on 
religion  or  belief  and  by  fostering  tolerance  and  respect  for  religious  and  cultural 
diversity; 

(v) the rights of indigenous peoples and the rights of persons belonging to minorities 
and ethnic groups; 

(vi) the rights of women as proclaimed in the Convention on the Elimination of All 
Forms  of  Discrimination  against  Women  and  its  Optional  Protocols,  including 
measures  to  combat  female  genital  mutilation,  forced  marriages,  crimes  of  honour, 
trafficking, and any other form of violence against women; 

(vii)  the  rights  of  the  child,  as  proclaimed  in  the  Convention  on  the  Rights  of  the 
Child  and  its  Optional  Protocols,  including  the  fight  against  child  labour,  child 
trafficking and child prostitution, and the recruitment and use of child soldiers; 

(viii) the rights of persons with disabilities; 

(ix) economic, social and cultural rights and the promotion of core labour standards 
and corporate social responsibility; 

(x)  education,  training  and  monitoring  in  the  area  of  human  rights  and  democracy, 
and in the area covered by point (vii); 

(xi)  support  for  local,  regional,  national  or  international  civil  society  organisations 
involved  in  the  protection,  promotion  or  defence  of  human  rights  and  in  measures 
referred to in point (vii); 

(c) 

strengthening  of  the  international  framework  for  the  protection  of  human  rights, 
justice,  the  rule  of  law  and  democracy,  and  for  the  promotion  of  international 
humanitarian law, in particular by: 

(i)  providing  support  for  international  and  regional  instruments  concerning  human 
rights, justice, the rule of law and democracy; 

EN 

11 

   EN 

 
(ii)  fostering  cooperation  by  civil  society  with 
international  and  regional 
intergovernmental  organisations,  and  supporting  civil  society  activities  aimed  at 
promoting  and  monitoring  the  implementation  of  international  and  regional 
instruments concerning human rights, justice, the rule of law and democracy; 

(iii) training in and dissemination of international humanitarian law and support to its 
enforcement; 

(d)  building confidence in and enhancing the reliability and transparency of democratic 
electoral processes, while contributing to the efficiency and consistency of the whole 
electoral cycle, in particular, 

(i) through deployment of Union Election Observation Missions; 

ii) through other measures of monitoring electoral processes; 

(iii) by contributing to the development of the electoral observation capacity of civil 
society organisations at regional and local levels, and supporting their initiatives to 
enhance participation in, and the follow-up to, the electoral process; 

(iv) by supporting measures aimed at the consistent integration of electoral processes 
into  the  democratic  cycle  and  at  implementing  recommendations  made  by  Union 
Election Observation Missions; 

2. 

3. 

4. 

The  promotion  and  protection  of  gender  equality,  the  rights  of  the  child,  rights  of 
indigenous  peoples,  rights  of  persons  with  disabilities,  and  principles  such  as 
empowerment,  participation,  non-discrimination  of  vulnerable  groups  and  accountability 
shall be taken into account whenever relevant for all assistance measures referred to in this 
Regulation. 

The assistance measures shall be implemented in the territory of third countries or shall be 
directly related to situations arising in third countries, or shall be directly related to global 
or regional actions. 

The  assistance  measures  shall  take  into  account  the  specific  features  of  crisis  or  urgency 
situations  and  countries  or  situations  where  there  is  a  serious  lack  of  fundamental 
freedoms, where human security is most at risk or where human rights organisations and 
defenders operate under the most difficult conditions. 

Article 3 

General Framework for programming and implementation 

Union assistance under this Regulation shall be implemented through the following measures and in 
accordance with the Common Implementing Regulation: 

(a) 

(b) 

(c) 

Strategy Papers and revisions thereof as appropriate; 

Annual Action Programmes, individual measures and support measures; 

Special Measures. 

EN 

12 

   EN 

 
 
Article 4 

Strategy papers 

1. 

2. 

3. 

Strategy  papers  shall  set  out  the  European  Union's  strategy  for  its  assistance  under  this 
Regulation, based on the Union's priorities, the international situation and the activities of 
the main partners. They shall be consistent with the overall purpose, objectives, scope, and 
principles of this Regulation. 

Strategy papers shall set out the priority areas selected for financing by the Union during 
the period of validity  of  this  Regulation, the specific objectives, the expected results and 
the  performance  indicators.  They  shall  also  give  the  indicative  financial  allocation,  both 
overall and per priority area; this may be given in the form of a range, where appropriate. 

Strategy papers shall be approved in accordance with the procedure laid down in Article 15 
(3) of the Common Implementing Regulation. When significant changes of circumstances 
and  policy  so  require,  strategy  papers  shall  be  updated  in  accordance  with  the  same 
procedure.  

Article 5 

Committee 

The  Commission  shall  be  assisted  by  a  Democracy  and  Human  Rights  Committee,  hereinafter 
referred  to  as  "the  Committee".  That  Committee  shall  be  a  committee  within  the  meaning  of 
Regulation (EU) No 182/2011. 

Article 6 

Financial reference amount 

The financial envelope for the implementation of this Regulation for the period 2014-2020 shall be 
EUR 1 578 000 000  (current  prices).  Annual  appropriations  shall  be  authorised  by  the  budgetary 
authority within the limits of the Financial Framework 2014 – 2020. 

Article 7 

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 8 

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. 

EN 

13 

   EN 

 
 
 
 
 
 
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 

14 

   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 

15 

   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  a 
financing instrument for the promotion of democracy and human rights worldwide 

1.2. 

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

Title 19: External relations 

Activity 19 04: European Instrument for Democracy and Human Rights (EIDHR) 

The  title  of  this  budget  chapter  corresponds  to  the  current  structure  of  the  financial 
instruments 2007-2013. It is proposed to keep the same activity and title 19 04. 

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  instruments  aims  to  support  the following  strategic  objectives  as  stated  in 
the Commission's Communication "A budget for Europe 2020 – Part II" of 29 June 2011 
(COM/2011/500 – Budget for Europe 220 – part II. Policy Fiche "External Action", p. 43): 

This Regulation will have two objectives 

1. Enhancing the respect for and observance of human rights and fundamental freedoms, as 
proclaimed  in  the  Universal  Declaration  of  Human  Rights  and  other  international  and 
regional instruments, as well as strengthening their protection, promotion and monitoring, 
mainly through support to relevant civil society organisations, human rights defenders and 
victims of repression and abuse 

2.  Supporting  and  consolidating  democratic  reforms  in  third  countries,  by  enhancing 
participatory  and  representative  democracy,  strengthening  the  overall  democratic  cycle, 
and  improving  the  reliability  of  electoral  processes,  in  particular  through  election 
observation missions 

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 

16 

   EN 

 
                                                 
1.4.2. 

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

The  two  above  mentioned  objectives  will  be  implemented,  in  practice,  through  various 
specific objectives. 

Specific objective No.1 

Deliver thematic campaigns, mixing advocacy and field operations for great causes (e.g. 
international justice) and addressing serious violations of rights (e.g. torture, death penalty, 
discrimination,  etc..),  as  well  as  providing  core  support  to  key  actors  and  related  civic 
education. 

Specific objective No.2 

Deliver targeted support to the development of thriving civil societies empowering it in its 
quest for and defence of democracy and human rights and to their specific role as actors for 
positive change. 

Specific objective No.3 

Deliver  a  reinforced  capacity  for  the  EU  to  be  able  to  act  in  the  most  difficult 
environments, react quickly to human rights urgencies and in support of Human Rights 
Defender in need of protection. 

Specific objective No.4 

Deliver  a  strengthened  and  better  integrated  approach  to  democratic  cycles,  through 
election observation and other types of support to democratic and electoral processes. 

EN 

17 

   EN 

 
1.4.3.  Expected result(s) and impact 

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

To support tangible results in the promotion and support of democracy and human rights 
worldwide. 

Timely launch of project, including fast reaction mechanism for urgent cases of violation 
and human rights defenders. Timely follow-up, addendum, payment and closing. 

1.4.4. 

Indicators of results and impact  

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

The  implementation  of  the  two  above  mentioned  objectives,  and  the  four  specific 
objectives  will  be  measured  through  inter  alia,  the  following  indicators  of  results  and 
impacts: 

Number  of  campaigns  launched,  including  number  of  advocacies,  and  in  particular  how 
many positives changes obtained in third countries laws and regulations regarding human 
rights clauses; 

Number  of  international  convention  ratification,  and  in  particular  how  many  conventions 
could enter into force in how many countries as a result of our support. 

Number  of  specific  field  operations,  and  in  particular  how  many  weakened  CSo  and/or 
disenfranchised groups have been supported that would have been left alone otherwise. 

Number of citizens, professionals and students trained and exposed to Human Rights and 
Democracy awareness and education, 

Number of key actors supported, in particular international organisation's actions, reports, 
case law and/or statement directly linked to our support, 

Number of civil society projects conducted, at global and at local level, and their impact in 
terms of promotion, protection and monitoring of Human Rights, 

Number  of  Human  Rights  Defender  cases,  in  particular  the  number  of  individuals  being 
protected politically, legally and/or physically and pulled out of their position of abuses; 

Number of projects in most difficult countries and situations, and in particular the number 
of activities and actors reached in these most difficult contexts; 

Number of electoral processes and democratic cycles supported, observed, and followed, in 
particular the number of EU EOMs recommendations implemented in the field. 

1.5. 

Grounds for the proposal/initiative  

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

Section  1  of  the  Explanatory  Memorandum  outlines  the  policy  requirements  that  the 
instrument  aims  to  meet  within  a  context  of  evolving  political  guidance.  Taking  into 
account  the  specific  nature  of  promoting  and  supporting  democracy  and  human  rights 

EN 

18 

   EN 

 
worldwide  as  well  as  responding  to  urgent  human  Rights  violations  of  protection  of 
Human Rights Defenders, requirements will be both short and long term. 

1.5.2.  Added value of EU involvement 

On  the  background  of  its  own  accomplishments  in  conflict  solution,  peace  building  and 
prosperity creation, the EU would seem to be in an excellent position to deliver on external 
action, on behalf of and with its Member States, generally enjoying high credibility in the 
countries where it works in. It is well placed to take on the role of a global leader on behalf 
of its citizens, in particular in its support and promotion of democracy and human rights. 
Yet,  European  added  value  cannot  be  reduced  to  a  balance  sheet:  contributing  to  peace 
building  worldwide,  assisting  the  world's  poorest  people  and  supporting  democratisation 
and  human  rights  respect  are  undisputable  demonstrations  of  how  the  EU  adds  value 
through  its  work  every  day.  This  is  precisely  where  the  priorities  of  the  next  financial 
instruments on EU external action will lie. 

With  27  Member  States  acting  within  the  framework  of  common  policies  and  strategies, 
the  EU  has  the  critical  weight  to  respond  to  global  challenges,  such  as  fostering  the 
universality of human rights for all people. 

Due to its large scale the EU can deliver help in the world's most remote areas, where most 
Member States have little strategic interest, only limited presence and reduced capacity to 
act. Thanks to EU action in, for example, Fiji, Vanuatu or Timor Leste where recently new 
funding for stable democracy and sustainable development was provided, aid reaches the 
people that need it most, but who otherwise would remain without it. 

At a time of budgetary restrictions, when several MS are compelled to exit entire sectors 
and  countries,  the  EU  continues  to  be  able  to  play  an  active  role  in  promoting  peace, 
democracy,  solidarity,  stability,  prosperity  and  poverty  reduction  in  our  immediate 
neighbourhood  and  worldwide.  In  this  context,  it  makes  more  sense  than  ever  from  a 
purely  economic  perspective  to  invest  money at  EU  level  where  a  real  difference  can  be 
made.  In  fact,  acting  through  the  EU  can  actually  save  money  for  MS.  Certain  aid 
effectiveness reforms, especially in terms of division of labour, could add up to potential 
savings  of  between  3  and  6  billion  a  year,  according  to  a  recent  independent  study  (The 
Benefits of a European Approach, by HTSPE). 

Working  with  the  EU  is  also  cheaper.  Administrative  costs  –  estimated  at  5.4%  on  the 
basis of 2009 data - are lower than the average administrative costs of the principal donors 
for  bilateral  aid.  The  administrative  rules  that  apply  are  intended  to  make  sure  that  EU 
taxpayers' money is properly spent, using strict criteria which can be monitored. 

In  addition,  the  European  Commission  is  one  of  the  most  transparent  aid  bodies  in  the 
world.  Such  transparency  is  in  itself  an  important  tool  to  ensuring  effective  value  for 
money.  This  has  been  recognised  by  the  organisation  "Publish  what  you  Fund"  which 
ranked the European Commission in 4th position (out of 30) in it is first Aid transparency 
Assessment of donors in February this year. We are continuing to make further improvements. 

In a recent Green Paper consultation carried out to find out views from stakeholders on our 
development  policy,  all  those  who  responded  agreed  on  the  positive  role  that  the  EU 
played  in  supporting  good  governance  (including  participation  of  civil  society),  security, 
human rights and gender equality. 

EN 

19 

   EN 

 
1.5.3.  Lessons learned from similar experiences in the past 

Reviews and evaluations underlined several strengths 

The  EIDHR  offers  independence  of  action,  allowing  working  without  the  need  for 
government  consent,  which  is  a  critical  feature  especially  in  the  sensitive  areas  of 
democracy  and  human  rights.  Thus,  the  instrument  supports  democratic  education  at 
graduate  level  of  future  young  Belarusian  leaders  abroad  or  tries  to  mitigate  unfair 
criminalization  of  democratic  activists  imprisoned  for  being  in  the  opposition.  The 
defenders of the victims, such as lawyers, have in turn to be defended (through the Human 
Right  Defender  system)  as  they  risk  imprisonment  for  taking  up  the  cases  of  pro-
democracy activists or rights defenders. 

The  EIDHR  also  offers  more  flexibility  and  capacity  to  respond  to  changing 
circumstances, contrasting with the long-term programming approach of the geographical 
programs. An immediate assistance was made available to the reform committee in Tunisia 
to  design  the  roadmap  transition  and  help  civil  society  contribute  to  the  process.  The 
EIDHR will also provide democracy training for political party activists, support free press 
and  independent  pluralistic  media,  both  traditional  and  ICT-based,  including  censorship-
free  and  undisrupted  electronic  communications  technologies,  watch  dog  the  democratic 
transition, and support civic education on democracy. The EIDHR might also be available 
for strengthening the production capacities of media and training of the journalists. In view 
of  the  upcoming  elections  in  Tunisia,  it  is  providing  training  to  thousands  of  local 
observers and fields the envisaged EU Election Observation Mission. 

The  EIDHR  also  works  in  the  most  difficult  environments  where  basic  rights  and 
freedoms  are  most  at  risk.  In  order  to  protect  the  physical  safety  of  activists  and  others 
whose  lives  may  be  seriously  endangered,  the  details  of  such  projects  cannot  be  made 
public.  The  European  Commission  reports  on  these  projects  to  authorized  persons  in  the 
Council, the Parliament and the EEAS on a “need to know” basis and may only commend 
the courage of such dedicated activists.  

These  difficult  cases  represent  about  20  %  of  EIDHR  activities.  Since  2007,  the  EIDHR 
supported more than 100 such projects (€ 60 m illion worth). In particular, supported by its 
network of Human Rights Defenders (HRD), the EIDHR backed 19 HRD projects (€ 13.5 
million worth) in more than 45 countries. 

In those contexts, the EIDHR acts as a breath of fresh air with most projects focusing on 
helping the survival of weakened or shattered civil society and media, opening the door to 
dialogue  and  change.  It  offers  the  chance  for  democratic  education  of  students  and 
vulnerable groups, often based abroad. It helps the advocacy of civil society and diasporas 
abroad.  Sometimes  it  just  simply  tries  to  protect  and,  if  needed,  to  bring  victims  of 
antidemocratic repression out of the country into safety. 

Further  to  the  “Jasmine  revolution”,  it  may  now  be  revealed  that  the  EIDHR  provided 
support in Tunisia in 2010, prior to the transition, to activities of the Tunisian League of 
Human  Rights  (LTDH),  the  Association  of  Democratic  Women  (AFTD),  Trade  Unions 
(UGTT), Judges’ and Lawyers’ Associations and others. Lack of publicity for this support 
at the time might have been interpreted as abandonment or as a lack of responsiveness, but 
in fact the EIDHR was active on the ground. 

Reviews and evaluations have also highlighted three blocks of questions 

EN 

20 

   EN 

 
First,  broadly  defined  objectives  and  strategies  have  caused  some  fragmentation  of 
approaches  and  lack  of  legibility  of  the  Instrument,  creating  risks  of  duplication, 
difficulties  in  measuring  the  impact  of  the  activities  and  a  certain  weakening  of  the 
complementarity. 

Second, while in the most difficult situations the official project description has often been 
clouded  in  more  traditional  development  activities  to  protect  the  project  from  a  hostile 
environment,  the additionality of EIDHR resources out of country consent bears also the 
risk of being used for non-priority activities in terms of the scope of the instrument. This 
has led to establishing qualitative supports. 

Third,  the  necessity  to  increase  the  flexibility  of  the  instrument  is  recurrent.  It  is 
particularly true for the limited part of the instrument addressing the toughest situations in 
terms  of  human  rights  violations  and  urgency of  cases,  for  which  a  system  of  open  calls 
would seem inadequate 

1.5.4.  Coherence and possible synergy with other relevant instruments 

As  a  consequence  of  this  explicit  Treaty  mandate,  promotion  and  support  of  democracy 
and human rights is to be integrated and mainstreamed in all EU policies. 

The  EIDHR  is  part  of  the  architecture  of  different  external  action  financial  instruments 
proposed  jointly  by  the  European  Commission  and  the  High  Representative  for  CFSP.  It 
complements  long  term  instruments  by  focussing  on  CSO  activities  in  the  field  of 
democracy  and  human  rights,  addressing  the  most  difficult  situations,  financing  EU 
Election Observation Missions and supporting local, regional and worldwide campaigns on 
key  human  rights  issues.  It  is  an  essential  part  of  the  wider  external  action  toolbox  to 
promote  and  safeguard  human  rights  respect.  It  also  complements  the  toolbox  of  crisis 
management  and  prevention  alongside  with  humanitarian  aid,  CFSP  operations  and  the 
Instrument  for  Stability  by  providing  rapid  support  in  cases  of  urgent  human  rights 
violations.  It  also  acts  as  a  link  to  relief,  rehabilitation  and  development  activities  by 
offering the possibility for providing physical and mental rehabilitation and reinsertion to 
victim of abuses or assist human rights defenders in urgent protection need. 

It is essential to ensure on the ground, in a pragmatic manner, the coordination with and a 
proper  division  of  labour  between  the  EIDHR  and  other  interacting  instruments,  in 
particular  in  the  needs  assessments  phases  of  cases.  Indeed,  the  EIDHR  complements 
ECHO's operations, as refugees and beneficiaries of humanitarian relief are often victims 
of  human  rights  violations  that  need  to  be  documented,  registered  and  treated.  Strong 
synergies and mutual reinforcement exist with the Instrument for Stability (e.g. in case of 
emergencies),  the  Non  State  Actor  programme  (e.g.  support  to  CSOs),  the  Investing  in 
People  Programme  (e.g.  gender  and  disenfranchised  groups)  and  in  the  future  the  new 
Neighbourhood Civil Society Facility. 

EN 

21 

   EN 

 
1.6. 

Duration and financial impact  

⌧ Proposal/initiative of limited duration  

–  ⌧ Proposal/initiative in effect from 01/01/2014 

–    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. 

1.7.  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  

⌧ 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 address sensitive and complex cases of Human Rights and 
Democracy,  in  particular  in  the  most  difficult  countries  and  situations  as  well  urgent  protection 
needs, requires it benefit from a 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 

22 

   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. 

First,  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. 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

The operational environment of operations to be conducted under this instrument is characterised by 
the following risks to achieving the objectives of this Instrument: 

– 

– 

EN 

The targeted difficult environments in which the instrument operates in particular in most 
difficult  countries/situations,  may  create  physical  and  political  constraints  on  delivering 
projects 

Dispersed and small projects world wide may create resource challenges in implementation 
and monitoring, 

23 

   EN 

 
– 

– 

– 

The  large  variety  of  beneficiaries  with  various  management  and  control  structures  and 
often poor capacity may create lead to difficulty and delays in the implementation, 

The limited quality and quantity, and often controversial nature, of data on the evolution of 
democracy  and  human  rights  in  various  third  countries  may  hinder  the  Commission's 
capacity to report and be accountable for results, 

A lack of administrative credits may laid to insufficient resources to properly manage the 
instrument. 

2.2.2.  Control method(s) envisaged  

Commission internal control 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 the compliance with the relevant legislative, financial and procedural framework. 

The  Commission  applies  wide  Strategic  Policy  and  Planning  Process,  internal  and  external  audit 
and  other  Commission's  Internal  Controls  Standards.  The  Commission  will  continue  to  use  its 
current accounting system (ABAC) as well as external aid specific tool such as the Common Relex 
Information  System  (CRIS).  It  will  pursue  the  highest  standards  of  accounting  an  d  financial 
reporting to ensure a continued unqualified opinion from its external auditors (Court of Auditors). 

In addition, in order to achieve upmost effectiveness and efficiency, the Commission uses a tailor 
made approach which includes: 

– 

– 

– 

– 

– 

– 

– 

– 

- a devolved management of a sound part of its aid by EU delegation in the field 

-  clear  lines  of  financial  accountability  via  sub-delegations  of  Authorising  Authorities  in 
HQ and in the delegations, 

- regular reporting, including annual Statement of Assurance by the Head of Delegation, 

- substantial training programme both at HQ and in Delegation 

- significant support and guidance,  

- regular verifications, 

-  a  Project  Cycle  Management  methodology,  and  a  quality  support  to  each  of  its 
components, 

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

2.3.  Measures to prevent fraud and irregularities  

Given the high risk environment in which EuropeAid/FPI 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 EuropeAid/FPI's compliance controls will place most reliance 
on  significant  ex-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. 

EN 

24 

   EN 

 
EuropeAid/FPI'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 

EuropeAid/FPI 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: 

– 

– 

– 

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

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

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); 

EN 

25 

   EN 

 
– 

Where  necessary,  networking  groups  and  adequate  IT  tools  dedicated  to  analysing  fraud 
the  costs  and 
cases related to the external aid sector could be set up.2.4. Estimate  of 
benefits of the controls 

For  the  EuropeAid  portfolio  as  a  whole,  internal  control  /  management  costs  total  an  estimated 
in  commitments  in  the  2014-2020  budget  planning.  This  figure 
annual  average  of  €  658  million 
includes the 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 preventative 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  risksinvolved  in  removing  or  scaling  back 
internal controls in this high risk area. 

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1. 

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. 

Budget line 

Type of  
expenditure

Contribution  

Diff./non-
diff 
(15) 

from 
EFTA16 
countries 

from 
candidate 
countries17 

from third 
countries 

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

N/A. 

NO 

NO 

NO 

NO 

19  04:  European 
Democracy and Human Rights 

Instrument 

for 

19  04  01  European  Instrument  for 

Heading of 
multiannual 
financial 
framework  Number: 

IV 

15 
16 
17 

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

EN 

26 

   EN 

 
                                                 
Democracy 
(EIDHR) 

and  Human  Rights 

19 04 03 Electoral observation 

19  04  05  Completion  of  former 
cooperation 

19  04  06  Pilot  project-  Civil  Society 
Forum EU-Russia 

19  04  07  Pilot  Project  -  Funding  for 
victims of torture 

•  New budget lines requested  

In order of multiannual financial framework headings and budget lines. 

Heading of 
multiannual 
financial 
framework  Number 19 04 

Budget line 

Type of 
expenditure

Contribution  

Diff./non-
diff. 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

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

19  04:  European 
Democracy and Human Rights 

Instrument 

for 

19  04  01  European  Instrument  for 
Democracy 
and  Human  Rights 
(EIDHR without EU EOM) 

IV 

19  04  02  EU  Election  Observation 
Missions (EU EOMs) 

19  04  03  Completion  of  former 
cooperation 

N/A 

NO 

NO 

NO 

NO 

EN 

27 

   EN 

 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure 

Heading of multiannual financial 
framework:  

4 

"Global Europe" 

EUR million (to 3 decimal places) 

DG: DEVCO/FPI 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

(cid:121) Operational appropriations 

19 04 

Appropriations  of  an  administrative  nature 
financed  
from 
programmes18  
Number of budget line 19.0104 03 

envelope 

specific 

the 

for 

Commitments 

Payments 

(1) 

(2) 

(3) 

198,63  

202,84  

207,04   

211,34  

213,93  

220,24  

224,84  

1.478,87   

178,43  

182,24  

186,04   

189,94  

192,03  

197,94  

202,14  

1.328,77   

13,57  

13,66  

13,76   

13,86  

15,77  

14,06  

14,16  

98,83   

TOTAL appropriations 

Commitments 

=1+1a 
+3 

for DG DEVCO/FPI 

Payments 

=2 

+3 

212,20  

216,50  

220,80   

225,20  

229,70  

234,30  

239,00  

1.577,70   

192,00  

195,90  

199,80   

203,80  

207,80  

212,00  

216,30  

1.427,60   

18 

EN 

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. 

28 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
  
  
   
  
  
  
  
  
  
  
   
  
  
  
  
  
 
 
 
 
 
 
 
 
 
 
 
  
  
   
  
  
  
  
  
  
  
   
  
  
  
  
  
 
  
  
   
  
  
  
  
  
                                                 
(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelope for specific programmes  

(4) 

(5) 

(6) 

TOTAL appropriations  
under HEADING <4> 
of the multiannual financial framework 

Commitments 

=4+ 6 

Payments 

=5+ 6 

198,63  

202,84  

207,04   

211,34  

213,93  

220,24  

224,84  

1.478,87   

178,43  

182,24  

186,04   

189,94  

192,03  

197,94  

202,14  

1.328,77   

13,57  

13,66  

13,76   

13,86  

15,77  

14,06  

14,16  

98,83   

212,20  

216,50  

220,80   

225,20  

229,70  

234,30  

239,00  

1.577,70   

192,00  

195,90  

199,80   

203,80  

207,80  

212,00  

216,30  

1.427,60   

EN 

29 

EN 

 
  
 
 
 
  
  
   
  
  
  
  
   
  
  
   
  
  
  
  
   
  
  
   
  
  
  
  
   
  
  
   
  
  
  
  
   
  
  
   
  
  
  
  
   
Heading of multiannual financial 
framework:  

5 

" Administrative expenditure " 

EUR million (to 3 decimal places) 

EUR million (to 3 decimal places) 

DG: DEVCO / FPI 

(cid:121) Human resources  

(cid:121) Other administrative expenditure  

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

7,168  

7,096  

7,024   

6,953  

6,953  

6,953  

6,953  

                    49,100   

0,595  

0,547  

0,541   

0,540  

0,541  

0,541  

0,541  

                      3,846   

TOTAL DG DEVCO / FPI 

Appropriations  

7,763  

7,643  

7,565   

7,493  

7,494  

7,494  

7,494  

                    52,945   

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

7,763  

7,643  

7,565   

7,493  

7,494  

7,494  

7,494  

52,945   

EUR million (to 3 decimal places) 

Year 
N 2014 

Year 
N+1 
2015 

Year 
N+2 
2016 

Year 
N+3 
2017 

Year 
N+4 
2018 

Year 
N+5 
2019 

Year 
N+6 
2020 

TOTAL 

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

Commitments 

Payments 

219,963  

224,143  

228,365   

232,693  

237,194  

241,794  

246,494  

               1.630,645   

199,763  

203,543  

207,365   

211,293  

215,294  

219,494  

223,794  

               1.480,545   

EN 

30 

EN 

 
  
 
 
 
 
  
  
   
  
  
  
  
  
  
   
  
  
  
  
  
  
   
  
  
  
  
 
  
  
   
  
  
  
  
  
 
 
 
  
  
   
  
  
               
               
  
  
   
  
  
  
  
3.2.2.  Estimated impact on operational appropriations 

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

–  ⌧ The proposal/initiative requires the use of operational appropriations, as explained below: 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

OUTPUTS 

Commitment appropriations in EUR million (to 3 decimal places) 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

Total 
number 
of outputs 

Total  
cost 

Indicate 
objectives and 
outputs  

(cid:216) 

Type 
of 
output
19 

Aver
age 
cost  
of the 
outpu
t 

SPECIFIC OBJECTIVE No 120 

Thematic campaigns (i.e. torture, 
death penalty etc..) 

Sub-total for specific objective N°1 

78-
88 

43-
53 

78-
88 

43-
53 

78-
88 

43-
53 

78-
88 

43-
53 

78-
88 

43-
53 

78-
88 

43-
53 

78-
88 

43-53 

546-616 

20-25 % 

SPECIFIC OBJECTIVE No 2 

Development of thriving civil 
societies 

Sub-total for specific objective N°2 

340-
390 

76 

340-
390 

76 

340-
390 

76 

340-
390 

76 

340
-
390 

76 

340-
390 

76 

340
-
390

76 

2380- 
2730 

35-40 % 

SPECIFIC OBJECTIVE No 3 

Human Rights urgencies and most 

19 
20 

Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 
As described in Section 1.4.2. "Specific objective(s)…" 

EN 

31 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
difficult situations 

Sub-total for specific objective N°3 

52-
76 

22,2-
33,2 

52-
76 

22,2-
33,2 

52-
76 

22,2-
33,2 

52-
76 

22,2-
33,2 

52-
76 

22,2-
33,2 

52-
76 

22,2-
33,2 

52-
76 

22,2-
33,2 

294-371 

20-25 % 

SPECIFIC OBJECTIVE No 4 

Support to democratic cycles 

Sub-total for specific objective N°4 

47-
86  

46,4-
76,6 

47-
86  

46,4-
76,6 

47-
86  

46,4-
76,6 

47-
86  

46,4-
76,6 

47-
86  

46,4-
76,6 

47-
86  

46,4-
76,6 

Of which Election Observations 
Mission (EOMs) 

11-
14 

44-
55 

11-
14 

44-
55 

11-
14 

44-
55 

11-
14 

44-
55 

11-
14 

44-
55 

11-
14 

44-
55 

TOTAL COST 

506-
640 

198,
63 

506-
640 

506-
640 

202,
84  

506-
640 

207,
04  

211,

34   

506
-
640 

506-
640 

213,
93  

220,
24  

47-
86 

11-
14 

506
-
640

46,4-
76,6 

329-602 

25-30 % 

44-55 

77-98 

20-25 % 

224,8
4 

3542-
4480 

1.478,87   

EN 

32 

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 

–  ⌧ The  proposal/initiative  requires  the  use  of  administrative  appropriations,  as 

explained below: 

Year 
N 21 2014 

Year 
N+1 
2015 

Year 
N+2 
2016 

Year 
N+3 2107 

Year 
N+4 2018 

Year 
N+5 2019 

Year 
N+6 
2020 

TOTA
L 

EUR million (to 3 decimal places) 

HEADING 5 
of the 
multiannual 
financial 
framework 

Human 
resources  

Other 
administrative 
expenditure  

Subtotal 
HEADING 5 
of the multiannual 
financial 
framework  

Outside 
HEADING 522 
of the multiannual 
financial 
framework  

Human 
resources  

Other 
expenditure  
of an 
administrative 
nature 

Subtotal  
outside HEADING 
5 
of the multiannual 
financial 
framework  

7,17   

7,10  

7,02  

6,95  

6,95   

6,95   

6,95  

49,10  

0,595   

0,547  

0,541  

0,540  

0,541   

0,541   

0,541  

3,846  

7,763   

7,643  

7,565  

7,493  

7,494   

7,494   

7,494  

52,945  

8,81   

8,81  

8,81  

8,81  

8,81   

8,81   

8,81  

61,67  

4,76   

4,85  

4,95  

5,05  

6,96   

5,25   

5,35  

37,16  

13,57   

13,66  

13,76  

13,86  

15,77   

14,06   

14,16  

98,83  

21 
22 

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 

33 

   EN 

 
 
 
 
 
 
 
 
 
 
   
  
  
  
  
   
  
  
   
  
  
  
  
   
  
  
   
  
  
  
  
   
  
  
 
 
 
 
 
 
 
 
   
  
  
  
  
   
  
  
   
  
  
  
  
   
  
   
  
  
  
  
   
  
                                                 
TOTAL 

21,333  

21,306  

21,324  

21,349  

23,264  

21,551  

21,654  

151,780  

3.2.3.2.  Estimated requirements of human resources 

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

–  ⌧ 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) 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

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

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

XX 01 01 02 (Delegations) 

XX 01 05 01 (Indirect research) 

10 01 05 01 (Direct research) 

35,1  

34,8  

34,4  

34,1  

34,1  

34,1  

34,1  

9,8   

9,7   

9,6   

9,5   

9,5   

9,5   

9,5   

(cid:121) External personnel (in Full Time Equivalent unit: FTE)23 

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

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

5,2 

5,2 

5,1 

5,1 

5,1 

5,1 

5,1 

XX 01 04 yy 24 

- at Headquarters25 
- in delegations  

34,7   

73,4 

34,1   

33,4   

32,7   

32,1   

31,5   

30,9   

73,4 

73,4 

73,4 

73,4 

73,4 

73,4 

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

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

Other budget lines (specify) 

TOTAL 

158,3  

157,1  

155,9  

154,8    154,1    153,5   

152,9  

For 2014, human resources under Heading 5 are split as follows between DEVCO and FPI: 

- Establishment plan: 5,5 FTE for FPI and 39,4 FTE for DEVCO (Total = 44,9 FTE) 

- External personal: 3,2 FTE for FPI and 2 FTE for DEVCO (Total : 5,2 FTE) 

23 

24 
25 

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). 
Essentially  for  Structural  Funds,  European  Agricultural  Fund  for  Rural  Development  (EAFRD)  and 
European Fisheries Fund (EFF). 

EN 

34 

   EN 

 
  
 
 
 
 
  
 
 
 
 
  
  
  
   
   
 
  
        
        
       
        
       
         
       
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
As regards human resources under Heading 4 (BA line of the EIDHR programme), the staff 
that  will  be  financed  by  the  BA  line  in  2014  amounts  to  102,1  CA  for  Devco  (28,7  at 
Headquarters and 73,4 CA in Delegations) and 6 CA for FPI in Headquarters 

XX 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. 

Description of tasks to be carried out: 

Officials and temporary agents 

Financial and Operational decisions and implementation. 

External personnel 

Technical implementation 

EN 

35 

   EN 

 
3.2.4.  Compatibility with the current multiannual financial framework  

–  ⌧ Proposal/initiative is compatible the current multiannual financial framework. 

–  ⌧ 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 framework26. 

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 

–  (cid:133)The proposal/initiative provides for the co-financing estimated below: 

3.3. 

Estimated impact on revenue  

–  (cid:133)  Proposal/initiative has no financial impact on revenue. 

–  ⌧ Proposal/initiative has the following financial impact: 

– 

– 

⌧ 

(cid:133) 

on own resources 

on miscellaneous revenue 

26 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

36 

   EN