Proposal for a COUNCIL REGULATION establishing a European Instrument for Nuclear Safety complementing the Neighbourhood, Development and International Cooperation Instrument on the basis of the Euratom Treaty
Date: 2018-06-14
Institutions: Directorate-General for International Cooperation and Development, European Commission
Subjects: EU financial instrument, EU programme, European neighbourhood policy, cooperation policy, development policy, nuclear safety, peaceful use of energy, radioactive materials

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   EUROPEAN COMMISSION  Brussels, 14.6.2018 COM(2018) 462 final 2018/0245 (NLE)  Proposal for a COUNCIL REGULATION establishing a European Instrument for Nuclear Safety complementing the Neighbourhood, Development and International Cooperation Instrument on the basis of the Euratom Treaty   {SWD(2018) 337 final} - {SEC(2018) 310 final}  
 
 
EXPLANATORY MEMORANDUM 

1. 

• 

CONTEXT OF THE PROPOSAL 

Reasons and objectives  

This  proposal  is made  in  the context  of the Multiannual Financial  Framework  (MFF) 2021-
2027  as  outlined  in  the  communication  ‘A  modern  Budget  for  a  Union  that  Protects, 
Empowers  and  Defends  –  The  Multiannual  Financial  Framework  2021-2027’1  from  the 
Commission  to  the  European  Parliament,  the  European  Council  and  the  Council,  the 
European  Economic  and  Social  Committee  and  the  Committee  of  the  Regions.  The 
communication  sets  the  main  priorities  and  overall  budgetary  framework  for  EU  external 
action  programmes  under  the  heading  ‘Neighbourhood  and  the  World’.  The  European 
Instrument  for  Nuclear Safety  complements  this  framework  with  activities  to  be carried  out 
within  the  framework  of  the  Treaty  establishing  the  European  Atomic  Energy  Community 
(Euratom Treaty). 

The  objective  of  the  new  European  Instrument  for  Nuclear  Safety  is  to  promote  the 
establishment  of  effective  and  efficient  nuclear  safety  standards  in  third  countries  in 
accordance with Article 203 of Euratom Treaty, building on the experience of nuclear safety 
activities within the Euratom Community. 

The non-proliferation regime has been challenged in recent years and calls for a continuous 
support to strengthen the international framework to prevent the spread of weapons of mass 
destruction.  This  is  the  primary  role  of  the  safeguards  of  nuclear  materials  which  aims  at 
preventing  and  detecting  the  diversion  of  nuclear  materials.  Moreover,  under  different 
association  and  partnership  agreement  (e.g.  with  Ukraine),  the  Union  has  committed  to 
support  the  concerned  countries  in  adopting  in  their  national  legislation  the  acquis 
communautaire, including nuclear safeguards. 

Under  the  Multiannual  Financial  Framework  2014-2020,  a  financing  instrument  which  will 
expire on 31 December 2020 was dedicated to the promotion of a high level of nuclear safety 
(Regulation  (EURATOM)  237/2014  establishing 
the  Instrument  for  Nuclear  Safety 
Cooperation). 

In  line  with  the  Communication  ‘A  new,  modern  Multiannual  Financial  Framework  for  a 
European Union that delivers efficiently on its priorities post-2020’2 and as concluded in the 
impact assessment3 that accompanies this Regulation, most instruments should be streamlined 
into one broad instrument. Parts of nuclear safety cooperation activities currently covered by 
the  Instrument  for  Nuclear  Safety  Cooperation  may  not  fall  under  a  streamlined  broad 
instrument, since they need to follow the specific procedure of Article 203 of Euratom Treaty 
which is incompatible with the Neighbourhood, Development and International Cooperation 
Instrument  (NDICI)  procedure  based  on  Articles  209  and  212  of  the  Treaty  on  the 
Functioning of the European Union. 
Recent reviews and evaluations4 of the external instruments have shown the added value and 
relevance of the existing instruments. However, they have also highlighted opportunities for 
improvements,  in  particular  the  need  to  simplify  ways  of  working  and  to  enable  the  EU  to 
respond  to  unforeseen  circumstances  with  greater  flexibility.  The  lessons  learned  taken 

1 
2 
3 
4 

COM (2018) 321 final 
COM/2018/092 final 
SWD (2018) 337. 
https://ec.europa.eu/europeaid/mid-term-review-report-external-financing-instruments_en  

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together  with  the  growing  challenges  have  prompted  the  Commission  to  modify  the 
architecture of the external financing instruments to the extent possible. 

This proposal provides for a date of application as of 1 January 2021 and is presented for a 
Union  of  27  Member  States,  in  line  with  the  notification  by  the  United  Kingdom  of  its 
intention to withdraw from the European Union and the European Atomic Energy Community 
based on Article 50 of the Treaty on European Union received by the European Council on 29 
March 2017. 

• 

Consistency with existing policy provisions 

This  proposal  provides  an  enabling  framework  through  which  external  action  policies  and 
international obligations can be implemented. 

• 

Consistency with other Union policies 

When implementing this Regulation, consistency with other areas of external action and with 
other relevant EU policies will be ensured. As reflected in the 2030 Agenda, this means taking 
into account the impact of all policies on sustainable development at all levels — nationally, 
within the EU, in other countries and at global level.  

Moreover, synergies with actions under other EU programmes should be sought, in order to 
maximise the impact of combined interventions. Interactions and complementarity with such 
programmes should allow for an enhanced Union impact. Actions funded under this proposal 
should  be  consistent  and  complementary  to  those  carried  out  under  the  Neighbourhood, 
Development  and  International  Cooperation  Instrument5  covering  nuclear  activities,  the 
Instrument  for  Pre-Accession  III6,  the  Decision  on  Overseas  Countries  and  Territories7,  the 
common foreign and security policy and the newly proposed European Peace Facility8 which 
is financed outside the EU budget.  

2. 

• 

LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY 

Legal basis 

This proposal is based on Article 203 of the Treaty establishing the European Atomic Energy 
Community. 

• 

Subsidiarity   

The Union and the European Atomic Energy Community (“the Community”) are together in a 
unique  position  to  deliver  external  assistance  for  a  number  of  reasons.  Their  status  as  a 
supranational  entity  brings  with  it  political  influence  and  consequent  leverage.  The 
Community  has  a  global  presence  through  its  Union  delegations,  which  ensures  a  vast 
network  of  information  on  developments  affecting  countries  worldwide.  The  EU  and  the 
Community  are  also  parties  to  most  multilateral  processes  aiming  at  addressing  global 

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8 

Regulation  COM(2018)460  final  Proposal  for  a  Regulation  of  the  European  Parliament  and  of  the 
Council establishing the Neighbourhood, Development and International Cooperation Instrument. 
COM  (2018)  465  final  Proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council 
establishing the Instrument for Pre-accession Assistance (IPA III). 
COM(2018)  461  final  Proposal  for  a  Council  Decision  on  the  Association  of  the  Overseas  Countries 
and  Territories  with  the  European  Union  including  relations  between  the  European  Union  on  the  one 
hand, and Greenland and the Kingdom of Denmark on the other ('Overseas Association Decision'). 
C(2018) 3800 final Proposal of the High Representative of the Union for Foreign Affairs and Security 
Policy to the Council for a Council Decision establishing a European Peace Facility. 

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challenges. This allows the EU and the Community to be constantly aware of new needs and 
problems and, therefore, to reallocate resources accordingly. Complementarities at the level of 
the  Community  and  the  Union  action  and  the  actions  carried  out  by  the  Member  States  are 
increasing.  This  enhances  dialogue  and  cooperation  with  partner  countries,  which  is 
increasingly channelled through joint programming with Member States.  

The  Union  and  the  Community  are  also  able  to  complement  Member  States  activities  in 
dealing  with  potentially  dangerous  situations  or  in  the  event  of  particularly  costly 
interventions.  In  some  areas  where  Member  States  are  not  active,  the  Union  and  the 
Community remain the main, and sometimes the only, actors to intervene. 

The subsidiarity related to nuclear safety and nuclear safeguards activities is referred to in the 
Euratom Treaty and in particular in the furtherance of the objectives contained in Title Two 
Chapters 3 and 7 thereof. The Community also pursues close cooperation, in accordance with 
Chapter 10, with the International Atomic Energy Agency (IAEA) in this specific area. 

The  EU  and  the  Community  have  significant  expertise  in  this  field  originating  from  the 
history of Europe itself, building on its own safeguard activities within the Union, and from 
successful  policies.  It  has  a  recognised  international  reputation  in  the  area  of  the  nuclear 
safety  and  nuclear  safeguards  of  nuclear  materials  in  particular  through  its  role  in 
implementing  safeguards  in  the  EU  and  in  supporting  the  International  Atomic  Energy 
Agency.  

The  EU  and  the  Community  can  provide  added  value  based  on  the  volume  of  resources 
channelled  through  its  instruments,  its  relatively  flexible  modes  of  management  and  the 
predictability of resources over the period of the Multi-annual Financial Framework.  

• 

Proportionality 

In line with the principle of proportionality, the proposed Regulation does not go beyond what 
is necessary to achieve its objectives. 

• 

Choice of the instrument 

One of the objectives of the Euratom Treaty is to attain a high level of nuclear safety in the 
Union. This should also be achieved outside of the Union. Since the Euratom Treaty has not 
provided  the  necessary  powers,  on  the  basis  of  Article  203,  appropriate  measures  must  be 
taken. The proposal takes the form of a Regulation, ensuring its uniform application, binding 
nature in its entirety and direct applicability.  

3. 

RESULTS  OF  RETROSPECTIVE  EVALUATIONS,  STAKEHOLDER 
CONSULTATIONS AND IMPACT ASSESSMENTS 

Retrospective evaluations/fitness checks of existing legislation 

• 
The  mid-term  review  report9  adopted  by  the  Commission  on  ten  of  the  external  financing 
instruments10,  the  ex post evaluation reports on  macro-financial  assistance  and  the  mid-term 

9 

The mid-term review report COM(2017) 720 final, was based on ten staff working documents, one per 
instrument  (see  list  below),  which  in  turn  were  based  on  ten  independent  evaluations.  The  mid-term 
report,  the  staff  working  documents  and  the  independent  evaluations  can  be  found  at  here: 
https://ec.europa.eu/europeaid/public-consultation-external-financing-instruments-european-union_en 

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review  on  the  European  Investment  Bank  external  lending  mandate11  all  concluded  that  the 
external  financing  instruments  were,  overall,  fit  for  purpose  and  that  positive  trends  were 
emerging in relation to the achievement of objectives. The reports show that more resources 
are  needed  for  external  financing  instruments  because  they  have  been  stretched  to  their 
financial limit. 

The instruments set the scope, objectives and procedures for implementing the policies.  The 
mid-term review report has shown that their enabling nature allows them to cover most needs 
and goals of EU and Community external action. They would benefit from better reflecting a 
number of developments such as: the new policy framework including the universal coverage 
of  the  2030  Agenda  and  the  external  projection  of  internal  policies.  In  addition,  more 
consideration needs to be given to the links between development and security and the overall 
level of ambition for peace and security in external action. 

Consistency  is  needed  between  an  instrument's  component  parts,  between  different 
instruments  and  with  donors.  Overall,  the  mid-term  review  report  notes  mixed  findings  on 
coherence. In terms of coherence within the instruments, the findings were satisfactory. There 
was a certain level of consistency between the instruments but the multiplicity of programmes 
sometimes led to overlapping actions, in particular complex cooperation with more advanced 
developing countries. In addition, the interplay between geographic and thematic approaches 
sometimes resulted in inconsistent responses at country level. 

• 

Stakeholder consultations 

When drafting the evaluation documents that fed into the mid-term review report, three types 
of  consultations  with  stakeholders  were  held.  Evaluators  carried  out  some  one  thousand 
structured  or  semi-structured  interviews  with  EU  officials  and  representatives  from  EU 
institutions, Member States and partner countries. Several technical workshops were held to 
present  and  discuss  the  draft  evaluations  with  participants  from  the  European  Parliament, 
Council working groups, Member States committees, and civil society organisations and local 
authorities.  An  open  public  consultation  was  held  in  201712.  It  aimed  at  gathering  feedback 
from  stakeholders  on  the  findings  emerging  from  the  evaluations  of  the  instruments  and  on 
the future external financing instruments after 202013. 

The main messages emerging from the stakeholders consulted are summarised below. 

Flexibility: Stakeholders agreed that the new financing instruments should be more flexible in 
responding to unforeseeable challenges and crises. In particular, they underlined the need to 
make it easier to shift funds across regions and between aid modalities. However, it was also 
underlined that increasing flexibility should not come at the cost of less predictability, weaker 
country ownership and less focus on achieving long-term development objectives. To ensure 
flexibility and predictability, some respondents argued in favour of having sufficient reserves. 

Coherence:  Stakeholders  considered  it  necessary  to  ensure  greater  consistency  between  the 
internal  and  external  policies  of  the  EU,  and  between  the  external  instruments  themselves. 

10 

11 
12 
13 

The  10  instruments  were  the:  Development  Cooperation  Instrument  (DCI);  European  Development 
Fund  (EDF);  European  Neighbourhood  Instrument  (ENI);  Instrument  for  Pre-Accession  (IPA  II); 
Instrument contributing to Stability and Peace (IcSP); European Instrument for Democracy and Human 
Rights  (EIDHR);  Partnership  Instrument  (PI);  Instrument  for  Nuclear  Safety  Cooperation  (INSC); 
Greenland Decision (GD); and Common Implementing Regulation (CIR). 
http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:52016DC0584   
https://ec.europa.eu/europeaid/public-consultation-external-financing-instruments-european-union_en 
For more information on the public consultation see https://ec.europa.eu/europeaid/public-consultation-
external-financing-instruments-european-union_en 

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Some emphasised the need to strengthen complementarity and synergy between geographical 
and thematic instruments. Others argued that the Sustainable Development Goals provide the 
most appropriate basis for increasing consistency between internal and external policies. Most 
recommended that the EU take a leading role in improving complementarity between various 
stakeholders, both inside and outside the EU. 

Some  respondents  highlighted  the  risk  of  overlap  whereby  the  same  policy  objectives  are 
funded by multiple instruments. Respondents also called for clear delineation of instruments, 
while  underlining  the  need  to  ensure  that  geographic  and  thematic  programmes  take 
advantage of cross-sectoral synergies and linkages between them. 

Complementarity: On the structure of future instruments, stakeholders agreed that combining 
geographic and thematic programmes brings positive results. They emphasised that the value 
of geographically structured instruments lies in their capacity to address the specific needs of 
partner countries in a tailored manner. This is crucial given the diversity of the challenges and 
needs across these countries. Global, targeted interventions offered by instruments such as the 
Partnership  Instrument  and  the  Instrument  contributing  to  Stability  and  Peace  was  also 
appreciated by stakeholders. 

Simplification: The EU was strongly encouraged to further simplify the overall architecture of 
the  instruments.  The  EU  should  also  continue  its  efforts  to  simplify  cumbersome 
administrative  and  financial  procedures.  Civil  society  and  local  authorities  emphasised  that 
procedures and rules currently in place have important implications for their ability to become 
more involved in development cooperation. 

Leverage:  Stakeholders  agreed  that  innovative  financial  instruments  can  play  an  important 
role  in  leveraging  public  and  private  financing  for  EU  external  assistance.  The  positive 
findings on the leverage effects and financial additionality of such instruments  in the recent 
evaluation  on  blending14  are  considered  encouraging.  However,  civil  society  respondents 
raised  concerns  about  private  sector  priorities  overriding  poverty  reduction  objectives  in 
partner countries. 

to 

Since nuclear safety, including safeguards fall under the Euratom Treaty, this proposal cannot 
the  concerns  expressed  by  stakeholders.  Nevertheless  coherence  and 
respond 
complementarity  with  the  Neighbourhood,  Development  and  International  Cooperation 
Instrument  which  responds  to  the  main  concerns  raised  by  stakeholders  will  be  ensured, 
including  by  implementing  activities  in  the  nuclear  field  that  are  ancillary  to  its  broader 
objectives,  mainly  peaceful  uses  of  nuclear  energy  in  line  with  the  development  and 
international cooperation policy for health, agriculture, industry and social projects addressing 
the consequences of any nuclear accident. 

• 

External expertise 

The mid-term review report and associated staff working documents were largely based on a 
set of independent evaluation reports conducted between 2016 and 2017 (one evaluation per 
instrument). At the same time, an independent report was also produced on the set of external 
action instruments covered by the mid-term review report, drawing key lessons and messages 
from them 15.  

14 
15 

See https://ec.europa.eu/europeaid/evaluation-blending_en 
See 
union_en 

https://ec.europa.eu/europeaid/public-consultation-external-financing-instruments-european-

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Beyond these recent  reports, the OECD Development Assistance  Committee peer review of 
the  EU’s  development  cooperation  in  201216  came  up  with  a  set  of  recommendations  with 
regard to the architecture, rules and procedures of the Union's external financing instruments. 
For example, the OECD called on the EU to further simplify and modernise cooperation, by 
reducing  the  number  of  budget  items,  aligning  the  rules  of  the  Development  Cooperation 
Instrument  and  European  Development  Fund,  streamlining  approval  procedures  and 
increasing  consistency  between  regional  and  thematic  programmes.  The  EU  was  asked  to 
become  more  effective,  timely  and  flexible  both  at  programme  level  and  across  the  set  of 
instruments.  The  latter  was  particularly  sought  after  in  situations  of  fragility  and  crisis,  in 
which the OECD saw significant room for improvement. 

Impact assessment 

• 
In  2018  the  Commission  carried  out  an  impact  assessment17  covering  the  external  action 
heading ‘Global Europe’ under the 2014-2020 Multi-annual Financial Framework focusing on 
the  major  changes  proposed  for  external  action,  including  streamlining  several  instruments 
into  one  broad  instrument  and  the  integration  of  the  activities  currently  financed  by  the 
European Development Fund into the EU budget. 

The  impact  assessment  also  concluded  that  most  instruments  aside  from  those  with  a  very 
specific  nature  such  as  humanitarian  aid  with  its  principle  of  neutrality  could  be  merged  in 
one  instrument,  namely:  the  Common  Implementing  Regulation,  Development  Cooperation 
Instrument,  European  Development  Fund,  European  Fund  for  Sustainable  Development, 
External  Lending  Mandate,  European  Neighbourhood  Instrument,  European  Instrument  for 
Democracy  and  Human  Rights,  Guarantee  Fund,  Instrument  contributing  to  Stability  and 
Peace,  Instrument  for  Nuclear  Safety  Cooperation18  and  Partnership  Instrument.  Those 
instruments  that  should  remain  separate  are:  the  instrument  for  pre-accession  assistance; 
humanitarian  aid;  the  common  foreign  and  security  policy  budget;  overseas  countries  and 
territories  including  Greenland;  the  EU’s  Union  Civil  Protection  Mechanism;  the  EU  aid 
volunteers scheme; support for the Turkish Cypriot community; the Emergency Aid Reserve; 
and the new European Peace Facility. 

As  noted  by  the  Commission19  and  supported  by  feedback  from  partners  during  the  open 
public  consultation,  the  current  architecture  of  the  external  financing  instruments  is  too 
complex. Streamlining a number of instruments into one broad instrument would provide an 
opportunity  to  rationalise  their  management  and  oversight  systems  and  so  reduce  the 
administrative burden for all stakeholders. Having a simplified oversight system would allow 
the  relevant  institutions  to  have  a  better,  more  comprehensive  view  of  the  EU’s  external 
expenditure.  

A  broad  instrument  would  provide  a  more  geographically  and  thematically  comprehensive 
approach,  facilitating  the  implementation  of  different  policies  in  a  trans-regional,  multi-
sectoral and global way. The EU would facilitate coherent responses and synergies, breaking 
down thematic and geographic silos. 

16 

17 
18 

19 

http://www.oecd.org/dac/peer-
reviews/europeanunion2012dacpeerreviewmainfindingsandrecommendations.htm  
SWD (2018) 337. Placeholder 
Except for nuclear activities that need to  follow the specific procedure of Article 203 of the Euratom 
Treaty. 
In  particular,  in  the  ‘Reflection  paper  on  the  future  of  EU  finances’  (June  2017),  and  the 
Communication from the Commission to the European Parliament and to the Council (February 2018). 

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On  25  April  2018,  the  impact  assessment  was  examined  by  the  Regulatory  Scrutiny  Board 
and received a positive opinion with reservations20 on the understanding that the assessment 
should be adjusted in order to integrate the Board’s recommendations on certain aspects. As a 
result, the assessment was revised to: 

– 

– 

– 

provide  more  information  on  the  governance  structure  of  the  new  instrument, 
including information on decision-making procedures; 

further  explain  several  funding  issues,  including  the  funding  baseline,  the  ring-
fencing for regions and thematic areas and the contribution key of Member States to 
the European Development Fund; and 

elaborate how the future monitoring and evaluation systems would work.  

The  Board’s  opinion  and  the  associated  modifications  made  to  the  impact  assessment  are 
further described in annex 1 of the impact assessment.  

• 

Simplification 

A priority for the Commission across the Multiannual Financial Framework is to simplify its 
regulatory environment. 

to  rationalise  management  and  oversight  systems,  and  so  reduce 

Streamlining  a  number  of  instruments  within  one  broad  instrument  will  provide  an 
opportunity 
the 
administrative burden for EU institutions and Member States. Instead of focusing on multiple 
programming  processes,  debates  would  be  more  focused  on  political  objectives  and 
engagement with external partners. In addition, actions that receive cumulative funding from 
different  Union  programmes  shall  be  audited  only  once,  covering  all  involved  programmes 
and  their  respective  applicable  rules.  Nuclear  activities  will  therefore  be  part  of  the  new 
NDICI and only the nuclear safety activities that require a specific Euratom legal base will be 
under the present instrument, implemented in full coherence with the NDICI. 

In  terms  of  aligning  rules,  incorporating  provisions  from  the  Common  Implementing 
Regulation will give the new instrument a coherent set of principles across all its component 
parts and will make it easier to understand for partners and implementing agents. These are 
either  recalled  or  adapted  to  this  regulation  which  retains  references  to  the  NDICI  for  a 
coherent and simplified approach.  

• 

Fundamental rights 

The EU is founded on a strong engagement to promote and protect fundamental rights, human 
rights, democracy and the rule of law. It actively supports these rights and principles within its 
borders, but also when engaging in relations with third countries.  

BUDGETARY IMPLICATIONS 

4. 
In its Communication of 2 May 201821, the European Commission proposed to allocate EUR 
89  500  000  000  (in  current  prices)  to  the  Neighbourhood,  Development  and  International 
Cooperation Instrument 2021-2027, of which 300 000 000 (in current prices) will be allocated 
to this Instrument to complement nuclear activities that fall under the Euratom Treaty. 

20 
21 

Placeholder 
COM (2018) 321, 2.5.2018 

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5. 

• 

OTHER ELEMENTS 

Implementation plans and monitoring, evaluation and reporting arrangements 

The  Commission  will  regularly  monitor  its  actions  and  review  progress  made  towards 
delivering results. In line with paragraphs 22 and 23 of the Inter-institutional Agreement of 13 
April  201622,  where  the  three  institutions  confirmed  that  evaluations  of  existing  legislation 
and policy should provide the basis for impact assessments of options for further action, the 
Commission will carry out an interim and a final evaluation. The evaluations will assess the 
instrument’s  effects  on  the  ground  based  on  the  relevant  indicators  and  an  analysis  of  the 
degree to which the instrument can be deemed relevant, effective, efficient, provides enough 
EU added value and is coherent with other EU policies. The evaluations will include lessons 
learned to identify any problems or potential to further improve the actions or their results and 
to help maximise their impact. 

The conclusions of the evaluations accompanied by observations will be communicated to the 
Council and the European Parliament. 

Progress  will  be  monitored  on  the  basis  of  indicators  aligned  with  the  objectives  of  the 
proposal.  From  2022  onwards,  the  Commission  will  send  the  European  Parliament  and  the 
Council an annual report on the achievement of the objectives of this Regulation. 

Evaluations will be carried out in a timely manner to feed into the decision-making process.  

• 

Geographic scope and participation of third countries 

The proposed Regulation has a worldwide geographic scope.  

As regards the choice of partners outside the Union, the Commission may decide to work with 
international  organisations,  partner  countries  or  entities  from  other  third  countries  under 
indirect management for the implementation of a specific action, when this is in the interest of 
the  Union  and  of  the  objectives  of  such  action,  and  subject  to  the  rules  and  conditions  laid 
down in the Financial Regulation. This choice would require a Commission decision.  

• 

Provisions of the proposal 

TITLE I: GENERAL PROVISIONS 

TITLE II – IMPLEMENTATION OF THE INSTRUMENT 

TITLE III - FINAL PROVISIONS 

22 

Interinstitutional Agreement between the European Parliament, the Council of the European Union and 
the European Commission on Better Law-Making of 13 April 2016; OJ L 123, 12.5.2016, p. 1–14. 

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2018/0245 (NLE) 

Proposal for a 

COUNCIL REGULATION 

establishing a European Instrument for Nuclear Safety complementing the 
Neighbourhood, Development and International Cooperation Instrument on the basis of 
the Euratom Treaty   

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Atomic  Energy  Community,  and  in 
particular Article 203 thereof, 

Having regard to the proposal from the European Commission, 
Having regard to the opinion of the European Parliament23, 

Whereas: 

(1) 

(2) 

(3) 

The Union should uphold and promote the Union’s values and interests worldwide in 
order  to  pursue  the  objectives  and  principles  of  the  Union’s  external  actions,  as  laid 
down in Articles 3(5), 8 and 21 of the Treaty on European Union.  

In  order  to  implement  the  new  international  framework  established  by  the  2030 
Agenda, the Global Strategy and the Consensus, Regulation No …/…. (NDICI) aims 
at  increasing  the  coherence  and  ensuring  the  effectiveness  of  the  Union’s  external 
action  by  concentrating  its  efforts  through  a  streamlined  instrument  to  improve  the 
implementations of the different external action policies.  

The  objective  of  the  present  Programme  "European  Instrument  for  Nuclear  Safety 
complementing  the  Neighbourhood,  Development  and  International  Cooperation 
Instrument on the basis of the Euratom Treaty" should be to promote the establishment 
of  effective  and  efficient  nuclear  safety,  radiation  protection,  and  the  application  of 
efficient and effective safeguards of nuclear materials in third countries, building on its 
own activities within the Union. 

(4) 

This Regulation forms part of the framework devised for the planning of cooperation 
and  should  complement  those  nuclear  cooperation  measures  that  are  financed  under 
[the Regulation NDICI].  

(5)  Member States  are signatory parties of the Nuclear Non Proliferation  Treaty and the 

Additional Protocol. 

(6) 

The Community should continue its close cooperation, in accordance with Chapter 10 
of  the  Euratom  Treaty  with  the  International  Atomic  Energy  Agency  (IAEA),  in 
relation  to  nuclear  safety  and  nuclear  safeguards,  in  furtherance  of  the  objectives  of 
Chapters 3 and 7 of Title II.  

(7) 

This Instrument should provide for actions in support of those objectives and build on 
the  actions  previously  supported  under  Regulation  (Euratom)  No  237/201424 

23 

Placeholder for the Opinion reference 

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concerning  nuclear  safety  and  nuclear  safeguards  in  third  countries,  in  particular  in 
acceding countries, candidate countries and potential candidates. 

(8) 

The  implementation  of  this  Regulation  should  be  based  on  consultation,  where 
relevant, with the relevant authorities of the Member States, and on a dialogue with the 
partner countries. 

(9)  Whenever  possible  and  appropriate,  the  results  of  the  Community's  external  action 
should  be  monitored  and  assessed  on  the  basis  of  pre-defined,  transparent,  country-
specific  and  measurable  indicators,  adapted  to  the  specificities  and  objectives  of  the 
Instrument and preferably based on the results framework of the partner country. 

(10)  The  Union  and  the  Community  should  seek  the  most  efficient  use  of  available 
resources  in  order  to  optimise  the  impact  of  their  external  action.  That  should  be 
achieved  through  coherence  and  complementarity  between  the  Union's  external 
financing  instruments,  as  well  as  the  creation  of  synergies with  other  Union  policies 
and  Programmes.  In  order  to  maximise  the  impact  of  combined  interventions  to 
achieve  a  common  objective,  this  Regulation  should  allow  for  the  combination  of 
funding with other Union Programmes, as long as the contributions do not cover the 
same costs. 

(11)  This  Regulation  lays  down  a  financial  envelope  for  this  Instrument,  which  is  to 
constitute  the  financial  reference  amount,  within  the  meaning  of  point  18  of  the 
Interinstitutional  Agreement  of  2  December  2013  between  the  European  Parliament, 
the Council and the Commission on budgetary discipline, on cooperation in budgetary 
matters  and  on  sound  financial  management25  for  the  European  Parliament  and  the 
Council during the annual budgetary procedure. 

(12)  The  rules  and  procedures  laid  down  in  Regulation  (EU)  No  …/….  (NDICI)  should 
apply for the implementation of this Regulation, as appropriate, and the implementing 
provisions  under  this  Regulation  should  mirror  those  provided  for  in  the  Regulation 
(EU) No …/… (NDICI). 

(13)  Horizontal financial rules adopted by the European Parliament and the Council on the 
basis  of  Article  106(a)  of  the  Euratom  Treaty  and  Article  322  of  the  Treaty  on  the 
Functioning  of  the  European  Union  should  apply  to  this  Regulation.  These  rules  are 
laid  down  in  the  Financial  Regulation  and  determine  in  particular  the  procedure  for 
establishing and implementing the budget through grants, procurement, prizes, indirect 
implementation, financial assistance, budget support, trust funds, financial instruments 
and  budgetary  guarantees,  and  provide  for  checks  on  the  responsibility  of  financial 
actors. Rules adopted on the basis of Article 106(a) of the Euratom Treaty and Article 
322  of  the  Treaty  on  the  Functioning  of  the  EU  also  concern  the  protection  of  the 
Union's  budget  in  case  of  generalised  deficiencies  as  regards  the  rule  of  law  in 
Member  States  and  third  countries,  as  the  respect  for  the  rule  of  law  is  essential  for 
sound financial management and effective EU funding. 

(14)  The  types  of  financing  and  the  methods  of  implementation  under  this  Regulation 
should be chosen on the basis of their ability to achieve the specific objectives of the 
actions and to deliver results, taking into account, in particular, the costs of controls, 
the  administrative  burden,  and  the  expected  risk  of  non-compliance.  This  should 

24 

25 

Council Regulation (Euratom) No 237/2014 of 13 December 2013 establishing an Instrument for 
Nuclear Safety Cooperation (OJ L 77 15.3.2014 p 109.) 
OJ C 373, 20.12.2013, p. 1. 

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include  consideration  of  the  use  of  lump  sums,  flat  rates  and  unit  costs,  as  well  as 
financing  not  linked  to  costs  as  referred  to  in  Article  125(1)  of  the  Financial 
Regulation. 

(15)  Annual or multi-annual action plans and measures should constitute work programmes 
under the Financial Regulation. Annual or multi-annual action plans consist of a set of 
measures grouped into one document. 

(16) 

In accordance with the Financial Regulation, Regulation (EU, Euratom) No 883/2013 
of the European Parliament and  of  the Council26, Council Regulation (EC, Euratom) 
No  2988/9527,  Council  Regulation  (Euratom,  EC)  No  2185/9628  and  Council 
Regulation (EU) 2017/193929, the financial interests of the Union are to be protected 
through  effective  and  proportionate  measures,  including  the  prevention,  detection, 
correction  and  investigation  of  irregularities,  including  fraud,  the  recovery  of  funds 
lost,  wrongly  paid  or  incorrectly  used  and,  where  appropriate,  the  imposition  of 
administrative sanctions. In particular, in accordance with Regulation (EU, Euratom) 
No  883/2013  and  Regulation  (Euratom,  EC)  No  2185/96  the  European  Anti-Fraud 
Office  (OLAF)  may  carry  out  administrative  investigations,  including  on-the-spot 
checks  and  inspections,  with  a  view  to  establishing  whether  there  has  been  fraud, 
corruption or any other illegal activity affecting the financial interests of the Union. In 
accordance with Regulation (EU) 2017/1939, the European Public Prosecutor's Office 
('EPPO') may investigate and prosecute fraud and other criminal offences affecting the 
financial interests of the Union, as provided for in Directive (EU) 2017/137130 of the 
European Parliament and of the Council. In accordance with the Financial Regulation, 
any person or entity receiving Union funds is to fully cooperate in the protection of the 
Union’s  financial  interests  and  grant  the  necessary  rights  and  access  to  the 
Commission, OLAF and the European Court of Auditors, and to ensure that any third 
parties involved in the implementation of Union funds grant equivalent rights; for this 
reason,  agreements  with  third  countries  and  territories  and  with  international 
organisations, and any contract or agreement resulting from the implementation of this 
Regulation  should  contain  provisions  expressly  empowering  the  Commission,  the 
Court  of  Auditors  and  OLAF  to  conduct  such  audits,  on-the-spot  checks  and 
inspections,  according  to  their  respective  competences  and  ensuring  that  any  third 
parties involved in the implementation of Union funding grant equivalent rights.  

(17) 

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

26 

27 

28 

29 
30 

Regulation  (EU,  Euratom)  No  883/2013  of  the  European  Parliament  and  of  the  Council  of  11 
September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and 
repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council 
Regulation (Euratom) No 1074/1999 (OJ L 248 18.9.2013 p.1)  
Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European 
Communities financial interests (OJ L 312, 23.12.95, p.1). 
Council  Regulation  (Euratom,  EC)  No  2185/96  of  11  November  1996  concerning  on-the-spot  checks 
and inspections carried out by the Commission in order to protect the European Communities' financial 
interests against fraud and other irregularities (OJ L 292 15.11.1996 p.2) 
OJ L 283, 31.10.2017,C , , p.1. . 
Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight 
against fraud to the Union's financial interests by means of criminal law (OJ 198 28.7.2017 p.29) 

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Those powers should be exercised in accordance with Regulation (EU) No 182/201131 
of the European Parliament and of the Council. 

(18)  The references to Union instruments in Article 9 of Council Decision 2010/427/EU32, 
should  be  read  as  references  to  this  Regulation  and  to  those  Regulations  referred  to 
herein.  The  Commission  should  ensure  that  this  Regulation  is  implemented  in 
accordance with the role of the EEAS as provided in that Decision. 

(19)  The envisaged actions as provided for hereunder should strictly follow the conditions 

and procedures set out by the restrictive measures of the Union, 

HAVE ADOPTED THIS REGULATION: 

TITLE I 
GENERAL PROVISIONS 

Article 1 
Subject matter 

This  Regulation  establishes  the  Programme  “European  Instrument  for  Nuclear  Safety 
complementing  the  Neighbourhood,  Development  and  International  Cooperation  Instrument 
on the basis of the Euratom Treaty”. 

It  lays  down  the  objectives  of  this  Programme,  the  budget  for  the  period  2021  –  2027,  the 
forms of Union funding and the rules for providing such funding. 

Article 2 
Objectives  

1. 

The  objective  of  this  Regulation  is  to  complement  those  nuclear  cooperation 
activities  that  are  financed  under  [the  Regulation  NDICI],  in  particular  in  order  to 
support the promotion of a high level of nuclear safety, radiation protection, and the 
application  of  effective  and  efficient  safeguards  of  nuclear  materials  in  third 
countries,  building  on  the  activities  within  the  Community  and  in  line  with  the 
provisions of this Regulation. 

2. 

In accordance with paragraph 1, this Regulation shall in particular aim at: 

(a) 

the promotion of an effective nuclear safety culture and implementation of the 
highest  nuclear  safety  and  radiation  protection  standards,  and  continuous 
improvement of nuclear safety; 

(b) 

responsible and  safe management of  spent fuel and radioactive waste and the 
decommissioning and remediation of former nuclear sites and installations; 

(c) 

establishing efficient and effective safeguard systems. 

31 

32 

Regulation  (EU)  No  182/2011  of  the  European  Parliament  and  of  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 (OJ L 55 28.2.2011 p.13) 
Council  Decision  2010/427/EU  of  26  July  2010  establishing  the  organisation  and  functioning  of  the 
European External Action Service (OJ L 201, 3.8.2010, p. 30). 

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Article 3 
Coherence, consistency and complementarity 

1. 

2. 

In  implementing  this  Regulation,  consistency,  synergies  and  complementarity  with 
Regulation (EU) No XXX/XXX NDICI, other Programmes of Union external action, 
other  relevant  Union  policies  and  Programmes,  as  well  as  policy  coherence  for 
development shall be ensured. 

Where  appropriate,  other  Union  Programmes  may  contribute  to  actions  established 
under  this  Regulation,  provided  that  the  contributions  do  not  cover  the  same  costs. 
This  Regulation  may  also  contribute  to  measures  established  under  other  Union 
Programmes,  provided  that  the  contributions  do  not  cover  the  same  costs.  In  such 
cases, the work programme covering those actions shall establish which set of rules 
shall be applicable. 

Article 4 
Budget 

The financial envelope for the implementation of this Regulation for the period 2021 – 2027 
shall be EUR 300 million in current prices. 

Article 5 
Policy framework 

The association agreements, partnership and cooperation agreements, multilateral agreements, 
and  other  agreements  that  establish  a  legally  binding  relationship  with  partner  countries,  as 
well  as,  European  Council  conclusions  and  Council  conclusions,  summit  declarations  or 
conclusions  of  high-level  meetings  with  partner  countries,  communications  of 
the 
Commission or Joint communications of the Commission and the High Representative of the 
Union for Foreign Affairs and Security Policy, shall constitute the overall policy framework 
for the implementation of this Regulation. 

TITLE II 
IMPLEMENTATION OF THIS REGULATION  

Article 6 

Multiannual Indicative Programmes 

1. 

2. 

3. 

Community cooperation under this Regulation shall be implemented on the basis of 
multiannual indicative programmes.  

The multiannual indicative programmes shall aim at providing a coherent framework 
for  cooperation  between  the  Community  and  the  third  countries  or  regions 
concerned, consistent with the overall purpose and scope, objectives, principles and 
policy of the Community and based on the policy framework referred to in article 5.  

The  multiannual  indicative  programmes  shall  constitute  a  general  basis  for  the 
cooperation,  and  shall  set  out  the  Community's  goals  for  cooperation  under  this 
Regulation, having regard to the needs of the countries concerned, the Community's 
priorities,  the  international  situation  and  the  activities  of  the  third  countries 
concerned.  The  multiannual  indicative  programmes  shall  also  indicate  the  added 

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4. 

5. 

6. 

1. 

2. 

3. 

value  of  the  cooperation  and  how  to  avoid  duplication  with  other  programmes  and 
initiatives,  in  particular  those  of  international  organisations  pursuing  similar 
objectives and major donors.  

Multiannual  indicative  programmes  shall  set  out  the  priority  areas  selected  for 
financing,  the  specific  objectives,  the  expected  results,  the  performance  indicators 
and the indicative financial allocations, both overall and per objective 

Multiannual  indicative  programmes  shall  be  based  on  a  dialogue  with  the  partner 
countries or regions. 

The  Commission  shall  adopt  the  multiannual  indicative  programmes  in  accordance 
with the examination procedure referred to in Article 13(2). The Commission shall, 
following  the  same  procedure,  revise  and,  if  necessary,  update  those  indicative 
programmes. 

Article 7 

Action plans and measures 

The  Commission  shall  adopt  annual  or  multiannual  action  plans  and  individual 
measures based on the multiannual indicative programme. The Commission may also 
adopt special measures and support measures. 

Action  plans  and  individual  measures  shall  specify  for  each  action  the  objectives 
pursued, the expected results and main activities, the methods of implementation, the 
budget and any associated support expenditures. 

When necessary, an action may be adopted as an individual measure, before or after 
the adoption of the multiannual indicative programme. 

In the event of unforeseen and duly justified needs, circumstances or commitments, 
the Commission may adopt special measures. 

Action plans and measures shall be adopted by means of implementing acts adopted 
in accordance with the examination procedure referred to in Article 13(2). 

The procedure referred to in paragraph 2 shall not be required for: 

(a) 

(b) 

(c) 

action plans, individual measures and support measures, for which the Union's 
funding does not exceed EUR 10 million;  

special  measures  for  which  the  Union's  funding  does  not  exceed  EUR  10 
million; 

technical  amendments,  provided  such  amendments  do  not  substantially  affect 
the objectives of the action plan or measure concerned, such as: 

(i)  

change of method of implementation; 

(ii)   reassignments of funds between actions contained in an action plan;  

(iii)   increases or reductions of the budget of action plans and measures by not 

more than 20 % of the initial budget and not exceeding EUR 10 million; 

In  case  of  multiannual  action  plans  and  measures,  the  thresholds  referred  to  in 
paragraph (3)(a), (b) and (c)(iii) shall be applicable on a yearly basis.  

When  adopted  in  accordance  with  this  paragraph,  action  plans  and  measures  and 
technical amendments shall  be communicated to  the relevant committee referred to 
in Article 12 within one month of their adoption. 

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4. 

1. 

2. 

On  duly  justified  imperative  grounds  of  urgency  relating  to  the  need  for  a  swift 
response from the Community, the Commission shall adopt or amend the action plans 
or  measures  by  means  of  immediately  applicable  implementing  acts  in  accordance 
with the procedure referred to in Article 13(3). 

Article 8 
Support measures 

Union  financing  may  cover  support  expenditure  for  the  implementation  of  the 
Instrument  and  for  the  achievement  of  its  objectives,  including  administrative 
support  associated  with  the  preparation,  follow-up,  monitoring,  control,  audit  and 
evaluation  activities  necessary  for  such  implementation,  as  well  as  expenditure  at 
headquarters  for  the  administrative  support  needed  for  the  programme,  and  to 
manage  operations  financed  under  this  Regulation,  including  information  and 
communication actions, and corporate information technology systems. 

When support expenditure is not included in the action plans or measures referred to 
in Article 6, the Commission shall adopt, where applicable, support measures. Union 
financing under support measures may cover: 

(a) 

studies,  meetings,  information,  awareness-raising,  training,  preparation  and 
exchange  of  lessons  learnt  and  best  practices,  publication  activities  and  any 
other  administrative  or  technical  assistance  expenditure  necessary  for  the 
programming  and  management  of  actions,  including  fact-finding  missions  or 
remunerated external experts; 

(b) 

expenditures  related  to  the  provision  of  information  and  communication 
actions, including the development of communication strategies and corporate 
communication and visibility of the political priorities of the Union. 

Article 9 
Methods of cooperation  

Financing under this Instrument shall be implemented by the Commission, as provided for by 
the Financial Regulation, either directly by the Commission itself or indirectly through any of 
the entities listed in Article 62(1)(c) of the Financial Regulation. 

Article 10 
Forms of EU funding and methods of implementation 

1. 

The Union funding may be provided through the types of financing envisaged by the 
Financial Regulation and in particular: 

(a)  grants; 

(b)  procurement contracts for services or supplies; 

(c) 

remunerated external experts; 

(d)  blending. 

2. 

The  support  under  this  Regulation  may  be  also  implemented  under  the  rules 
applicable for the External Action Guarantee established under Regulation (EU) No 
XXX/XXX  NDICI  and  contribute  to  the  provisioning  for  the  External  Action 
Guarantee.  The  External  Action  Guarantee  established  under  Regulation  (EU)  No 

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XXX/XXX NDICI shall also support the operations on the basis of Council Decision 
77/270/Euratom33.  

The provisioning rate for the operations of the External Action Guarantee to which 
this Regulation contributes shall be 9%.  

The  provisioning  rates  shall  be  reviewed  every  three  years  from  the  date  of 
application of this Regulation. 

Article 11 
Eligible persons and entities 

Participation in procurement, grant and prize award procedures for actions financed 
under  the  present  regulation  shall  be  open  to  international  organisations  and  to  all 
legal  entities  who  are  nationals  of  and,  in  the  case  of  legal  persons,  who  are  also 
effectively established in, the following countries or territories: 

(a)  Member States,  beneficiaries  of the Regulation  (EU) IPA III,  and  contracting 

parties to the Agreement on the European Economic Area;  

(b)  partner countries in the neighbourhood area of the Regulation (EU) NDICI; 

(c)  developing  countries  and  territories,  as  included  in  the  list  of  Official 
Development  Assistance  recipients  published  by  the  Development  Assistance 
Committee  of  the  Organisation  for  Economic  Cooperation  and  Development, 
which  are  not  members  of  the  G-20  group,  and  overseas  countries  and 
territories as defined in Council Decision …/… (EU); 

(d)  developing  countries,  as  included  in  the  list  of  Official  Development 
Assistance  recipients,  which  are  members  of  the  G-20  group,  and  other 
countries and territories, when the relevant procedure takes place in the context 
of  an  action  financed  by  the  Union  under  this  Regulation  in  which  they 
participate;  

(e) 

countries for which reciprocal access to external funding is established by the 
Commission;  that  access  may  be  granted,  for  a  limited  period  of  at  least  one 
year, whenever a country grants eligibility on equal terms to entities from the 
Union and from countries eligible under this Regulation; the Commission shall 
decide  on  the  reciprocal  access  and  on  its  duration  after  consultation  of  the 
recipient country or countries concerned;  

(f)  member  countries  of  the  Organisation  for  Economic  Cooperation  and 
Development,  in  the  case  of  contracts  implemented  in  a  Least  Developed 
Country or a Highly Indebted Poor Country, as included in the list of Official 
Development Assistance recipients; 

(g)  other  third  countries  where  the  activities  take  place  as  provided  for  in  the 

specific multiannual indicative programmes, action plans or measures.  

All  supplies  and  materials  financed  under  this  Regulation  may  originate  from  the 
countries and under the respective conditions specified in paragraph 1. 

Council decision 77/270/EURATOM of 29 March 1977 empowering the Commission to issue Euratom 
loans for the purpose of contributing to the financing of nuclear power stations (OJ L 88, 6.4.1977, p. 
9). 

3. 

1. 

2. 

33 

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3. 

4. 

5. 

6. 

7. 

8. 

9. 

1. 

2. 

The rules laid down in this Article shall not apply to, and shall not create, nationality 
restrictions  for  natural  persons  employed  or  otherwise  legally  contracted  by  an 
eligible contractor or, where applicable, subcontractor. 

For  actions  jointly  co-financed  by  an  entity,  or  implemented  in  direct  or  indirect 
management with entities as referred to point (c) (ii) to (viii) of Article 62(1) of the 
Financial Regulation, the eligibility rules of those entities shall also apply.  

Where  donors  provide  financing  to  a  trust  fund  established  by  the  Commission  or 
through external assigned revenues, the eligibility rules in the constitutive act of the 
trust fund or in the agreement with the donor in case of external assigned revenues 
shall apply. 

In  the  case  of  actions  financed  under  this  Regulation  and  by  another  Union 
Programme,  eligible  entities  under  any  of  those  Programmes  shall  be  considered 
eligible. 

The eligibility  rules  of this Article may be restricted with  regard  to  the nationality, 
geographical  location  or  nature  of  applicants,  or  origins  of  supplies  and  materials, 
where  such  restrictions  are  required  on  account  of  the  specific  nature  and  the 
objectives  of 
its  effective 
implementation.  

they  are  necessary  for 

the  action  and  where 

Tenderers, applicants and candidates from non-eligible countries may be accepted as 
eligible in the case of urgency or the unavailability of services in the markets of the 
countries  or  territories  concerned,  or  in  other  duly  substantiated  cases  where 
application of the eligibility rules would make the realisation of an action impossible 
or exceedingly difficult. 

In order to promote local capacities, markets and purchases, priority shall be given to 
local and regional contractors when the Financial Regulation provides for an award 
on the basis of a single tender. In all other cases, participation of local and regional 
contractors  shall  be  promoted  in  accordance  with  the  relevant  provisions  of  that 
Regulation. 

Article 12 
Monitoring, reporting and evaluation 

Monitoring, reporting and evaluation shall be carried out in accordance with Article 
31  paragraphs  2,  4,  5  and  6,  and  Articles  32  and  36  of  the  Regulation  (EU)  No 
XXX/XXX NDICI.  

The achievement of the objective of this Regulation shall be measured based on the 
following indicators: 

(a)  number of legal and regulatory acts prepared, introduced and or revised; and 

(b)  number  of  design,  concept  or  feasibility  studies  for  the  establishment  of 

facilities in line with the highest standards of nuclear safety. 

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TITLE III 
FINAL PROVISIONS 

Article 13 
Committee 

1. 

2. 

3. 

The Commission shall be assisted by the Nuclear Safety committee. This committee 
shall be a committee within the meaning of Regulation (EU) No 182/2011. 

Where  reference  is  made  to  this  paragraph,  Article  5  of  Regulation  (EU)  No 
182/2011 shall apply. 

Where  reference  is  made  to  this  paragraph,  Article  8  of  Regulation  (EU)  No 
182/2011, in conjunction with Article 5 thereof, shall apply. 

Article 14 
Information, communication, publicity and derogation from visibility requirements 

Information, communication and publicity related to the objective referred to in Article 3, and 
derogation from visibility requirements shall be carried out in accordance with Article 36 and 
37 of the Regulation (EU) No XXX/XXX NDICI. 

This Regulation shall apply in accordance with Decision 2010/427/EU. 

Article 15 
EEAS clause 

Article 16 
Transitional provisions  

1. 

2. 

3. 

The  financial  envelope  for  this  Regulation  may  also  cover  technical  and 
administrative assistance expenditures necessary to ensure the transition between this 
Regulation and actions adopted before it enters into force, in particular those covered 
by Council Regulation (Euratom) No 237/2014.  

The  financial  envelope  for  this  regulation  may  cover  expenditures  related  to  the 
preparation of any successor to this Regulation. 

If necessary, appropriations may be entered in the budget beyond 2027 to cover the 
expenditures  provided  for  in  Article  6,  to  enable  the  management  of  actions  not 
completed by 31 December 2027. 

Article 17 
Entry into force 

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

It shall apply from 1 January 2021. 

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

Done at Brussels, 

For the Council 
The President 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative  

1.2.  Policy area(s) concerned (programme cluster) 

1.3.  Nature of the proposal/initiative  

1.4.  Grounds for the proposal/initiative  

1.5.  Duration and financial impact  

1.6.  Management mode(s) planned  

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 appropriations of an administrative nature 

3.2.3. Third-party contributions  

3.3.  Estimated impact on revenue

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

European  Instrument  for  Nuclear  Safety  complementing  the  Neighbourhood, 
Development  and  International  Cooperation  Instrument  on  the  basis  of  Euratom 
Treaty. 

1.2. 

Policy area(s) concerned (Programme cluster) 

External Action 

1.3. 

The proposal/initiative relates to:  

 a new action  
 a new action following a pilot project/preparatory action34  

 the extension of an existing action  

 a merger or redirection of one or more actions towards another/a new action  

1.4. 

Grounds for the proposal/initiative  

1.4.1.  Requirement(s) to be met in the short or long term including a detailed timeline for 

roll-out of the implementation of the initiative 

The aim of this Regulation is to complement those nuclear cooperation activities that 
are  financed  under  [the  Regulation  NDICI],  in  particular  in  order  to  support  the 
promotion of a high level of nuclear safety, radiation protection, and the application 
of effective and efficient safeguards of nuclear materials in third countries, building 
on  the  activities  within  the  Community  and  in  line  with  the  provisions  of  this 
Regulation. 

1.4.2.  Added  value  of  Union  involvement  (it  may  result  from  different  factors,  e.g. 
coordination gains, legal certainty, greater effectiveness or complementarities). For 
the purposes of this point 'added value of Union involvement' is the value resulting 
from  Union  intervention  which  is  additional  to  the  value  that  would  have  been 
otherwise created by Member States alone. 

The EU and the Community have significant expertise in this field originating from 
the history of Europe itself, building on its own safeguard activities within the Union, 
and from successful policies. It has a recognised international reputation in the area 
of the nuclear safety, including safeguards of nuclear materials in particular through 
its  role  in  implementing  safeguards  in  the  EU  and  in  supporting  the  International 
Atomic Energy Agency.  

The  EU  and  the  Community  can  provide  added  value  based  on  the  volume  of 
resources  channelled  through  its  instruments,  its  relatively  flexible  modes  of 
management and the predictability of resources over the period of the Multi-annual 
Financial Framework. 

34 

As referred to in Article 58(2)(a) or (b) of the Financial Regulation. 

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1.4.3.  Lessons learned from similar experiences in the past 

The  mid-term  review  report35  adopted  by  the  Commission  on  ten  of  the  external 
financing instruments36, the ex post evaluation reports on macro-financial assistance 
and  the  mid-term  review  on  the  European  Investment  Bank  external  lending 
mandate37 all concluded that the external financing instruments were, overall, fit for 
purpose  and  that  positive  trends  were  emerging  in  relation  to  the  achievement  of 
objectives.  The  reports  show  that  more  resources  are  needed  for  external  financing 
instruments because they have been stretched to their financial limit. 

The instruments set the scope, objectives and procedures to allow implementation of 
the policies. The mid-term review report has shown that their enabling nature allows 
them to cover most needs and goals of EU external action. They would benefit from 
better  reflecting  a  number  of  developments  such  as:  the  new  policy  framework 
including  the  universal  coverage  of  the  2030  Agenda,  the  migration/refugee  crisis, 
and the external projection of internal policies.  

The  mid-term  review  report  points  to  positive  trends  emerging  in  relation  to 
achieving  results.  However,  difficulties  in  measuring  achievements  were  noted. 
There  was  often  limited  information  on  monitoring  systems  referred  to  in  the 
instruments.  There  was  a  lack  of  data  (including  baselines)  to  measure  if  the 
instruments  were  on  track  to  meet  some  of  their  objectives  (particularly  the  high-
level  ones),  and  an  understanding  that  many  external  factors  (e.g.  partner  country 
policies and other donors) influence achievement of the objectives. 

While  overall  organisational  performance  was  found  to  be  efficient,  some  actors 
considered  that  the  implementation  of  some  instruments  was  administratively 
burdensome. At times the Commission was perceived to be more focused on process 
rather than on policy objectives and results. 

1.4.4.  Compatibility and possible synergy with other appropriate instruments 

When implementing this Regulation, consistency with other areas of external action 
and with other relevant EU policies will be ensured, together with policy coherence 
for  development38.  As  incorporated  in  the  2030  Agenda,  this  means  taking  into 
account  the  impact  of  all  policies  on  sustainable  development  at  all  levels  — 
nationally, within the EU, in other countries and at global level.  

Moreover, synergies with actions under other EU programmes should be sought, in 
order to maximise the impact of combined interventions. 

Actions funded under this proposal should be coherent and complementary to those 
carried  out  under  the  Neighbourhood,  Development  and  International  Cooperation 
Instrument, the Instrument for Pre-Accession III, the Decision on Overseas Countries 

35 

36 

37 
38 

The mid-term review report COM(2017) 720 final, was based on ten staff working documents, one per 
instrument  (see  list  below),  which  in  turn  were  based  on  ten  independent  evaluations.  The  mid-term 
report,  the  staff  working  documents  and  the  independent  evaluations  can  be  found  at  here: 
https://ec.europa.eu/europeaid/public-consultation-external-financing-instruments-european-union_en 
The  10  instruments  were  the:  Development  Cooperation  Instrument  (DCI);  European  Development 
Fund  (EDF);  European  Neighbourhood  Instrument  (ENI);  Instrument  for  Pre-Accession  (IPA  II); 
Instrument contributing to Stability and Peace (IcSP); European Instrument for Democracy and Human 
Rights  (EIDHR);  Partnership  Instrument  (PI);  Instrument  for  Nuclear  Safety  Cooperation  (INSC); 
Greenland Decision (GD); and Common Implementing Regulation (CIR). 
http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:52016DC0584 
https://ec.europa.eu/europeaid/policies/policy-coherence-development_en 

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and  Territories,  the  common  foreign  and  security  policy  and  the  newly  proposed 
European Peace Facility39 which is outside the EU budget.  

39 

C(2018) 3800 final Proposal of the High Representative of the Union for Foreign Affairs and Security 
Policy to the Council for a Council Decision establishing a European Peace Facility. 

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1.5. 

Duration and financial impact  

 limited duration  

–    in effect from [DD/MM]YYYY to [DD/MM]YYYY  

–    Financial  impact  from  YYYY  to  YYYY  for  commitment  appropriations  and 

from YYYY to YYYY for payment appropriations.  

 unlimited duration 

–  Implementation with a start-up period from 2021onwards 

1.6.  Management mode(s) planned40  

 Direct management by the Commission 

–   by its departments, including by its staff in the Union delegations;  

–    by the executive agencies  

 Shared management with the Member States  

 Indirect management by entrusting budget implementation tasks to: 

–   third countries or the bodies they have designated; 

–   international organisations and their agencies (to be specified); 

–   the EIB and the European Investment Fund; 

–   bodies referred to in Articles 70 and 71 of the Financial Regulation; 

–   public law bodies; 

–   bodies governed by private law with a public service mission to the extent that 

they provide adequate financial guarantees; 

–   bodies governed by the private law of a member state that are entrusted with 
the  implementation  of  a  public-private  partnership  and  that  provide  adequate 
financial guarantees; 

–    persons  entrusted  with  the  implementation  of  specific  actions  in  the  CFSP 
pursuant  to  Title  V  of  the  Treaty  on  European  Union,  and  identified  in  the 
relevant basic act. 

– 

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

Comments  

External  expenditure  requires  the  ability  to  use  all  foreseen  management  modes  as  relevant 
and decided during the implementation. 

40 

Details of management modes and references to the Financial Regulation may be found on the 
BudgWeb site: 
https://myintracomm.ec.europa.eu/budgweb/EN/man/budgmanag/Pages/budgmanag.aspx  

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2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

The  Commission's  monitoring  and  evaluation  systems  are  increasingly  focused  on 
results.  They  involve  internal  staff  as  well  as  implementing  partners  and  external 
expertise. 

in  Delegations  and  Headquarters  continuously  monitor 

the 
Task  Managers 
implementation  of  projects  and  programmes,  using  the  information  provided  by 
implementing  partners  as  part  of  their  regular  reporting  and  including  wherever 
possible  through  field  visits.  Internal  monitoring  provides  valuable  information  on 
progress; it helps  managers to  identify actual and potential bottlenecks, and  to take 
corrective action. 

In addition, 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.  Such  systems 
generally  use  the  internationally  recognised  Development  Assistance  Committee  of 
the  Organisation  for  Economic  Cooperation  and  Development's  evaluation  criteria 
including  (potential)  impact.  For  instance,  for  development  cooperation,  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 
very  structured,  standardised  methodology,  independent  ROM  experts  assess  the 
performance  of  the  project  across  the  Development  Assistance  Committee  of  the 
Organisation  for  Economic  Cooperation  and  Development's  evaluation  criteria  and 
give recommendations on how to improve future implementation.  

Project-level evaluations, which are mainly 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,  in  particular  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  or  education),  in  a  country  or  region,  or  of  a  specific 
Instrument. These evaluations are an important input for 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(s)  

2.2.1. 

Justification of the management mode(s), the funding implementation mechanism(s), 
the payment modalities and the control strategy proposed 

Management modes 

Regarding  the  management  modes,  there  are  no  fundamental  changes  foreseen  and 
the experience acquired by the Commission services and implementing actors under 
the  predecessor  programmes  will  contribute  to  better  results  in  the  future.  Partner 
countries  are  still  adjusting  to  the  existing  legislative  framework  and  the 

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implementation  for  INSC  programmes  is  still  in  an  early  stage;  as  a  result  a 
maximum of continuity should be secured. 

The  actions  to  be  financed  under  this  Regulation  will  be  implemented  under  direct 
management  by  the  Commission  from  headquarters  and/or  through  the  Union 
delegations  and  under  indirect  management  by  any  of  the  entities  listed  in  article 
62(1) c) of the new Financial Regulation in order to better achieve the objectives of 
the Regulation.  

Concerning  indirect  management,  as  stated  in  Article  154  of  the  new  Financial 
Regulation,  such  entities  must  ensure  a  level  of  protection  of  the  EU’s  financial 
interests equivalent to the one under direct management. An ex ante pillar assessment 
of  the  entities'  systems  and  procedures  will  be  carried  out,  in  accordance  with  the 
principle  of  proportionality  and  with  due  consideration  for  the  nature  of  the  action 
and the financial risks involved. Where the implementation requires so or there have 
been reservations expressed in Annual Activities Reports, action plans with specific 
mitigation  measures  will  be  defined  and  implemented.  Besides,  appropriate 
the 
supervisory  measures 
implementation. 

the  Commission  may  accompany 

imposed  by 

The Instrument envisages that indirect management may also be entrusted to partner 
countries  or  the  bodies  they  designate.  Such  partner  country  indirect  management 
may take the  form of  various  degrees of delegation: partial delegation whereby  the 
Commission retains ex ante control over the partner country’s decisions and executes 
payments on behalf of the partner country which by virtue of article 154(6)(b) of the 
new  Financial  Regulation  does  not  require  an  ex  ante  pillar  assessment.  Or  full 
delegation  whereby,  after  an  ex  ante  pillar  assessment,  the  partner  country  can 
implement the action using its own assessed systems and procedures, with no ex ante 
control from the Commission on the partner country’s implementation of the action. 

Internal Control architecture 

The  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 assistance environment), in addition to all the elements of 
the  Commission  wide  Strategic  Policy  and  Planning  process,  internal  audit 
environment  and  other  requirements  of 
the  Commission's  Internal  Control 
Framework,  the  implementing  services  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  assistance  by  Union 

– 
delegations in the field. 

– 
Clear  and  formalised  lines  of  financial  accountability  (from  the  Delegated 
Authorising officer (Director General)) by means of a sub-delegation from the Sub-
delegated Authorising Officer (Director) at headquarters to the Head of Delegation; 

– 
Regular reporting from Union delegations to headquarters (External Assistance 
Management  Reports)  including  an  annual  Statement  of  Assurance  by  the  Head  of 
Delegation; 

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Provision of a substantial programme of training for staff both at headquarters 

– 
and in delegations, 

Significant  headquarters/delegation  support  and  guidance  (including  via 

– 
internet); 

– 

Regular supervision visits to delegations every 3 to 6 years; 

– 
A  project  and  programme  cycle  management  methodology  including:  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;  and  significant  evaluation  and  audit  components.  Simplifications  will  be 
sought  by  extending  the  use  of  simplified  cost  options  and  cross-reliance  on  audit 
work  of  partner  organisations.  There  will  be  a  continuation  of  a  risk-differentiated 
controls approach in accordance with the underlying risks. 

Financial Reporting and Accounting 

The  implementing  services  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) and its successor (OPSYS).  

In  relation  to  compliance  with  the  relevant  legislative  and  procedural  framework, 
compliance control methods are set out in section 2.3 (measures to prevent fraud and 
irregularities). 

2.2.2. 

Information concerning the risks identified and the internal control system(s) set up 
to mitigate them 

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

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

lack  of institutional and  administrative  capacity  in  partner countries that  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 assistance implementation in partner countries may hinder the Commission's 
ability to report on and be accountable for results. 

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2.2.3.  Estimation and justification of the cost-effectiveness of the controls (ratio of "control 
costs ÷ value of the related funds managed"), and assessment of the expected levels 
of risk of error (at payment & at closure)  

The internal control/management cost represent approximately 4 % of the estimated 
annual  average  of  €  12.78  billion  planned  for  the  overall  (operational  + 
administrative)  commitments  on  the  expenditure  portfolio  financed  by  the  General 
Budget  of  the  EU  and  the  European  Development  Fund  for  the  period  2021-2027. 
This cost of control calculation refers only to the costs of the Commission, excluding 
Member States or entrusted entities. Entrusted entities can withhold up to 7 % for the 
administration of funds, which could partially be used for control purposes. 

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

The management / operational activities ratio could be reduced over time under the 
improved and simplified arrangements of the new instrument, building on changes to 
be  introduced  by  the  new  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 risks involved in removing or scaling back internal controls in 
this high risk area. 

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) which is an overall 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).  The  Commission  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.  Where  weaknesses  are  identified,  targeted  corrective  measures  will  be 
implemented in the light of ensuring minimum error rates. 

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures, e.g. from the Anti-Fraud Strategy. 

Given  the  high  risk  environment,  the  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 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 

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executing some ex-post audits), going well beyond the financial safeguards required 
by  the  Financial  Regulation.  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  existing  manual  of 
procedures such as the DEVCO 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  Union  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); 

Detective and corrective measures 

- Ex-ante transaction checks performed by Commission staff; 

-  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; 

- EDES (Early Detection Exclusion System); 

- Suspension/termination of contract; 

- Exclusion procedure 

Anti-fraud strategies of the services concerned, which are regularly revised, will be 
adapted  as  necessary  once  the  Commission's  new  version  of  its  anti-fraud  strategy 
(CAFS) will have been published in order to ensure inter alia that;  

- 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. 

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3. 

3.1. 

Heading of 
multiannual 
financial 
framework 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

Budget line 

Heading VI. Neighbourhood & the World  

Type of  
expenditure 

Diff./Non-
diff.41 

Contribution  

from 
EFTA 
countries
42 

from 
candidate 
countries43 

from third 
countries 

within the 
meaning of 
Article [21(2)(b)] 
of the Financial 
Regulation  

VI 

VI 

15  01  05  Support  expenditure  for  the 
European 
for  Nuclear 
Safety 

Instrument 

for 
Instrument 
15  06  European 
Nuclear  Safety  complementing 
the 
Neighbourhood,  Development  and 
International  Cooperation  Instrument 
on the basis of Euratom Treaty 

Non-diff. 

NO 

NO 

NO 

NO 

Diff. 

NO 

NO 

NO 

NO 

41 
42 
43 

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

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3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial  
framework  

<VI> 

Heading VI. Neighbourhood & the World 

EUR million (to three decimal places) 

2021 

2022 

2023 

2024 

2025 

2026 

2027 

Post 
2027 

TOTAL 

Commitments 

(1) 

36,061  

36,990  

38,308  

40,105  

42,412  

45,438  

49,094  

288,408  

Operational  appropriations  (split  according  to 
the budget lines listed under 3.1)  

Payments 

Appropriations of an administrative nature 
financed from the envelope of the programme44  

Commitments = 
Payments 

(2) 

(3) 

4,861  

11,460  

17,728  

24,025  

29,872  

34,158  

37,874  

1,559  

1,590  

1,622  

1,655  

1,688  

1,722  

1,756  

TOTAL appropriations for the envelope 
of the programme 

Commitments 

=1+3 

37,620  

38,580  

39,930  

41,760  

44,100  

47,160  

50,850  

Payments 

=2+3 

6,420  

13,050  

19,350  

25,680  

31,560  

35,880  

39,630  

128,430  

  288,408 

11,592  

300,000  

128,430  

300,000  

44 

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. 

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Heading of multiannual financial  
framework  

VII 

‘Administrative expenditure’ 

2021 

2022 

2023 

2024 

2025 

2026 

2027 

Post 
2027 

TOTAL 

EUR million (to three decimal places) 

Human resources  

Other administrative expenditure  

1,001 

1,001 

1,001 

1,001 

1,001 

1,001 

1,001 

0,086 

0,086 

0,086 

0,086 

0,086 

0,086 

0,086 

TOTAL appropriations under HEADING 7 of the 
multiannual financial framework 

 (Total 
Total payments) 

commitments  = 

1,087 

1,087 

1,087 

1,087 

1,087 

1,087 

1,087 

7,007 

0,603 

7,610 

2021 

2022 

2023 

2024 

2025 

2026 

2027 

Post 2027 

TOTAL 

EUR million (to three decimal places) 

TOTAL appropriations  
across HEADINGS  
of the multiannual financial framework  

Commitments 

38,707 

39,667 

41,017 

42,847 

45,187 

48,247 

51,937 

307,610 

Payments 

7,507 

14,137 

20,437 

26,767 

32,647 

36,967 

40,717 

128,430  307,610 

EN 

12 

EN 

 
 
 
 
 
 
 
 
 
 
 
3.2.2. 

Summary of estimated impact on appropriations of an administrative nature 

–    The  proposal/initiative  does  not  require  the  use  of  appropriations  of  an 

administrative nature  

–    The proposal/initiative requires the use of appropriations of an administrative 

nature, as explained below: 

EUR million (to three decimal places) 

Years 

2021 

2022 

2023 

2024 

2025 

2026 

2027 

TOTAL 

HEADING 7 
of the multiannual 
financial framework 

Human resources  

1,001 

1,001 

1,001 

1,001 

1,001 

1,001 

1,001 

7,007 

Other administrative 
expenditure  

Subtotal HEADING 7 
of the multiannual 
financial framework  

Outside HEADING 745 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 7 
of the multiannual 
financial framework  

0,086 

0,086 

0,086 

0,086 

0,086 

0,086 

0,086 

0,603 

1,087 

1,087 

1,087 

1,087 

1,087 

1,087 

1,087 

7,610 

1,232 

1,232 

1,232 

1,232 

1,232 

1,232 

1,232 

8,623 

0,327 

0,359 

0,390 

0,423 

0,456 

0,490 

0,524 

2,969 

1,559 

1,590 

1,622 

1,655 

1,688 

1,722 

1,756 

11,592 

TOTAL 

2,646 

2,678 

2,709 

2,742 

2,775 

2,809 

2,843 

19,203 

The  appropriations  required  for  human  resources  and  other  expenditure  of  an  administrative  nature  will  be  met  by 
appropriations from the DG that 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. 
3.2.2.1.  Estimated requirements of human resources46 

–    The proposal/initiative does not require the use of human resources.  

45 

46 

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. 
Deployment of the resources in EU Delegations will be made in accordance with the provisions of the 
Service-Level Agreement between the Commission and the EEAS on 20 December 2010. 

EN 

13 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
–    The  proposal/initiative  requires  the  use  of  human  resources,  as  explained 

below: 

Estimate to be expressed in full time equivalent units 

Years 

2021 

2022 

2023 

2024 

2025 

2026 

2027 

 Establishment plan posts (officials and temporary staff) 

Headquarters and Commission’s 
Representation Offices 

Delegations 

Research 

7 

7 

7 

7 

7 

7 

7 

 External staff (in Full Time Equivalent unit: FTE) - AC, AL, END, INT and JED 47 
Heading 7 

Financed from 
HEADING 7 of 
the multiannual 
financial 
framework  

Financed from the 
envelope of the 
programme 48 

Research 

Other (specify) 

TOTAL 

- at Headquarters 

- in Delegations  

- at Headquarters 

16 

16 

16 

16 

16 

16 

16 

- in Delegations  

23 

23 

23 

23 

23 

23 

23 

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 staff 

The tasks will be the same as currently (policy, programming, finance and 
contracts, other horizontal tasks) 

External staff 

The tasks will be the same as currently (policy, programming, finance and 
contracts, other horizontal tasks) 

47 

48 

AC=  Contract  Staff;  AL  =  Local  Staff;  END  =  Seconded  National  Expert;  INT  =  agency  staff; 
JPD= Junior Professionals in Delegations.  
Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines). 

EN 

14 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.  Third-party contributions  

The proposal/initiative: 

–    does not provide for co-financing by third parties 

–    provides for the co-financing by third parties estimated below: 

Appropriations in EUR million (to three decimal places) 

Years 

2021 

2022 

2023 

2024 

2025 

2026 

2027 

TOTAL 

Specify  the  co-financing 
body  

TOTAL appropriations 
co-financed  

3.3. 

Estimated impact on revenue  

–    The proposal/initiative has no financial impact on revenue. 

–    The proposal/initiative has the following financial impact: 

–     

on own resources  

–     

on other revenue 

      please indicate, if the revenue is assigned to expenditure lines  

EUR million (to three decimal places) 

Impact of the proposal/initiative49 

2021 

2022 

2023 

2024 

2025 

2026 

2027 

Budget revenue line: 

Article …………. 

49 

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 20 % for collection costs. 

EN 

15 

  EN